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BUSINESS SERVICES DIVISION. GRANT MANAGEMENT THE STATE PERSPECTIVE January 20, 2010 Jim Clark – Chief, Financial Reporting and Coordination Branch. WHAT IS A GRANT? HOW DOES IT DIFFER FROM OTHER CONTRACTS?.
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BUSINESS SERVICES DIVISION GRANT MANAGEMENT THE STATE PERSPECTIVE January 20, 2010 Jim Clark – Chief, Financial Reporting and Coordination Branch
WHAT IS A GRANT?HOW DOES IT DIFFER FROM OTHER CONTRACTS? • An award of financial assistance the principal purpose of which is to transfer a thing of value from a Federal agency to a recipient to carry out a public purpose of support or stimulation authorized by a law of the United States (see 31 U.S.C.6101(3)). • Government Agencies and Non-profit organizations • Grantee develops and runs the program • Grantor approves program, monitors, make payments, audits/reviews • A grant is distinguished from a contract, which is used to acquire property or services for the Federal government's direct benefit or use. Source – grants.gov - Glossary • Specific direction on the goods or service to be acquired is given by the procurer to the vendor • e. g. a blue 2009 Buick LeSabre with features “A”……………. “Z • In Maryland, grants are exempt from the State Board of Public Works approval requirements • Grant Payments can be made without invoices.
STATE GRANT SOURCES FEDERAL FORMULA – e. g. Title I, Part A – NCLB (CFDA 84.010) DISCRETIONARY – e. g. Title II Part C Transition to Teachers - NCLB (84.350A) STATE GENERAL FUNDS FORMULA (restricted or unrestricted) DISCRETIONARY SPECIAL – NON GOVERNMENTAL SOURCE (e.g. Gates Foundation) government rules still apply!!!!! REIMBURSABLE – ANOTHER STATE AGENCY
STATE GRANT TYPES • FORMULA • FEDERAL – RESTRICTED (LIMITED EXCEPTIONS) • Formula Grants-- Allocations of money to States or their subdivisions in accordance with distribution formulas prescribed by law or administrative regulation, for activities of a continuing nature not confined to a specific project. (EDGAR Appendix B) • STATE – MAY BE RESTRICTED – RECENT TREND (BRIDGE TO EXCELLENCE ACT ) FAVORS UNRESTRICTED GRANTS – NO SINGLE APPLICATION NEEDED – LEA MASTER PLAN • American Recovery and Reinvestment Act (ARRA) – special case
STATE GRANT TYPES • COMPETITIVE – GENERALLY INVOLVES AN APPLICATION • A grant for which the awarding agency generally may select the recipient from among all eligible recipients, may decide to make or not make an award based on the programmatic, technical, or scientific content of an application, and can decide the amount of funding to be awarded. • NON-COMPETITVE CONTINUATION GRANTS – BASED ON PERFORMANCE • CRITERIA WILL BE SPECIFIED IN MSDE REQUEST FOR PROPOSAL (RFP) • Scoring Rubric • Broad based review panel
GRANTOR – GRANTEE – SUB-GRANTEE(FEDERAL GRANT MODEL) • FEDERAL AGENCY (GRANTOR) • GIVE DIRECTION, WRITTEN GUIDANCE, & TECHNICAL ASSISTANCE • ALLOCATE FUNDS (FORMULA OR COMPETITION) • ISSUE FUNDING LETTERS AND NOTICE OF GRANT AWARDS TO STATES • PROMULGATE PROCEDURES FOR PAYMENT, MONITORING, SUB-GRANTING, AUDITS, CLOSEOUT, etc. • MONITORING INCLUDES COMPLIANCE AND PROGRAM RESULTS • ESTABLISH REPORTING REQUIREMENTS • STATE AGENCY – MSDE (GRANTEE) • ADJUST STATE BUDGET (REVENUE) • GIVE DIRECTION, WRITTEN GUIDANCE, & TECHNICAL ASSISTANCE • ALLOCATE FUNDS (FORMULA OR COMPETITION) FOR PASS-THROUGH AWARDS • ISSUE FUNDING LETTERS AND NOTICE OF GRANT AWARDS TO SUB-GRANTEES • PROMULGATE PROCEDURES FOR PAYMENT, MONITORING, PROGRESS REPORTING, FINANCIAL REPORTS, AUDITS, CLOSEOUT, etc. • MONITORING INCLUDES COMPLIANCE (FEDERAL & STATE RULES)AND PROGRAM RESULTS • ESTABLISH REPORTING REQUIREMENTS • REPORT FINANCIAL AND PROGRAM RESULTS/STATISTICS TO FEDERAL/STATE OFFICIALS AND THE PUBLIC
GRANTOR – GRANTEE – SUB-GRANTEE(FEDERAL GRANT MODEL) • PRINCE GEORGE’S COUNTY PUBLIC SCHOOLS (SUB-GRANTEE – GRANT MANAGER) • ADJUST SCHOOL SYSTEM BUDGET (REVENUE) • GIVE DIRECTION, WRITTEN GUIDANCE, & TECHNICAL ASSISTANCE TO APPLICABLE LOCAL STAKEHOLDERS • ALLOCATE FUNDS PER THE APPROVED BUDGET (FORMULA OR COMPETITION) • COORDINATE WITH VARIOUS ACADEMIC AND NON-ACADEMIC DEPARTMENTS /OFFICES TO ENSURE THAT THE GRANT APPLICATION AND FEDERAL/STATE/LOCAL RULES AND PROTOCOLS ARE UNDERSTOOD AND FOLLOWED • NON-ACADEMIC • BUDGET – GRANTS DEPARTMENT – PROCUREMENT – HUMAN RESOUIRCES – INFORMATION TECHNOLGY – ACCOUNTING • TRANSPORTATION – SPECIAL EDUCATION – NON-PUBLIC SCHOOLS – PARENT GROUPS – SCHOOL BOARD – AUDIT OFFICE • ACADEMIC AND LEADERSHIP CHAIN OF COMMAND • MONITORING INCLUDES COMPLIANCE AND PROGRAM RESULTS • BRING DEVIATIONS (PROGRAM AND FINANCIAL) TO MANAGEMENT ATTENTION • MAKE TIMELY ADJUSTMENTS – PROGRAMS AND BUDGET • SUBMIT DETAILED PROGRESS REPORTS WHICH TIE BACK TO GOALS IN THE GRANT APPLICATION • BAD NEWS MUST TRAVEL UPWARD!
Results & Compliance • The two rails of Grant Management • Run parallel, consistent, no breaks, constantly monitored for problems • One rail is useless without the other
FRIENDS – COLLABORATORS – AND YOUR WORST ENEMY • Friends • your supervisor, your supervisor’s supervisor, school administrators, parents, school board …..etc. • Must know what, where, when, and how re: your grant • Rules, regulations, expected outcomes, who is served, problems • Remember - these are public funds – not your funds • Collaborators • Folks who make the bureaucracy function • i.e. Budget, grants, procurement, human resources, information technology, legal, accounting, transportation, parent involvement, non-public schools offices and school based officials. • Administrative assistants at all levels • Colleagues who run similar programs at other LEAs
YOUR WORST ENEMY = TIME • The Clock Is Rolling AndCannot Be Re-set
YOUR WORST ENEMY = TIME • Deadlines • ….By close of business on ……. = hard deadline • Grant application • Encumber funds • Grant start date and end date • ..Not later than……. Please don’t wait until this date! – AS SOON AS YOU CAN BUT NOT LATER….. • …___ days before the end of …. = Please don’t wait until this date! – AS SOON AS YOU CAN BUT AT LEAST _ DAYS…..
YOUR WORST ENEMY = TIME • Administrative processing times • # of days it takes to get approval signatures at all levels • Poor time management = Poor Grant Management • Periodically review progress vs. elapsed time - make adjustments
AUDIT RELATED ISSUES • WHO AUDITS? (Formal Audit/Program Audit/On-site or Desk Review) • FEDERAL – SINGLE AUDITS - CPA FIRMS • GAO, Agency IG and program staffs • State Executive, Legislative, and Agency Auditors and Program Staffs • Internal Audits • Audit vs. Review – focus and depth may differ
AUDIT RELATED ISSUES • WHY AUDIT? • Public Funds, Economy & Efficiency, The Law, - Compliance • WHEN AUDIT? • Someone asks for one – Scheduled – Risk Assessment – Problem Surfaces
AUDIT RELATED ISSUES • HOW AUDIT? • Laws, Regulations, Audit Programs, Grant Terms And Conditions • Program Audit – Results • Compliance Audit – Adherence To The Rules • Both Program And Compliance • “Deep Throat Rule” - Follow The Money! • Office of Management and Budget (OMB) http://www.whitehouse.gov/omb/ • A-87 Cost Principles for State, Local, and Indian Tribal Governments (Allowable Costs) • A-133 - Audits of States, Local Governments, and Non-Profit Organizations
MSDE – NOTICE OF GRANT AWARD (NOGA) • SENT TO LEA CEO, CFO, RESPONSIBLE LEA PROGRAM OFFICE BY THE MSDE PROGRAM OFFICE • ACTUAL GRANT MANAGER AND ACTUAL FISCAL MANAGERS MUST GET, READ, AND RETAIN A COPY – WITHOUT DELAY
MSDE – NOTICE OF GRANT AWARD (NOGA) • COVER LETTER, ASSURANCES, SIGNED APPROVED BUDGET, AND OTHER PROGRAM SPECIFIC INFORMATION • THESE ITEMS AND OTHER IMPORTANT WRITTEN DOCUMENTATION SHOULD BE MAINTAINED IN THE ACTUAL GRANT MANAGER’SOFFICIAL GRANT FILE.
SUMMARY • GRANT MANAGEMENT INVOLVES: • TIME MANAGEMENT – PROCESSING TIME • KNOWLEDGE & ADHERENCE TO THE LAW • COLLABORATION WITH OTHERS • FOCUS ON GOALS, OBJECTIVES, & COMPLIANCE • RESTRICTIONS – AT ALL LEVELS • GOOD FILE MANAGEMENT • PERSISTENCE & GOOD HUMOR • FLEXIBILITY