Minnesota Department of Transportation – Office of Transit Administrative Procedure #2013-09 (Replaces #2007-12 and #2010-03) Title: Federal Grant Closeouts Background: Administrative Procedure #2007-12 and #2010-03 were reviewed and revised in response to FTA’s State Management Review requirement that MnDOT submit a written procedure for more effectively administering its grants to close out projects in a timelier manner Policy/Objective: To comply with FTA grant management guidelines Description: Internal procedures for timely closure of grants upon completion of projects. Per FTA guidelines, grant closeout should be initiated within 90 days after all work activities for the projects are completed Definitions: FTA – Federal Transit Administration Forms: Grant Closeout Schedule: n:\transit\BarbK\FTA Grant Tracking\Close Out Schedule 5311 grants.xls Procedure: Step Responsible Action Partners 1 Office Director Convene monthly meetings with Office Management to review status of open grants that are two years old or older, monitor grant progress towards meeting closure dates on Grant Closeout Schedule, and identify grants that need additional attention Financial Manager; Program Directors; other appropriate staff 2 Financial Manager Propose appropriate action for grants identified in Step 1 that need additional attention so that Grant Closeout Schedule is maintained (Examples of proposed actions: recharge expenses to different grants, close contracts vs. amendments, request audit of specific contract/s, request Civil Rights Office expedite final closeout documentation) Office Director; Section Directors; Federal Program Manager; Staff Attorney 3 Office Director Contact Audit or Civil Rights Offices with requests to expedite closure process for specific contracts identified in Step 1 Management Team 4 Office Director Approve/deny contract amendments that impact timely closure of grants identified in Step 1 that need additional attention Program Director; Project Manager; Staff Attorney 5 Financial Manager Update Grant Closeout Schedule monthly Program Directors; Project Managers 6 Financial Manager Report Grant Closeout Schedule to FTA per FTA’s direction FTA 7 Financial Manager Review Grant Closeout Schedule monthly to identify which grants have all work activities for the program of projects completed Financial Staff 8 Financial Manager Determine unobligated funds remaining in federal grant; if necessary, move audited contracts with the same scope to oldest open federal grant to utilize funds Financial Staff, Federal Program Manager
9 Financial Manager Notify Federal Program Manager of need for budget revision due to movement of audited contracts between grants Federal Program Manager 10 Federal Program Manager Prepare and request final budget revision in FTA’s electronic grant program Financial Manager, FTA 11 Financial Manager Prepare and submit final ECHO draw that may include request of indirect costs for administration Federal Program Manager 12 Financial Manager Notify FTA in writing or e-mail the reason that an ECHO draw containing negative amounts has been submitted FTA 13 Financial Manager Prepare a final Federal Financial Report for each grant identified in Step 7 and electronically submit to FTA. FTA 14 Federal Program Manager Prepare a final narrative milestone/progress report including a discussion of each activity line item contained in the final budget for each grant identified in Step 7; and electronically submit to FTA Project Manager; Program Coordinator, FTA 15 Federal Program Manager Prepare a final program of projects reflecting actual project costs by scope and activity for each grant identified in Step 7 and electronically submit to FTA Financial Manager, FTA 16 Federal Program Manager Prepare a closeout amendment which may include deobligation of any unexpended balance of Federal funds for each grant identified in Step 7 and electronically submit to FTA Financial Manager, FTA 17 Federal Program Manager Notify FTA in writing or e-mail that a closeout amendment has been created for grant(s) identified in Step 7 Financial Manager 18 Financial Manager Monitor grant status in FTA’s electronic grant program to ensure closure request is received and grant(s) identified in Step 7 are closed Federal Program Manager, FTA 19 Financial Manager Obtain Office Director’s signature on “Project Funds/Status” printout (from FTA’s electronic grant program) that indicates the grant has been closed and place in financial grant file Office Director This procedure is effective on: ___________________________ Approved by: _________________________________________ ____________________ Director, Office of Transit Date