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Major changes in federal grants management, innovative strategies introduced, and key improvements for better coordination. Detailed activities and future plans in various areas of grant management.
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Federal Grants Streamlining Michael Nelson Director, Grants Management Division
Major Changes Since Last Year: • Grants Policy Committee Reinvigorated by • Tom Cooley, Chief Financial Officer of the • National Science Foundation, and Susan • Grant, CFO of the Department of Energy • Grants.gov has measurable targets for find • and apply that are substantially higher for all • federal grant making agencies • Government Accountability Office is now • actively tracking progress
Federal Financial Assistance Management Improvement Act • Also known as Public Law 106-107 • Initial plan developed against which all agencies • are being judged was developed • Plan is at: http://www.hhs.gov/grantsnet/ • pl106-107final.pdf
Sec. 3. Purposes • The purposes of this Act are to— • Improve the effectiveness and performance • of Federal financial assistance programs; • (2)Simplify Federal financial assistance application • and reporting requirements • (3)Improve the deliver of services to the public; and • (4)Facilitate greater coordination among those • responsible for delivering such services
Activities • Five topic areas: • Pre-Award • 2. Mandatory • 3. Post-Award • 4. Audit Oversight • 5. Training and Certification
Done/In Process/Future Done: 1. Standard opportunity announcement format 2. Standard application forms and data elements 3. Include virtually all assurances in announcement and terms and conditions (not in application) 4. DUNS number requirement
Done/In Process/Future Done: 5. Grants.gov “Find” data elements developed 6. Single Governmentwide Debarment and Suspension (Non-procurement) and Government- wide Requirement for Drug-Free Workplace (Grant) Rule published 7. Title 2 established for all grant regulations 8. Cost circulars, Administrative Circular for non- governments, and Suspension and Debarment guidance moved to Title 2.
Done/In Process/Future • In Process: • Drug-free workplace guidance • 2. Central Contractor Registry standard policies • 3. Single administrative requirements • guidance to agencies • 4. Working with the Federal Demonstration • Partnership on standard terms and conditions
Done/In Process/Future • Future: • Standardize Notice of Award • Place agency specific regulations in • Title 2, Part B • Continue to improve and standardize • application data elements
Done/In Process/Future • Done: • Developed and deployed the SF-424M (standard • cover page) • 2. Approved additional forms (already in use by • discretionary grants) for Mandatory applications • In Process: • Terms and conditions • Policy for application use
Done/In Process/Future • Future: • Consistent application requirements • 2. Consistent reporting requirements
Done/In Process/Future Done: Payments 1. Either ASAP or PMS had to be chosen 2. Pooled payments is an option Cost Principles Simplification of three sets of cost principles
Done/In Process/Future In Process: Payments Survey of utilization of ASAP and PMS by agencies Indirect Cost Uniform Guidance Handbook Requirements document being finalized
Done/In Process/Future • In Process: • Reports • Inventions – to be used to report all inventions • conceived or put into practice using grant funds • a. Data elements developed • b. Utilize iEdison • c. Working on policy statement
Done/In Process/Future • 2. Federal Financial Report – to report cash outlays • and expenditures, obligations, cost sharing, and • program income • Form finalized • Data elements finalized • Pilot test currently at the Payment Management • System of Health and Human Services • d. If approved, will go out from OMB for final • agency utilization
Done/In Process/Future • 3. Real Property Report – status report on Real • Property or request agency instructions on • disposition: • Reviewed and commented upon by federal • agencies • b. Notice being prepared for Federal Register
Done/In Process/Future • 4. Personal Property Report – status report of • certain grantee owned equipment and/or • federally owned equipment: • Initial format being reconsidered • Issues regarding status versus disposition • Non-Federal reporting for select equipment • d. Federally owned of intense interest
Done/In Process/Future • 5. Program Performance Report – to report on all • Progress by recipients other than research awards. • Format developed • Agency comments received and acted upon • Revisions to administrative requirements being • worked on • d. Next step is for Federal Register Notice
Done/In Process/Future • 6. Research Report – to be used by all recipients • of research grants and cooperative agreements. • Developed by an interagency team • Reviewed and analyzed by all research funding • agencies • c. Approved for Federal Register Notice
Done/In Process/Future Future: 1. Consolidate Cost Principles 2. Reduce Payment Systems 3. Further simplify and standardize all reports
Done/In Process/Future Done: 1. Threshold for audit raised to $500,000 of expenditures per year. 2. Pamphlet completed: Highlights of the Single Audit Process http://www.dol.oig.gov/public/reports/oa/ Documents/singleauditcfoBrochure.pdf
Done/In Process/Future • In Process: • Review of data elements, instructions, and • appearance of Single Audit Clearinghouse • information collection • 2. Update compliance supplement for accuracy • and consistency • 3. Review of audit quality performed by • CPA firms
Done/In Process/Future • Review of audit quality performed by CPA firms • Audit Policy issues being reviewed
Done/In Process/Future Future: 1. Improve services provided by Single Audit Clearinghouse 2. Develop single audit policy for all recipient organizations
Training and Oversight
Done/In Process/Future • In Process: • Federal and non-Federal training curriculums are • being reviewed for recommendations • 2. Competencies for grants managers are • being developed • 3. Certification requirements are being • reviewed • 4. A database of current knowledge and • competencies is in the planning phase
Done/In Process/Future • Future: • 1. Standard training for all grant managers • 2. Standard abilities and competencies • defined government-wide • 3. A process for certifying current and • future grant managers will be • Developed • 4. Government-wide data base will be • built
Public Law 106-107 • The law sunsets in November, 2007 • OMB and the grant making agencies have a mandate to comply with the Act. • Annual reports to Congress are being • closely scrutinized • 4. Agency budgets are being impacted • based on their compliance with the Act • 5. Most agencies take their responsibilities • seriously and are participating in all of • these efforts.
