# Presentation: 798704

## Minimizing Delays in Grant Application Submission and Helpful Tips in Grants Management

## Purpose

- Identify common delays in grant processing
- Identify grant application requirements
- Provide additional information on grant processing
- Identify common mistakes in grant management (lack of information)

## Potential Delays

- Pre-application
- Planning & Environmental
- Civil Rights
- Other
- Application
- Contents
- Vehicle Fleet Status
- DOL

## Potential Delays in Planning/Environmental

- Project not included in TIP/STIP, planning project not in UPWP
- Coordinated Human Services Plan does not contain required elements
- Competitive Selection Process does not include required elements
- NEPA process not completed - Environmental Analysis (Feasibility Study for construction – process is complete once FTA makes environmental finding)
- Appraisal not conducted, or reviewed and approved by FTA
- Provide environmental documentation
- Ineligible projects (non transit)

**Notes:**
Environmental documentation normally deals with facilities and may include FONSI, ROD

## Potential Delays in the area ofCivil Rights

- DBE Goal and supporting documents not submitted or incorrect
- DBE Program not submitted
- Expired Title VI or EEO programs not updated
- Non-responsive to corrective actions cited in Oversight Reviews
- Certification of Equivalent Service (State DOTs)

## Potential Delays in Other Areas

- Certifications and Assurances not signed
- State/Program Management Plans not established or revised and submitted to FTA
- Non-responsive to corrective actions cited in Oversight Reviews
- ITS Projects do not conform with
- Regional Architecture
- Systems Engineering
- Non-Add Scopes
- Fund Availability (transfers)

## Fund Transfers

-  Types of fund transfers
- FHWA (STP/CMAQ/ITS)
- Transit projects
- Transportation Planning
- FTA state-to-state program (Interstate MPOs)
- 5307 Sioux City
- 5303 Omaha-Council Bluffs
- FTA program-to-program
- 5303/5304 to CPG
- Funds are identified during planning process (STIP/TIP)
- Note: Requests for fund transfers should only be made when funds are ready to be obligated in grant

## FHWA Transfer Process

- Transit Provider or State DOT obtains an FTA Grant #
- MPO makes initial request to the State
- Request should include:
- Total available amount of funds to be transferred
- Indication of whether these funds are Formula Grant funds (i.e., STP or CMAQ) or Transit Planning (Metropolitan or Statewide);
- Indication of the Funds section (i.e., §5307 – Urbanized; §5310 – Elderly Disabled; or §5311 – Non-urbanized);
- Signatures of appropriate authorizing officials;
- Associated FHWA codes;
- Contact information to be used if questions arise that must be addressed prior to processing the funds.
- State concurs and submits an FHWA request form to FHWA State Division Office
- FHWA State Division Office determines:
- if requested transfer is within allowable limits;
- Concurs with State’s request; and
- Submits request to FHWA Office of Budget (Wash DC)
- FHWA Office of Budget coordinates the action:
- Sends to Financial Management Information System (FMIS) team to process
- Prepares SF-1151 form on Gov Wide Accounting System (GWA) to transfer to FTA (bi-monthly)
- Notifies FTA Office of Budget & Policy
**NOTE: FTA REGIONAL OFFICE SHOULD BE SENT A CONCURRENCE COPY OF ALL TRANSFER CORRESPONDENCE**

## FTA Transfer Process	

- FTA Office of Budget of Policy:
- Notified by FHWA that transfer has been processed to FTA
- Processes Treasury SF-1151’s in DELPHI as received
- Contacts Regional Office for verification of urbanized area code, amount, project #, appropriation, and type of funding
- Establishes an Operating Budget in TEAM (bi-monthly)
- FTA Regional Office:
- Notifies grant recipient funds are available
- Obligates funds in grant

## Grant Application Contents

- Recipient Profile/Information
- Project Information
- Budget
- Milestones
- Environmental Findings
- Fleet Status
- FTA Comments
- Results of Reviews

## Recipient Profile

- Organizational Information
- Contact Persons
- Certifications & Assurances
- Civil Rights Programs Expiration Dates

## Recipient Profile

- Ensure that information is correct at beginning of the FY

## Recipient Profile

- Update information when changes occur
- Include names/info
- Administrator
- Commissioners
- Executive Director
- General Manager
- Grants Manager
- etc.......

## Recipient Profile

- Union Information
- Include all unions in area
- Reminder for States to attach list of subrecipients with affiliated unions

## Recipient Profile

- Ensure applicable C&A’s are completed within 90 days from the date of publication in the Federal Register Notice (FRN) or concurrent with first grant whichever is earlier

**Notes:**
FY2008 C&A’s were published in October 25, 2007 FRN 

## Recipient Profile

- UZA & Congressional Districts
- Ensure information is accurate
- Note: 5309 grants Only list the congressional districts grant project impacts

## Recipient Profile

- Ensure Civil Rights Programs are current and Dates reflected in TEAM are accurate.

## Project Information

- General Project Information
- Urbanized Area Codes
- Congressional Districts
- Project Details/Description

## Project Information

- General
- Areas normally cited to be completed during review
- Start/End Date
- STIP/TIP/UPWP Date
- Program Page
- Other Helpful Information
- Phone number after Recipient Contact
- Attach any planning studies

## Project Information

- Control Totals
- Total FTA Amount
- Total Local Share Amount
- Adjustment amount is used when disposition proceeds are received and  will be used to  offset costs

## Project Information

- UZA & Congressional Districts
- Ensure information is accurate
- Changes can be made in the Recipient Profile

## Project Information

- Make appropriate selection
- If Yes,
- Ensure Security activities are budgeted; and
- Include Security Non-Add Scope (991-00)
- If No, check an  option 1-3
- If #3 “other” is selected provide a justification as to why 1% of 5307 funds will not be expended

**Notes:**
If security project is included or combined with another ALI (i.e. operating) include a comment in the description that acknowledges the 1% security activity and description.

## Project Description

- Provide a complete detailed project description for which federal funds are being requested.
- Tools
- FTA Region VII Grant Application Information

## Project Description Tool

- FTA Region VII Grant Application Information
- Should be utilized as a checklist for application development and review

## Project Description Format

- Start each description with
- Original/Amndmnt 1
- Date
- Name (grant manager)

## Budget

- Project Budget
- Scopes
- Activity Line Items
- Non-Add (other) Scopes
- Alternative Fuel Codes
- Extended Budget Descriptions

## Budget

- Scopes/ALIs selected
- ALI Tree List (Home Page Team)
- Magnifying Glass
- Quantities for Revenue Vehicles Only
- Alternative Fuel Codes
- Enter type of fuel for bus/van purchases

## Budget

- Extended Budget Descriptions (Details)
- Capital Purchases
- Bus replacement include  disposition info.
- Here or
- Fleet Status or
- attach info to grant
- List what is being purchased and identify useful life of capital items or ALI
- Planning Activities
- List activities to be performed and area covered

## Budget

- Non-Add Scopes
- 991 Security Expenditures (other than 5302(a)(1)(j) items)
- 992 Tribal Projects
- 993 ITS Fleet Mgmnt
- 994 ITS Electronic fare
- 995 ITS Traveler Info
- 996 ADA/CAA Increased 	Federal Share
- 998  Transfer of Federal Equity
- 999 Contingency Projects

## Milestones

- Milestone Description/Date for each ALI
- Milestone Detailed Description required when
- Pre-award Authority is Utilized
- Highlight Scope-ALI

## Environmental Findings

- Environmental Classification Finding for each ALI including Non-ADD
- Class I
- Class II(c)
- Class II(d)
- Class III
- Other
- Class II(c)
- Select a Categorical Exclusion Type

## Fleet Status

- If over 20% spare ratio describe your methodology to reducing your fleet to meet the requirement
- Applications requesting Vehicles
- Expansion
- identify new route
- Indicate Useful life

## Application Reviewer

- TEAM Tool
- Identifies any discrepancies in application
- Good Rule of Thumb    * Always Use *

## Attachments

- What do you attach?
- Grant
- DOL Info
- Program of Projects
- Fleet Status Report
- Recipient Profile
- Initial comp selection process
- Human Coordination Plan

## FTA Comments

- FTA Regional Comments regarding:
- Discrepancies in application;
- Requests for additional information; and
- Conditions of Award
- Best Practice
- check prior to grant execution for any Conditions of Award

## Grants/Project Management

- Financial Status Reports (FSR)
- Milestone Progress Reports (MPR)
- Budget Revisions
- Close-Out
- Dispositions

## Financial Status Report (FSR)

- FY2008 Region 7 Initiative
- 100% Quarterly/Annual Reporting
- Requirements
- Submitted Qrtrly/Annually for all active/Executed grants
- Accrual Basis of Accounting
- Enter Narrative Comments regarding what funds were expended
- Pre-Award Authority submission
- Helpful Hints
- Work-in-Progress
- Submit Report
- Final Report
- Unobligated Balance of Federal Funds should be $0 at closeout
- Myths

**Notes:**
Narrative comments should be provided in the “remarks & comments” tab.  For example, if the grantee expended $10,000 in the reporting period, a comment should be inserted to the effect, “FY07 Qtr 4: We requested funds in the amount of $6,000 for office equipment (ALI:      ) and $4,000
 for associated capital maintenance items (ALI:     ).”
Comments describing the financial expenditures should correspond to the activities completed during a reporting period.
MYTHS:
Milestone Report can’t be entered/submitted unless FSR is completed – False
 If no funds were expended from grant then you do not have to do annual/quarterly reporting – FALSE
 FTA does not review FSR/MPR reports
 Grace Period

## Milestone Progress Report (MPR)

- FY2008 Region 7 Initiative requests
- 100%Quarterly/Annual Reporting
- Requirements
- Project Status Overview
- Current Status of all activities
- Detailed discussion of bgt & schedule changes
- Revised Est/Actual Completion Date
- Detail in Progress
- Explanation why schedule milestones or dates were not met
- Identification of problem areas and narrative on resolution

## Budget Revisions

- Requirements
- Revisions consistent with STIP/TIP
- Include reason for Bgt Rev
- What is being moved and Why?
- Include explanation in details section for change being requested
- Helpful Hint:
- Do Not Delete Scopes/ALIs instead reduce to $0
- Notify FTA when submitted a budget revision

## Grant Closeout

- Notify FTA to request grant closeout
- Ensure FINAL FSR/MPRs are selected
- Make sure budget is balance and reflect actual costs
- FSR and Budget should reconcile

## Dispositions

- Always request disposition instructions from FTA prior to disposing of equipment or real estate
- Dispositions can include:
- Repaying FTA its share of proceeds, if value is over $5,000;
- Proceeds can be used to offset gross project costs of another project;
- Transferring property (public interest) to another public agency

## Questions?