Grants Management The 5 Ws of Good Grants

Grants Management: The 5 “W’s” of Good Grants Management Day 2 November 15, 2017 EMPLOYMENT AND TRAINING ADMINISTRATION UNITED STATES DEPARTMENT OF LABOR Office of Workforce Investments, H-1 B Funded Program 1

Session Moderator Gregory Scheib Workforce Analyst Division of Strategic Investment Washington DC

Presenters: Marium Baker Federal Project Officer Charles Cox Federal Project Officer Region 5, Chicago, IL Region 4, Dallas, TX Keith Hubert Federal Project Officer Region 2, Philadelphia, PA Katie Neupane Grants Management Specialist National Office

Let’s Play Mod Libs!

Fill in the blanks! 1. Most Annoying Celebrity 11. # of Drinks Last Night 2. Favorite Shakespeare Play 12. Sports Team 3. Name of Superhero 4. Online Game 13. What You Think ETA Does All Day 5. Most Unique 1 st Job 14. Name of a Politician 6. Favorite Pastime/Hobby 7. Lucky # 8. Repeat Favorite Pastime/Hobby 9. Measurement of Time 10. An Awesome Store 15. # of Hours to Get to DC 16. Size of Largest Family 17. Dream Transport Mode 18. Vacation Destination 19. Reality TV Star

Grant Modifications 7

Key Players � Grant Officer ◦ Executes final grant ◦ Executes modifications ◦ Maintains official grant files � Grants ◦ ◦ Management Specialist Serves as the assistant to the Grant Officer Works directly with the FPOs Reviews information for modifications Recommends approval of actions to the Grant Officer

Key Players � Federal Project Officer (FPO) ◦ Provides daily customer service to the grantee ◦ POC for the duration of the grant ◦ Conducts oversight (desk and on-site) ◦ Provides guidance as needed ◦ Makes recommendations for grant actions to the Grant Officer

Grant Modifications � What is a Modification? � Why do a Modification? � How to Submit a Modification � Documentation � Modification Required Analysis

What Is a Modification? Mechanism to Change Aspects of the Grant Agreement

Why Do a Modification? �Statement of Work Change �Budget Realignment �Change Indirect Cost Rate �Change Authorized Representative �Change of Address �Change of Organization/ Institution Name �Purchase of Lease of Equipment �Period of Performance Change

Budget Modifications � Needed for 10% cumulative budget changes ◦ Based on total amount awarded ◦ Sometimes changes to line items cause rippling affects � For any change to indirect line item � Always consult your FPO if in doubt 13

Example 14

Initiating a Modification Request � Contact your FPO to discuss the need for a modification and verify documentation needed � Submit draft modification letter and documents to your FPO for review, if so directed � Your FPO (and the Program Office, if appropriate) reviews and provides feedback, as needed � Address FPO feedback and submit signed modification request

Initiating a Modification Request �Modification Request: ◦ Must be submitted on organization’s letterhead ◦ Must be signed by the Authorized Representative ◦ Indicate the purpose and why it’s necessary ◦ How the change will benefit the program ◦ Reflect the guidance provided by the FPO (and others, such as the Program Office, if applicable)

Modification Analysis � Is it in the best interest of the government? � Is it in the best interest of the grant? � Is it a clear and persuasive request? Grantee Mod Request ETA Objectives

Approving Modifications � Once all questions have been resolved and the signed modification request is received, your FPO submits the request for regional management review � Once the regional management team gives approval, your FPO forwards the modification request to your Grant Officer for final review � Your Grant Officer reviews the request and may ask for additional information or revisions. � If there are no additional questions, the Grant Officer approves and signs the modification. Both you and your FPO will receive an electronic copy of the modification e-mail. � You are now free to implement your requested changes. via

Questions?

Monitoring and Managing Your America’s Promise Grant 2017 Tech. Hire Grantee Meeting 20

Monitoring and Managing Your Grant � Types of Grant Monitoring � On-Site Reviews: The Basics � Purpose of Grant Monitoring � How to Prepare for a Monitoring Visit � On-site Monitoring � Understanding the Monitoring Report ◦ Finding(s) ◦ Area(s) of Concern ◦ Positive Observations (as appropriate) 2017 Tech. Hire Grantee Meeting 21

Types of Monitoring � Quarterly Report Reviews � Quarterly Desk Reviews ◦ Quarterly Narrative Report ◦ Quarterly Performance Report ◦ Quarterly Financial Report ◦ Quarterly Narrative Report ◦ Quarterly Financial Report ◦ Quarterly Performance Report � Enhanced � On-Site Desk Monitoring Review 2017 Tech. Hire Grantee Meeting 2 2

On-Site Reviews: The Basics � Who conducts On-site Reviews? ◦ FPO (with additional ETA Staff if needed) � When is the review conducted? ◦ Usually midpoint during your grant’s period of performance � What is the duration of the review? ◦ Varies, but 3 to 5 days is common � Notification of Review: ◦ Letter confirming scheduled date of review and Core Monitoring Guide/Review Planning Tool mailed to Grant Recipient 2017 Tech. Hire Grantee Meeting 2 3

On-Site Reviews: The Basics What not to do when you receive notification that your grant is about to be monitored. 24

What is the Purpose of Grant Monitoring? � It is NOT -- “GOTCHA” � It is an opportunity to: ◦ Ensure that the Department of Labor grant funded program is aligned with: �Statute/Regulations/Grant terms and conditions �Federal financial and administrative requirements including cost principles �Funding Opportunity Announcement (FOA) ◦ Identify promising practices that can be shared ◦ Identify technical assistance needs 2017 Tech. Hire Grantee Meeting 2 5

How to Prepare for a Monitoring Visit � Communicate with your FPO to set the agenda � Review the Core Monitoring Guide ◦ Five Core Activities �Design and governance �Program / Grant Management Systems �Financial Management Systems �Service/product Delivery �Performance Accountability 2017 Tech. Hire Grantee Meeting 2 6

How to Prepare for a Monitoring Visit � Review the following: ◦ Funding Opportunity Announcement (aka Funding Opportunity Announcement [FOA]) ◦ Statement of Work (SOW) ◦ Monthly Reports that have been submitted �Narrative, Financial, and Performance ◦ Subrecipient Reports (if applicable) ◦ Policies and Procedures ◦ Participant Files 2017 Tech. Hire Grantee Meeting 2 7

On-site Monitoring Structure � Entrance � Review � Exit Interview (beginning of first day) Activities Interview (end of last day) ◦ Preliminary findings and observations Report (45 days following the exit meeting) � Written 2017 Tech. Hire Grantee Meeting 2 8

On-Site Monitoring � What ◦ ◦ ◦ do we look at? Connection/Compliance to the FOA Connection/Compliance to the SOW/Grantee Agreement Performance Service Delivery Financial Management Policies and Procedures 2017 Tech. Hire Grantee Meeting 2 9

Understanding the Monitoring Report � Written Report (45 days following the exit meeting) ◦ Findings and required corrective actions ◦ Opportunities for improvement, i. e. Area of Concern ◦ Positive observations 2017 Tech. Hire Grantee Meeting 3 0

Understanding the Monitoring Report � What is a finding? ◦ A finding is any violation of: �Law �Regulations �Grant agreement �FOA requirements 2017 Tech. Hire Grantee Meeting 3 1

Understanding the Monitoring Report Examples of Findings � Changes were made to the Statement of Work without Grant Officer approval ◦ Change in scope or objective ◦ Adding/deleting program component ◦ Adding/deleting subrecipient ◦ Changing target group 2017 Tech. Hire Grantee Meeting 3 2

Understanding the Monitoring Report Examples of Findings � Grant funds were used to purchase equipment without Grant Officer approval ◦ Unit cost of $5000 and useful life of one year ◦ Prior approval required even if included in the grant budget ◦ This requirement also applies to subrecipients 2017 Tech. Hire Grantee Meeting 3 3

Understanding the Monitoring Report Examples of Findings � Negotiated Indirect Cost Rate Agreement is expired � The Equal Opportunity (EO) requirements are not being fully implemented � The Grant Recipient realigned the budget without prior Grant Officer approval 2017 Tech. Hire Grantee Meeting 3 4

Understanding the Monitoring Report Examples of Findings � Subrecipients are not monitored � Project significantly behind schedule in implementing grant activities � Procurement files do not contain required support documentation 2017 Tech. Hire Grantee Meeting 3 5

Understanding the Monitoring Report � What is an Area of Concern? ◦ Concern about effectiveness or efficiencies ◦ Not related to compliance with law, regulation, FOAs, grant agreements or federal policy ◦ Can relate to performance, services or operational efficiencies/effectiveness ◦ Should convince/compel grantees to take action 2017 Tech. Hire Grantee Meeting 3 6

Understanding the Monitoring Report Area(s) of Concern � Performance Concern ◦ Projected outcomes based on current data ◦ Not mandated by law, regulation or milestones listed in SOW § Service Concern § Business services, involvement of business, involvement of listed partners, quality and timely services, customer access, etc. § Operational Concern § Procedural bottlenecks, staff knowledge, internal security and controls, internal communication, training, policy distribution, etc. 2017 Tech. Hire Grantee Meeting 3 7

Responding to the Monitoring Report � Grantees have 45 days to respond � Response is submitted to your FPO � Findings will have a “Required Action” ◦ Submission of a modification request ◦ Action plan to address the finding ◦ Evidence the finding has been corrected � Areas of Concern do not require a response, but it is advised that you address it in the report 2017 Tech. Hire Grantee Meeting 3 8

Managing Your America’s Promise Grant Tips for Successfully Managing Your Grant � Review the Grantee Handbook (June 2016) ◦ ETA’S Team Approach to Grant Management – Organizational Roles and Responsibilities ◦ An Overview of Award Documents, Grantee Obligations, and Regulatory Requirements ◦ How to Manage Your Period of Performance ◦ Modifying Grants ◦ Grant Closeout Phase ◦ Evaluation: What do I Need to Know as a Grantee? 2017 Tech. Hire Grantee Meeting 3 9

Managing Your America’s Promise Grant Tips for Successfully Managing Your Grant � Communicate with your FPO ◦ Email and Telephone � Identify issues early ◦ Recruitment, Financial, and Reporting � Track progress � Document successes and challenges ◦ Don’t be afraid to ask for help or technical assistance � Work with your partners 2017 Tech. Hire Grantee Meeting 4 0

Managing Your America’s Promise Grant Uniform Guidance � Uniform Guidance at 2 CFR Part 200 (effective on Dec 26, 2014) consolidated eight previously applicable OMB Circulars � DOL’s exceptions to the Uniform Guidance are at 2 CFR Part 2900 � All new grant awards or grant modifications released on or after Dec 26, 2014 must adhere to the Uniform Guidance 2017 Tech. Hire Grantee Meeting 4 1

Managing Your America’s Promise Grant NEW ETA-9130 Financial Report Form � TEGL issued on July 14, 2016 (TEGL 02 -16) � Forms and instructions may be found at: https: //www. doleta. gov/grants/financial_reporting. cfm � Implementation Date: Quarter Ending 9. 30. 2016 2017 Tech. Hire Grantee Meeting 4 2

Questions 2017 Tech. Hire Grantee Meeting 4 3