1 / 21

USDOT – PHMSA HMEP Grants Major Audit Findings

USDOT – PHMSA HMEP Grants Major Audit Findings. NASTTPO April 25, 2012. Agenda. PHMSA’s Mission and Dedication Recognizing the Need for Improvement Top 10 OIG Findings For More Information…. Grant Program History. $26.1 Million. - 3 -. Program Reviews and Status. 2009 Internal Review

davidpearson
Download Presentation

USDOT – PHMSA HMEP Grants Major Audit Findings

An Image/Link below is provided (as is) to download presentation Download Policy: Content on the Website is provided to you AS IS for your information and personal use and may not be sold / licensed / shared on other websites without getting consent from its author. Content is provided to you AS IS for your information and personal use only. Download presentation by click this link. While downloading, if for some reason you are not able to download a presentation, the publisher may have deleted the file from their server. During download, if you can't get a presentation, the file might be deleted by the publisher.

E N D

Presentation Transcript

  1. USDOT – PHMSAHMEP GrantsMajor Audit Findings NASTTPO April 25, 2012

  2. Agenda • PHMSA’s Mission and Dedication • Recognizing the Need for Improvement • Top 10 OIG Findings • For More Information…..

  3. Grant Program History $26.1 Million - 3 -

  4. Program Reviews and Status • 2009 Internal Review • Led to the implementation of internal controls and Grant Solutions • 2010 Independent Review • Led to the development of an Action Plan under implementation • 18 Recommendations • 13 Recommendations being addressed • 5 for future consideration • Office of Inspector General HMEP Program Audit • Final Report issued on January 12, 2012 • 10 recommendations • Three closed • Seven satisfied pending action

  5. Internal Review OutcomeInputs Outputs Increased Staff Specialization, Monitoring & Technical Assistance Automation Efficiency, Consistency & Transparency Improved Processes Best Practices, Alignment with OMB & Updated Program Focus Outreach Maximized award benefits, Less returned funds Partnerships Information Leveraging, Increased Program Presence Grantee Accountability Eliminate inappropriate spending, increased program benefits - 5 - - 5 - Goal: Continuous Improvement of compliance, increased effectiveness, & enhanced transparency

  6. Independent Review Outcome Findings: • Lack of clear internal and external guidance on allowable uses of grant funds (courses, equipment) • Grantee administrative requirements not clear/not well articulated • Inconsistencies in completeness of grantee files • Lack of adequate oversight of grantee performance • Vague proposals included in application • Grantees utilize multiple funding sources (DHS/FEMA, EPA) without clear separation • Numbers Trained (as noted on Report to Congress) are unclear • Failure to manage grants in accordance with “federal norms”: • App Review/Awarding, Admin/Oversight, Close-out, and Compliance • Regulations do not align with assurance documents or grantee submissions/practices

  7. Top 10 OIG Findings

  8. Improve Grantee Monitoring • Conduct site visits and desk audits • Implement monthly grantee monitoring to provide assistance and education • Use a team approach to review applications and requests, as needed

  9. Improve Grantee Expenditure Review • Grants Portal • Update the PHMSA Expenditure Guidance • Last issued, February 2012 • Continue to update based on new activity requests and application review • *All activities must receive prior approval by PHMSA in order to be funded*

  10. Update Terms and Conditions • Review for issuance each cycle • Increase grantee accountability • Enable PHMSA to take action in the event of non-compliance

  11. Improve Outreach • Updated the Outreach Plan • Webinars • Conferences • Training • Partner with the Hazardous Materials Safety Assistance Team

  12. Outreach Cont…. Provide Educational Materials for Grantees • Site Visit Guidance • HMEP Activities Guidance • Sample Application • 2007-2010 Report to Congress Coming Soon: SF-270 Supporting Documentation Guidance

  13. Staff Training • PHMSA wide competency based training program • Certificates of completion for grants management • PHMSA specific grants training

  14. Reduce Deobligations • Researching the best approach to grant funds allocation • Provided grantees with a three-year history of funds usage

  15. HMEP Grant Funds Utilized Target Target = 19.6 M (90% of Total HMEP Funds Budgeted ($21.8M)) Source: HAZMAT Intelligence Portal (HIP), April 10, 2012

  16. Modified Grants Schedule March 16th Application Process Begins May 1st Deadline for Applications August 1st HMEP Grants Awarded* Sept 30th Deadline for Return of Signed Awards Oct 1st All Grants Open for Use (HMEP, HMIT, and SPSTG) Mar Apr May June July Aug Sept Oct Nov Dec Jan Feb April 1st 2nd Qtr SF-425 Due July 1st 3rd Qtr SF-425 Due Sept 30th 4th Qtr SF-425 Due Dec 31st Close-Out Reports Due Jan 1st 1st Qtr SF-425 Due * NOTE: Grant award must be signed and returned before funds are available for disbursement.

  17. Implement Standard Operating Procedures • Application Review • Monthly Monitoring • Report Review • Payment Request Review • Activity Request Review *SOPs are intended to be evergreen and will be updated with system and procedural changes*

  18. Long Term – Review Regulations • Review the regulations to ensure they reflect the program’s intent and address gaps • Regulatory initiatives identified to date: • Need for a revised Final Close-out report • Need for a Quarterly Progress Report *Changes to reporting requirements must be approved by OMB*

  19. Action Plan

  20. For More Information….. Safety Enhancement Website http://www.phmsa.dot.gov/hazmat/enhancement_program Grants Website http://www.phmsa.dot.gov/hazmat/grants

  21. Questions HMEP.Grants@dot.gov www.phmsa.dot.gov/hazmat/grants (202)366-1109

More Related