# Presentation: 023008

## Grants Processing, Award, Administration, & Closeout

- _BUREAU OF POLITICAL-MILITARY AFFAIRS_

- Marcus Carpenter, Kathleen Monahan, Dennis Hadrick, & Georgia Hubert (OPE)
- November 6, 2007

## GRANTS PROCESSING AND AWARD
Executive Summary 
Technical Proposals
Budget and SF424s
Statement Of Work
Payment Management And Problems
Full Funding Vs Incremental Funding
Electronic Signature
Pre-award Costs

- _BUREAU OF POLITICAL-MILITARY AFFAIRS_

**GRANTS PROCESSING AND AWARD**
- Executive Summary
- Technical Proposals
- Budget and SF424s
- Statement Of Work
- Payment Management And Problems
- Full Funding Vs Incremental Funding
- Electronic Signature
- Pre-award Costs

## EXECUTIVE SUMMARY
Follow standard format provided
Complete AFTER the proposal has been prepared
Succinctly describe:
The Problem
The Goals and Expected Results (indicate which are to be funded with USG funds)
If specific to an HMA country, then must address at least one goal in PM/WRA country plan
For each Objectives list the target population and time period required to satisfy it

- Follow standard format provided
- Complete _AFTER_ the proposal has been prepared
- Succinctly describe:
- The Problem
- The Goals and Expected Results (indicate which are to be funded with USG funds)
- If specific to an HMA country, then must address at least one goal in PM/WRA country plan
- For each Objectives list the target population and time period required to satisfy it

**OFFICE OF WEAPONS REMOVAL AND ABATEMENT**
- _BUREAU OF POLITICAL-MILITARY AFFAIRS_

## TECHNICAL PROPOSAL
Establish credibility (for new grantees)
Problem Statement
Identify problems - be clear, concise and well-supported
List beneficiaries, social costs, and economic costs
Provide specific approach to providing solution  
Desired Outcome
Provide program measurable and verifiable objectives 
For HMA, must address goals from existing national mine action program
Program Design 
Be concise - use annexes for backup
Be thorough - money or scope may be subject to negotiations later
Inputs - activities to occur with related resources
Throughputs - interrelated parts, personnel, facilities, transportation and support services
Outputs – Measurable results

- Establish credibility (for new grantees)
- Problem Statement
- Identify problems - be clear, concise and well-supported
- List beneficiaries, social costs, and economic costs
- Provide specific approach to providing solution
- Desired Outcome
- Provide program measurable and verifiable objectives
- For HMA, must address goals from existing national mine action program
- Program Design
- Be concise - use annexes for backup
- Be thorough - money or scope may be subject to negotiations later
- Inputs - activities to occur with related resources
- Throughputs - interrelated parts, personnel, facilities, transportation and support services
- Outputs – Measurable results

**OFFICE OF WEAPONS REMOVAL AND ABATEMENT**
- _BUREAU OF POLITICAL-MILITARY AFFAIRS_

## BUDGET
Submit complete, detailed itemized budget
Submit narrative that includes:
Familiarity with USG and PM/WRA reporting requirements
Financial plan/description of accounting for funds 
Procedures for transferring funds to partner NGOs 
Plan for obtaining any non-USG funds
PM/WRA provided costs should be identified in break outs
Budget should correspond with more general SF424s

- Submit complete, detailed itemized budget
- Submit narrative that includes:
- Familiarity with USG and PM/WRA reporting requirements
- Financial plan/description of accounting for funds
- Procedures for transferring funds to partner NGOs
- Plan for obtaining any non-USG funds
- PM/WRA provided costs should be identified in break outs
- Budget should correspond with more general SF424s

**OFFICE OF WEAPONS REMOVAL AND ABATEMENT**
- _BUREAU OF POLITICAL-MILITARY AFFAIRS_

## SF424s
Three set package of SF 424s
SF 424:  Application for Federal Assistance
Add grant number if known in upper right corner
Leave Blocks 10, 14, &16 blank
Remember to include Block 13 (Period of Performance)
SF 424A:  Budget 
Section B, Block 6K MUST equal the amount approved for the grant
Draw downs must correspond to info in Sections D and E
SF 424B:  Assurances that you will comply with the terms of the Grant & other Government requirements
Have the legal authority to enter into a grant
Government access to your records and properly account for funds
Will complete the grants within the appropriate period
No other forms required (Lobbying Cert Not Required)

- Three set package of SF 424s
- SF 424:  Application for Federal Assistance
- Add grant number if known in upper right corner
- Leave Blocks 10, 14, &16 blank
- Remember to include Block 13 (Period of Performance)
- SF 424A:  Budget
- Section B, Block 6K _**MUST**_ equal the amount approved for the grant
- Draw downs must correspond to info in Sections D and E
- SF 424B:  Assurances that you will comply with the terms of the Grant & other Government requirements
- Have the legal authority to enter into a grant
- Government access to your records and properly account for funds
- Will complete the grants within the appropriate period
- No other forms required (Lobbying Cert _**Not**_ Required)

**OFFICE OF WEAPONS REMOVAL AND ABATEMENT**
- _BUREAU OF POLITICAL-MILITARY AFFAIRS_

## STATEMENT OF WORK
Based on Grantee proposal incorporated by reference
Intended to highlight: 
Goal(s) 
Objectives 
Outcomes
Written by the GOR 
Emphasis on quantitative, measurable reporting data
Negotiated between the GOR and Grantee
Located in Attachment A (last page to grant document)
Should not include PoP or other Terms & Conditions in order to reduce redundancy

- Based on Grantee proposal incorporated by reference
- Intended to highlight:
- Goal(s)
- Objectives
- Outcomes
- Written by the GOR
- Emphasis on quantitative, measurable reporting data
- Negotiated between the GOR and Grantee
- Located in Attachment A (last page to grant document)
- Should not include PoP or other Terms & Conditions in order to reduce redundancy

**OFFICE OF WEAPONS REMOVAL AND ABATEMENT**
- _BUREAU OF POLITICAL-MILITARY AFFAIRS_

## OTHER
Payment Management and Draw Down of Funds
Approval process (Angela Jeffries)
Resolving problems (Tonja Thomas)
Full funding vs. Incremental funding
Full funding is preferred
Incremental funding used when appropriate 
Electronic Signature
Emphasis on e-mail and paper reduction
Legally binding
Pre-Award Costs
Must be a bona fide need
No more than 90 days prior to signature
Funding must be approved by Congress
Only Grants Officer can authorize it

- Payment Management and Draw Down of Funds
- Approval process (Angela Jeffries)
- Resolving problems (Tonja Thomas)
- Full funding vs. Incremental funding
- Full funding is preferred
- Incremental funding used when appropriate
- Electronic Signature
- Emphasis on e-mail and paper reduction
- Legally binding
- Pre-Award Costs
- Must be a bona fide need
- No more than 90 days prior to signature
- Funding must be approved by Congress
- Only Grants Officer can authorize it

**OFFICE OF WEAPONS REMOVAL AND ABATEMENT**
- _BUREAU OF POLITICAL-MILITARY AFFAIRS_

## GRANTS ADMINISTRATION
Terms and Conditions
Reports (Progress and Financial)
Poor Performance
Modification Including No Cost Extension
Realignment of Budget
Transfer of Assets/Equipment
Expired Grants

- Terms and Conditions
- Reports (Progress and Financial)
- Poor Performance
- Modification Including No Cost Extension
- Realignment of Budget
- Transfer of Assets/Equipment
- Expired Grants

**OFFICE OF WEAPONS REMOVAL AND ABATEMENT**
- _BUREAU OF POLITICAL-MILITARY AFFAIRS_

## TERMS AND CONDITIONS
Standardized for all grantees
Changes for future include formats for both domestic and international NGOs
Public International Organizations (PIO) have unique forms and special provisions
Key Provisions
III.  Grants Officer
IV.  Grants Officer Representative
V.   Budget (taken from SF 424A)
VI.  Period of Performance – agreed between Grants Officer Representative and Grantee
XI.  Pre Award Costs (if approved)
Attachment A:  Statement of Work, written by Grants Officer Representative and negotiated with Grantee

- _BUREAU OF POLITICAL-MILITARY AFFAIRS_

**TERMS AND CONDITIONS**
- Standardized for all grantees
- Changes for future include formats for both domestic and international NGOs
- Public International Organizations (PIO) have unique forms and special provisions
- Key Provisions
- III.  Grants Officer
- IV.  Grants Officer Representative
- V.   Budget (taken from SF 424A)
- VI.  Period of Performance – agreed between Grants Officer Representative and Grantee
- XI.  Pre Award Costs (if approved)
- Attachment A:  Statement of Work, written by Grants Officer Representative and negotiated with Grantee

## REPORTS – PROGRESS AND FINANCIAL
Financial, Property, Purchasing Records – must be kept for 3 years
USG has right to access grantee records
Minimum requirement - quarterly reporting
Types:
Financial - also required to drawn down funds
Progress – to ensure meeting grant objectives
Format: 1-4 pages aligned with SOW requirements
Sent to Grants Officer Representative (GOR)
PIOs
Not subject to OMB Circulars; reference to U.S. laws and OMB circulars self deleting
Still required to submit quarterly reports – per Provision XXXV

- _BUREAU OF POLITICAL-MILITARY AFFAIRS_

**REPORTS – PROGRESS AND FINANCIAL**
- Financial, Property, Purchasing Records – must be kept for 3 years
- USG has right to access grantee records
- Minimum requirement - quarterly reporting
- Types:
- Financial - also required to drawn down funds
- Progress – to ensure meeting grant objectives
- Format: 1-4 pages aligned with SOW requirements
- Sent to Grants Officer Representative (GOR)
- PIOs
- Not subject to OMB Circulars; reference to U.S. laws and OMB circulars self deleting
- Still required to submit quarterly reports – per Provision XXXV

## POOR PERFORMANCE
Consistent late requests for no cost extensions (NCE)
Reporting Problems
Late Submissions
Incomplete Reports
Inaccurate Results
Failure to adhere to SOW and Terms & Conditions
Consequences
Postpone grant actions until remedied
Withhold grant funds
Suspend the grant or terminate if not cured
Designation as “High Risk”

- _BUREAU OF POLITICAL-MILITARY AFFAIRS_

**POOR PERFORMANCE**
- Consistent late requests for no cost extensions (NCE)
- Reporting Problems
- Late Submissions
- Incomplete Reports
- Inaccurate Results
- Failure to adhere to SOW and Terms & Conditions
- Consequences
- Postpone grant actions until remedied
- Withhold grant funds
- Suspend the grant or terminate if not cured
- Designation as “High Risk”

## TRANSFER OF ASSETS/EQUIPMENT
Grantees may keep any property valued at $5,000 or less at the end of the grant
Property in excess of $5,000 needs disposition instructions
Send GOR Equipment List in Excel Spreadsheet w/make, model, serial number 
If no instructions provided within 120 days, grantee may:
Retain for use on future USG funded projects
Sell and pay the government share of the proceeds (less 10% selling expenses or $100, whichever is greater)

- _BUREAU OF POLITICAL-MILITARY AFFAIRS_

**TRANSFER OF ASSETS/EQUIPMENT**
- Grantees may keep any property valued at $5,000 or less at the end of the grant
- Property in excess of $5,000 needs disposition instructions
- Send GOR Equipment List in Excel Spreadsheet w/make, model, serial number
- If no instructions provided within 120 days, grantee may:
- Retain for use on future USG funded projects
- Sell and pay the government share of the proceeds (less 10% selling expenses or $100, whichever is greater)

## EXPIRED GRANTS
Grants will not be amended/ “resurrected” after expiration
Exceptions:
Negligence on part of Grants Officer
Were activities in scope?
Was scope/PoP intentionally exceeded?
Have any activities occurred?
No expenditure of obligated funds (Replacement Grant)
Bona fide need
Purpose is the same
Scope is the same
Track your Period of Performance!

- _BUREAU OF POLITICAL-MILITARY AFFAIRS_

**EXPIRED GRANTS**
- Grants will not be amended/ “resurrected” after expiration
- Exceptions:
- Negligence on part of Grants Officer
- Were activities in scope?
- Was scope/PoP intentionally exceeded?
- Have any activities occurred?
- No expenditure of obligated funds (Replacement Grant)
- Bona fide need
- Purpose is the same
- Scope is the same
- Track your Period of Performance!

## GRANTS CLOSEOUT

Grantee Responsibilities
Government Responsibilities
Record Keeping Requirements

- _BUREAU OF POLITICAL-MILITARY AFFAIRS_

**GRANTS CLOSEOUT**
- Grantee Responsibilities
- Government Responsibilities
- Record Keeping Requirements

## GRANTS CLOSEOUT

Process to determine completion of all administrative actions and required work
When?  
Receipt of final financial and performance reports within 90 days of end of PoP
All administrative requirements have been met
All obligations must be liquidated within 90 days of end of PoP

- _BUREAU OF POLITICAL-MILITARY AFFAIRS_

**GRANTS CLOSEOUT**
- Process to determine completion of all administrative actions and required work
- When?
- Receipt of final financial and performance reports within 90 days of end of PoP
- All administrative requirements have been met
- All obligations must be liquidated within 90 days of end of PoP

## GRANTEE RESPONSIBILITIES

Required forms and reports:
SF-269 Financial Status Reports
SF-272 Report of Federal Cash Transactions
Final Program Report
Listing of equipment and/or furniture acquired under the award
Audit Reports if requested
Grantee must dispose of equipment per USG instructions

- _BUREAU OF POLITICAL-MILITARY AFFAIRS_

**GRANTEE RESPONSIBILITIES**
- Required forms and reports:
- SF-269 Financial Status Reports
- SF-272 Report of Federal Cash Transactions
- Final Program Report
- Listing of equipment and/or furniture acquired under the award
- Audit Reports if requested
- Grantee must dispose of equipment per USG instructions

## GOVERNMENT RESPONSIBILITIES

Prompt payments for outstanding allowable costs 
Receipt of any excess balances of un-obligated cash 
Unliquidated balance of funds will be de-obligated 
USG will provide disposition instructions

- _BUREAU OF POLITICAL-MILITARY AFFAIRS_

**GOVERNMENT RESPONSIBILITIES**
- Prompt payments for outstanding allowable costs
- Receipt of any excess balances of un-obligated cash
- Unliquidated balance of funds will be de-obligated
- USG will provide disposition instructions

## RECORD KEEPING REQUIREMENTS

Financial, Property, Purchasing Records – must be kept for 3 years
Exceptions:
If any litigation, claim, or audit is started before the expiration of the 3-year period, the records need to be retained until all litigation, claims or audit findings involving the records have been resolved and final action taken
Records for real property and equipment acquired with the award retained for 3 years after final disposition
USG has right to access grantee records

- _BUREAU OF POLITICAL-MILITARY AFFAIRS_

**RECORD KEEPING REQUIREMENTS**
- Financial, Property, Purchasing Records – must be kept for 3 years
- Exceptions:
- If any litigation, claim, or audit is started before the expiration of the 3-year period, the records need to be retained until all litigation, claims or audit findings involving the records have been resolved and final action taken
- Records for real property and equipment acquired with the award retained for 3 years after final disposition
- USG has right to access grantee records

## QUESTIONS?

- _BUREAU OF POLITICAL-MILITARY AFFAIRS_

**QUESTIONS?**