Presented by: Anella Higgins Grants Management Specialist

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1 Introduction to PGO and the Grants Management Process Atlanta, GA October 28, 2009 Presented by: Anella Higgins Grants Management Specialist

2 Discussion Topics Roles and Responsibilities OMB Circulars and Administrative Regulations Fiscal Overview Part I Prior Approvals Carryover of Unobligated Funds Redirection of Funds Release of Funding Restrictions Key Personnel Extensions Award Document Samples (IMPAC II)

3 Discussion Topics Technical Reporting Requirements Financial Status Reports Progress Reports Useful Websites Contact Information Questions

4 Roles and Responsibilities The Procurement and Grants Office (PGO): Business conduit for all Program Requirements Negotiate, award, administer, and close out all Grants and Cooperative Agreements Review and approve all financial requests and payments Ensure compliance with applicable Statutes, Regulations and Policies Serves as the Official Receipt Office for ALL official communications and contacts with Recipients

5 Roles and Responsibilities Grants Management Officer (GMO) sole approving official authorized to obligate funds for grant and cooperative agreement actions on behalf of the Government Grants Management Specialist (GMS) - primary point of contact for all business management, funding, and regulatory/policy issues regarding a grant; receives and processes all official requests

6 Roles and Responsibilities Project Officer (PO) - Defines programmatic objectives, provides advice on the scientific/technical/programmatic suitability of applications for funding, and provides expertise in the post-award administration of projects and activities Accountable Recipients Authorized Organizational Representatives (AORs), Principal Investigator/Program or Project Director and Business Office Representative have various roles and are responsible for and must adhere to applicable Federal statutes, regulations, and policies.

7 OMB Circulars and Administrative Regulations OMB Circulars A-102- Uniform Administrative Requirements for Grants and Other Agreements with State, Local, and Tribal Governments A-87 - Cost Principles for State, Local, and Tribal Governments A Audits of States, Local Governments, and Non-Profit Organizations Code of Federal Regulations 45CFR92 Uniform Administrative Requirements for Grants and Cooperative Agreements to State, Local, and Tribal Governments Note: Each recipient or contractor is subject only to the set that applies to its type of organization, which may not necessarily be the same as that of the recipient

8 Preparing Budget Justifications Salaries and Wages Fringe Benefits Consultant Costs Equipment Supplies Travel Other Costs Indirect Costs Contractual

9 Preparing Budget Justifications Salaries and Wages Name of Staff member Annual Salary Percentage of time budgeted for the program Total months of salary budgeted Total Salary requested Justification/duties and responsibilities for position

10 Preparing Budget Justifications * *

11 Preparing Budget Justifications Fringe Benefits Applicable to Direct Salaries and Wages Provide information on rate used If no rate itemize how calculated

12 Preparing Budget Justifications Consultant Costs Written approval required Name Organization affiliation Services to be provided Relevance to Project Number of Days of Consultation Expected Rate of Compensation. If unknown, submit for approval later as a budget revision Method of Accountability

13 Equipment Preparing Budget Justifications Provide justification for each item Relate to specific program objectives Dollar value of equipment is defined by IDC

14 Supplies Preparing Budget Justifications List each item requested Provide justification relate to program objs Include unit cost, number needed, total General office supplies estimate by month, use historical data to determine rate of usage

15 Preparing Budget Justifications

16 Preparing Budget Justifications Travel Staff travel only In state justification for staff member travel - who, where, number of trips, approximate dates, mileage costs, estimated airfare, per diem Out of state same as above; meetings, conferences, workshops

17 Preparing Budget Justifications

18 Preparing Budget Justifications Contractual-Written approval required Name of Contractor Method of Selection Period of Performance Scope of Work Method of Accountability Itemized Budget/Justification and itemization for consultant/contractual costs

19 Preparing Budget Justifications Indirect Costs Must have a CURRENT approved indirect cost rate agreement (IDC) or cost allocation plan IDC must be provided with the application Must be consistent with accounting practices Indirect costs cannot be awarded without an approved rate Budget Guidelines can be viewed at:

20 Prior Approval Requests

21 Prior Approval Requests Change in scope (post-award) Replacement of or changes in the status of the principal investigator (PI) or project director (PD) or other key personnel specified in NoA Change of grantee organization (Bona Fide agent) Need for additional funds with or without an extended period of performance Need for additional time to spend previously awarded funds No cost extension Carryover of unobligated funds Release of funding restrictions Redirection of funds or revised budget

22 Carryover of Unobligated Funds Unobligated funds from the previous budget period requested for use in the next budget period. Requests must include: Current (Cumulative) FSR indicating an unobligated balance Applicable matching and cost sharing funds Reason for unobligated funds from prior year Justification of bona fide need for current year How funds will enhance current activities Detailed line item budget Timeline/period of performance for proposed activities Signature of Project Director/Principal Investigator, and authorized Business Office Representative Expanded authority is not applicable

23 Carryover of Unobligated Funds Unobligated funds that are carried over to the next budget period can only be used to pay for activities which will be completed within that specific budget period All requests for carryover require prior approval by GMO

24 Carryover of Unobligated Funds

25 Redirection of Funds Movement or shifting of funds from one approved budget category to another Authorized unilaterally up to 25% or $250,000 of budget - whichever is less (copy PGO) Significant Rebudgeting Cumulative Transfers exceeding 25% of the approved budget for the budget period or $250,000, whichever is less Quantitative Indicator of Change in scope A detailed budget and narrative justification must be submitted Signature of Project Director/Principal Investigator, and authorized Business Office Representative.

26 Redirection of Funds

27 Release of Funding Restrictions Reasons for restrictions: On the basis of recipient s application or other available information, i.e., management systems and practices not adequate. Written approval required Must include: Justification for each item Relate to specific program objectives Itemized Budget (if applicable)

28 Key Personnel Requirements When any individual listed in the Notice of Award as key personnel (new Project Director/Principal Investigator, Business Official, Program Manager) is proposed, an official notification of this change must be sent to the GMO. PI or program manager absent for more than (3) months (PGO should be notified), or a 25% reduction in time devoted to the project The request should include the following: Cover letter, Director of DoH and business office All contact information for new PI, including A copy of the new PI s resume or Curriculum Vitae

29 Financial Status Reports SF269 The Final Financial Status Report (FSR)** is submitted annually Interim FSRs may be submitted with the Interim Progress Report Documents expenditures according to the official accounting records of the recipient organization Must be submitted for each budget period no later than 90 days after the close of the budget period. IAW 45 CFR 92.41

30 Financial Status Reports SF269 Final (FSR) must not include unliquidated obligations Recipients have 90 days from end of budget period to liquidate Must indicate the exact balance of unobligated funds Negative FSRs are not acceptable Total funds authorized must match approved federal share from NoA Original, signed copy must be submitted to the GMO - Attn: GMS

33 New Award Documents IMPAC II IMPACII[1][1].OLD.pdf

34 New Award Documents IMPAC II IMPACII[1][1].NEW.pdf

35 Useful Websites

36 Useful Websites Grantee s Financial Reference Guide

37 Useful Websites Forms:

38 Useful Websites

39 Useful Websites HHS Regulations

40 Additional Resources HHS Grants Policy Statement U.S. Department of Health and Human Services Office of the Assistant Secretary for Resources and Technology Office of Grants

41 Useful Websites

42 Contact Information Anella Higgins, GMS Procurement & Grants Office Centers for Disease Control (PA DP DP ) 01) 2920 Brandywine Road Mailstop E09, Room 3719 Atlanta, GA Phone ( )

43 QUESTIONS??

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