Targeted Capacity Expansion Health Information Technology Grantee Conference

1. Targeted Capacity Expansion Health Information TechnologyGrantee Conference September 6, 2012

2. Office of Financial ResourcesDivision 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

3. Topics • 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

4. 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

5. Post-Award RequirementsGrantees 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

6. 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 carry-over (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.

7. 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.

8. Method for Requesting Prior Approval • Request submitted in writing as follows: • 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.

9. Reporting Requirements ReportsResponsibilitySent to • Programmatic Progress Program Director Division Grants Management Report • Quarterly Federal Cash Grantee Organization Division of Payment Transaction Report Management (DPM) (FFR 425) • Annual Federal Financial Grantee Organization Division Grants Management Report(FFR-425) • Refer to www.whitehouse.gov/omb/grants forms

10. NEWAnnual 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).

11. FFR -SF425, Annual Report Due Date(s)

12. 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

13. 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

14. 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, e-mail address, and grant number with a cc forwarded to the institution’s business official. The grantee should copy their assigned GPO.

15. Helpful Websites • SAMHSA.gov • SAMHSA Grants Management • Application for continuation SAMHSA grant • HHS Grants Policy Statement • OMB Circular (A-133): Audits for State, Local Governments, & Non-Profit 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

16. 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