Transcript Targeted Capacity Expansion Health Information Technology

Targeted Capacity Expansion
Health Information Technology
Grantee Conference
September 6, 2012
Office of Financial Resources
Division of Grants Management
Eileen Bermudez, Team Leader
1 Choke Cherry Road, Rm. 7-1091, Rockville, MD 20857
240-276-1412
Doug Lees, Grants Management Specialist
Topics
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Grants Management’s Role
Post-award Requirements
New Carryover Process
Method for Requesting Prior Approval
Reporting Requirements
Grants Management Tips
Instructions for E-mail Submission
Helpful Websites
Order of Precedence on the Notice of Award
Grants Management’s Role
• The Division of Grants Management (DGM) is responsible
for all business management matters associated with the
review, negotiation, award, and administration of grants
and interprets grants administration policies and
provisions
• The Grants Management Officer (GMO) is the only
individual who has signatory authority for obligation of
federal funds
• The DGM works closely with the Division/Branch’s grant
programs, who are responsible for the technical and
programmatic aspects of the projects
Post-Award Requirements
Grantees must obtain prior approval for the following:
• Significant re-budgeting
• Transfer of substantive
programmatic work to a
contractor
• Change of key staff
• Alterations and renovations
(A&R)
• Change in scope
• Change of contractor or
sub-recipient
• High-risk status
• No cost or low cost
extension of the
budget/project period
• Equipment costs exceeding
$25,000 per unit
• Restrictions/conditions on
notice of award (NoA)
• Carryover authority
New Carryover Process
A grantee may carry over previous unobligated balance(s) (UOB) of funds up
to 25% of the total federal share from the current budget period (the year in
which the funds will be needed) without prior approval from the Grants
Management Officer.
Ex: 03 year (09/30/2011 – 09/29/2012) total authorized amount $400,000
•02 year FFR must reflect in the remarks the intent and the amount of UOB to carryover (EX. up to the amount of the threshold $400,000 x 25% = $100,000)
•03 year FFR must reflect in the remarks the actual UOB carried over
NOTE
If the amount carried over exceeded 25%, the Grants Management Specialist
(GMS) will notify the grantee that they must return the federal share over the
threshold due to noncompliance, and may rescind this authority.
New Carryover Process (cont’d)
If grantee intends to carry over an amount of UOB
over the 25% threshold, a request including a
detailed budget justification and narrative must be
submitted.
NOTE: This authority does not apply to high-risk
grantees, since a carryover of an unobligated balance
of funds into the current budget period requires
Grants Management Officer's prior approval.
Method for Requesting Prior Approval
• Request submitted in writing as follows:
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Address to Grants Management Specialist
Reference grant number
Provide programmatic and budget justification
Signed and dated by both Program Director and Business Official
• Reviewed by Grants Management Specialist in
consultation with Project Officer
• Response in writing by Grants Management by
letter or NoA is considered valid. No other
written or verbal approval will be binding on
SAMHSA.
Reporting Requirements
Reports
Responsibility
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Sent to
Programmatic Progress Program Director
Management
Report
• Quarterly Federal Cash Grantee Organization
Transaction Report
Division Grants
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Division Grants
(FFR 425)
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Annual Federal Financial Grantee Organization
Management
Report (FFR-425)
Refer to www.whitehouse.gov/omb/grants forms
Division of Payment
Management (DPM)
NEW
Annual Federal Financial Report (FFR-425)
Federal Financial Report (FFR) (SF425) is required on an annual basis and must be
submitted for each budget period as stated on the due date(s) schedule (see the
following slide) after the close of the 12-month budget period.
The FFR is required for each 12-month period, regardless of the overall length of the
approved extension period authorized by SAMHSA. In addition, a final FFR is due
within 90 days after the end of the extension. NOTE: SINGLE GRANT REPORTING IS
REQUIRED FOR EACH SAMHSA PROJECT AS STATED ON THE FFR (#10 d-o).
The FFR must be prepared on a cumulative basis and all program income must be
reported. THE STATUS OF ANY FEDERAL SHARE OF UNLIQUIDATED OBLIGATIONS FOR
EACH 12-MONTH BUDGET PERIOD MUST BE EXPLAINED IN THE REMARKS SECTION
(#12). If possible, disbursements reported on the FFR should equal/or agree with the
top portion of the FFR (#10 a-c). The data can be entered directly on the form and the
system will calculate the figures, then it can be printed and mailed to this office.
NOTE: Beginning February 1, 2011, the Division of Grants Management will no longer
be accepting the Financial Status Report (FSR) (SF269) form. Grantees must use the
Federal Financial Report (FFR) (SF425).
FFR -SF425, Annual Report Due Date(s)
If the budget periods ends in
the month of:
Then 90 days after that falls
in the month of:
And the annual report is due on (consistent with
the FFR cash reporting due dates in PMS):
January
April
April 30
February
May
July 30
March
June
July 30
April
July
July 30
May
August
October 30
June
September
October 30
July
October
October 30
August
November
January 30
September
December
January 30
October
January
January 30
November
February
April 30
December
March
April 30
Grants Management Tips
• All requests must be submitted to the GMS in writing,
reference grant number, and be dated and signed by the
Project Director and Business Official
• Sample Budget
• NOTE: In order to determine whether costs are allowable,
allocable, and reasonable, please explain how all expenses
were determined/calculated
• Must include: budget justification and detailed budget
narrative
Grants Management Tips (cont.)
Budget Narrative: In order to determine whether costs are allowable,
allocable and reasonable, please explain how each of the budgeted
amounts was determined.
• Personnel - describe the role and responsibilities of each position
• Fringe benefits - list all components of the fringe benefit rate
• Travel - provide (if applicable) the following information: airfare per
staff, # of staff attending each meeting, lodging per staff, # of days,
per diem rate, mileage, etc.
• Supplies - generally self explanatory; however, if not, describe need
• Contractual - explain the need for each contractual arrangement
and how these components relate to the overall project
• Other - each category must be listed
Instructions for E-mail Submission
Submitted by the Project Director and
Authorized Representative, this should include a
signature line; his/her name, title, and grantee
institution; telephone number, fax number, email address, and grant number with a cc
forwarded to the institution’s business official.
The grantee should copy their assigned GPO.
Helpful Websites
• SAMHSA.gov
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SAMHSA Grants Management
Application for continuation SAMHSA grant
HHS Grants Policy Statement
OMB Circular (A-133): Audits for State, Local Governments, & NonProfit Organizations
- Code of Federal Regulations (CFR)
- Cost Principles: OMB Circular A-122 (Non-Profit Organizations) and
OMB Circular A-87 (State & Local Governments)
• harvester.census.gov
- Federal Audit Clearinghouse
• whitehouse.gov/omb/grants_forms
- Federal Financial Report (FFR 425)
• dpm.psc.gov
- Federal Cash Transaction Report (FFR 425)
• whitehouse.gov/omb/grants_forms
Order of Precedence on the Notice of Award
• The award is based on the application submitted to, and
approved by, SAMHSA and is subject to the terms and
conditions incorporated either directly or by reference in the
following:
• Grant Program Legislation & Program Regulation cited
• Restrictions of federal funds in Appropriations Acts
• Code of Federal Regulations (CFR)
45 CFR Part 74 – UNIFORM ADMINISTRATIVE REQUIREMENTS FOR AWARDS
& SUBAWARDS TO INSTITUTIONS OF HIGHER EDUCATION, HOSPITALS,
OTHER NONPROFIT ORGANIZATIONS, AND COMMERCIAL
ORGANIZATIONS
45 CFR Part 92 - UNIFORM ADMINISTRATIVE REQUIREMENTS FOR AWARDS
AND SUBAWARDS TO STATE, LOCAL, AND TRIBAL GOVERNMENTS
• HHS Grants Policy Statement
• The Notice of Award, including other terms/conditions cited