APPENDIX_A_and_B.pdf

APPENDIX A

GRANTS ADMINISTRATION FUNCTIONAL EVENTS

(Discretionary Grants)

1. Legislative Authorization: This event includes those activities which are necessary to determine if specific programs are authorized in law and if appropriate procedures are in place to assure that required legislative changes are promptly implemented.

Systems Requirements:

The grants management system should contain functionality that would allow the system to store/reproduce the appropriate legislation citations for the specified program announcements and Notice of Grant Awards (NGA).

2. Regulatory Requirements: This event includes all activities which are related to the issuance of regulations for grant programs prior to implementing the program or making grant awards. Among the activities to be covered are (1) determination of whether regulations are required by law or for programmatic and/or administrative reasons; (2) review and issuance of regulations, including the provision of sufficient time for public comment; and (3) the establishment of timetables to assure that regulations are published, either in interim or final form, before the beginning of the grant cycle.

Systems Requirements:

The grants management system should contain functionality that would allow the system to store/reproduce the appropriate program regulation citations for the specified program announcements and NGA.

3. Development and Issuance of Program Information: This event covers those activities which provide potential applicants for grants and cooperative agreements with information sufficient to judge whether to apply, to understand how and against what criteria an application will be evaluated, and to understand the obligations imposed on a recipient. This information is usually contained in a published notice of funding opportunity announcement.

Systems Requirements:

The grants management system should contain functionality that will allow the agency to produce draft program announcements, allow for online comments/edits, allow for online approvals/clearances, produce the final (NOFO), and allow for online publication to the Internet.

4. Provision of Application Packages: This event covers those activities involving the provision of all technical information and forms necessary for an applicant to submit a complete and timely application to a specific program announcement or request for application.

Systems Requirements:

The grants management system should contain functionality that will allow all pieces of the application packet to be assembled electronically in one place (one stop shop), allow all internal approvals/clearances for tracking and allow final publication to the Internet in the appropriate format.

5. Receipt and Initial Processing of Application: This event covers those activities related to the official point of receipt of all grant applications. The responsibilities of the receipt point are to (1) log in and acknowledge receipt (back to applicant) of applications, (2) review to ensure that: (a) required assurance forms, etc. have been submitted, (b) the application is timely, (c) the applicant is eligible, and (d) application conforms to the protocol listed in the announcement, and (3) refer applications to appropriate personnel/committees.

Systems Requirements:

The grants management system should contain functionality that will allow the recipient to log in and acknowledge receipt of applications either electronically or via paper, create the initial applicant organization profile, create the initial Program Director profile, allow the tracking and reporting of the data from the application (including budget information), allow the tracking of receipt dates and postmark deadlines, allow the tracking of application type (new, renewal, supplement, etc.), allow the tracking and reporting of rejected applications, run reports on applications received, assign a unique application number to each application, and allow data from this component to auto populate the other components of the grants management system.

6. Objective/Peer Review of Application: This event covers all activities related to the objective/peer review of discretionary grants. The review includes a thorough and consistent examination of each application by persons knowledgeable in the field of endeavor for which support is requested, who have no direct relationship with the organization or individual submitting the application, and who do not have any personal or vested interest in the award of a grant to that organization or individual. The review is to objectively provide advice to the awarding official based on an evaluation of the scientific or technical merit of the proposal.

This event also covers the process for selecting individuals to serve on committees and review boards and other provisions to assure there are no conflicts of interest, and that meetings, proceedings, and reports are accessible to the public, except where specifically excluded by law or regulation.

Stages of Review:

Assign reviewers to panels Assign applications to panels Assign primary, secondary & tertiary reviewers to each application Establish a Chair for the panel Give reviewers instructions for the review Allow for reviewer feedback (via face-to-face reviews, telephone reviews, video conference reviews or field reviews) Collect reviewer feedback Collect reviewer’s scores Tally all scores and prepare ranking lists Prepare responses back to applicant Prepare documentation of application strengths and weakness (also called a summary statement)

Systems Requirements:

The grants management system should contain functionality that maintains a database of grant reviewers (Curricula Vitae, address, years on panel, current status, etc.), assigns applications to panels, assign reviewers to panels (creation of panels), sets up review meetings, creates meeting rosters, tracks reviewer’s feedback, prepare score sheets, track reviewer’s scores, calculates ranking scores, allow for human subjects and animal welfare coding, prepares ranking lists, generate form letters for response back to applicants, generates summary statements (summary of applicant strengths and weaknesses), and track whether a second level of review was required.

7. Grants Management Business Review: This event covers all activities which ensure that all required business management actions are performed by the grantee and the Government in a timely manner, both prior to and after award. This responsibility includes the evaluation and monitoring of the business/financial management capability and performance of applicant organizations and grantees and the conducting of the cost analysis of the applications.

Systems Requirements:

The grants management system should contain functionality that can auto-populate data from the application and review components of the system into this grants management component. The system should also contain functionality that allows the creation of the NGA, terms and conditions, and grant award amendments; should contain a budget negotiation module that will auto-populate the NGA, should track award actions and amendments per each individual grant, assign/or extract a unique individual grant number to each grant approved for funding, include an indirect cost rate calculation module, include an administrative review checklist, include a financial management capability review checklist, allow notification to the congressional liaison office (CLO), have an interface to the accounting system for obligation or de-obligation of funds, maintain high risk grantee tracking, maintain demographics tracking, link to the central registry system for creation of EINs, maintain data from federal financial status reports (FFRs), maintain tracking of reports due/and due dates (progress, evaluation, property, invention, financial, closeout, etc.), generate form letters (continuation applications, closeouts, and delinquent reports), maintain site visit report data, maintain workload status reports for assigned staff, and allow for both standard and ad hoc report queries.

8. Program Technical Review: This event covers all activities related to the programmatic review of applications to ensure the propriety of funding in terms of the priorities of program, and, as appropriate, the soundness of the proposal in view of information available and knowledge of prior experience with the applicant is appropriate. This responsibility includes the review of the peer reviewer’s comments in conjunction with program’s review of the proposed project, an analysis between the two, program’s recommendations, and preparation of the funding lists.

Systems Requirements:

The grants management system should contain functionality that will generate funding memos, track funding recommendations, track funding decisions, create application ranking, scoring, and approval lists, allow the input of grant abstracts, allow comments on the progress of project, allow data input for site visit information (per individual grant), and allow for both standard and ad hoc report queries.

9. Certification of Availability of Funds: This event covers those activities which are related to the certification of funds for individual grant awards. This also includes responsibility for assuring that funds are available for specific grant programs and that appropriate records are maintained which indicate that total amount of funds available for obligation and the remaining programmatic unobligated balances.

Systems Requirements:

The grants management system should contain functionality that allows the financial management officer to certify the amount of funds available per treasury symbol/account number and verify other accounting data.

10. Funding Decisions: This event covers all those activities resulting in the official decision to fund a specific grant application. Such decisions are based not only on the recommendations resulting from the objective/peer review process, including recommendations from national Advisory Councils as appropriate, but also on stated programmatic priorities, the availability of funds, E.O. 12372, Intergovernmental Review, and other information available to the awarding official including comments and recommendations from grants management and program staff. The funding list would be approved at this juncture.

Systems Requirements:

The grants management system should contain functionality that will generate funding memos, track funding recommendations, track funding decisions, and create ranking and approval lists.

11. Issuance of Notice of Grant Award: This event covers all those activities required to prepare and issue the official grant award document to the applicant. The award document will, among other things, set forth the approved budget, indirect costs, if appropriate, and the approved period of support; identify the approved grant application or its equivalent; indicate the grantee’s specific matching, or cost sharing requirement if appropriate: specify any special terms and conditions; include the name of the individual (project or program director, or principal investigator) who by the terms of the application will have responsibility for the conduct of the project or program; and may specify the option to be exercised by the grantee concerning the disposition of general program income earned from the grant-supported activities.

This event includes the official signature on the grant award document which legally obligates the Federal Government. This event also includes notification to the Financial Management Office that the grant awards have been made and a waiting period for notification to the Congressional Liaison Office (CLO), if applicable.

Systems Requirements: see system requirements for item number 7. Grants Management Business Review.

12. Payment: This event covers all those activities related to the payment of funds based on an official grant award. These activities include recording the grant award as an obligation in the official accounting system (via an approval list or electronic batch file to the accounting system) and notifying the grant payment system (i.e., HHS-PMS, Treasury ASAP, NSF, Department of Education, or Department of Justice) to make payment to the grantee.

Systems Requirements:

The grants management system should contain functionality that will record the grant award (individually or in-block) as an obligation in the official accounting system (via an approval list or electronic batch file to the accounting system) and that will run both standard and ad hoc reports on this data. It also should allow the use of multiple accounting codes for funds distribution.

13. Monitoring Program Review: This event includes all those activities related to the Federal Managers’ role for stewardship of Federal funds and responsibility for meeting program objectives. This event includes the monitoring of grants to identify potential problems and areas where technical assistance might be necessary. Monitoring of a project or activity shall continue for as long as the Federal government retains a residual financial interest in the project or activity, whether or not the government is providing active grant support. Monitoring of the program aspects of a grant includes the review of correspondence, reports from the recipient, telephone/video conversations, and the conducting of site visits. There is often a close relationship between the programmatic and business monitoring of a grant.

Systems Requirements:

The grants management system should contain functionality that allows for the running of both standard and ad hoc reports on all data fields. The system should also have appropriate data fields for tracking all reports due, due dates and notifications of when reports are delinquent, and special notes regarding concerns.

14. Monitoring Business/Financial Review & Tracking: This event is intended to assure the Federal Manager’s stewardship of Federal funds is appropriate and includes those activities and sub-events involved in seeing that all business and financial provisions of the grant award are followed. A major objective of monitoring and tracking is to identify potential problems or areas where technical assistance could be provided to prevent violations of policy or terms of the grant. Monitoring is also for the purpose of assuring that any special terms and conditions placed on the award are met and that the special terms and conditions are removed when they have been met. Monitoring of the business/financial aspects of a grant includes the tracking and review of progress reports and financial reports from the recipient, telephone conversations, correspondence and the conducting of site visits. This event also includes assuring that program information files, official grant files, and institutional files are maintained to document actions taken and the status of each grant. These activities are performed by the awarding organization Grants Management/Agreements Officer in compliance with program statutes, the OMB 2 CFR 200 policy, and the agency’s regulations and grant policy manuals.

Systems Requirements:

The grants management system should contain functionality that allows for the running of both standard and ad hoc reports on all data fields. The system should also have appropriate data fields for tracking all reports due (progress, evaluation, financial, inventions, property, closeout, etc), due dates and notifications of when reports are delinquent, tracking of special award restrictions, tracking for the release of the special restrictions, and tracking of special waivers given to grantees.

15. Grant Changes: This event consists of two distinct, but interrelated, courses of action by which the terms and conditions of an approved grant may be changed. Prior Approval - this activity consists of receiving, reviewing, and responding to correspondence from the grantee where prior approval of the Government is required before certain actions may be taken. The GMO normally provides the response to the grantee, although correspondence may be signed by a higher-level responsible official. Revision of Award - this activity consists of authorizing changes in the terms and conditions of the grant, and, where required, issuing revisions or amendments to the notice of grant award.

Systems Requirements:

The grants management system should contain functionality that allows for amendments to a NGA (old amendments should be retained for historical purposes), tracking of special award restrictions, tracking for the release of the special restrictions, and tracking of special waivers given to grantees, tracking of prior approval actions and both standard and ad hoc reporting capability.

16. Adverse Determinations: This event includes all those activities which are related to problems which arise in the administration of a grant. These areas of disagreement could involve either programmatic or financial issues. This event also includes audit problems which are generally the responsibility of the audit resolution staff. Possible adverse determinations may be to place the grantee on “high risk” status, rescind funds, suspend the grant, and/or terminate the grant.

The grants management system should contain functionality to allow tracking of special terms and conditions, disallowed costs, high risk designations, grant suspensions, grantee organizational debarments, Principal Investigator issues (Office of Scientific Integrity), etc.

17. Suspension/Termination/Withholding: This event includes those activities which result in the suspension, termination, or withholding of a grant award. This event includes the preparation and documentation of sufficient data, either programmatic or financial, which will support the proposed action, and the necessary procedural requirements to take final action. This event is usually the result of a grantee not conforming to the grant’s terms and conditions.

Systems Requirements:

The grants management system should contain functionality that will allow the tracking of grants that have been suspended, terminated or awards that have been withheld, tracking of when the issues are resolved and the ability to run both standard and ad hoc reports.

18. Appeals: This event occurs when there has been an adverse action taken against the grantee and the grantee disagrees. Some federal agencies have an appeals process and an Appeals Board.

Systems Requirements:

The grants management system should contain functionality for tracking all grants that have entered a formal appeals process, the status at relevant intervals, and the final decisions rendered.

19. Closeout: This event covers all those actions which must be taken before the grant can be officially closed. These activities can be either programmatic or financial and must meet the official closeout requirements as specified in grant manuals or other official policy guidance.

Systems Requirements:

The grants management system should contain functionality that contains the closeout checklist, the tracking of all final reports due, the closeout reminder letter, the tracking of all submitted closeout documents, the closeout program review form, a link to the accounting system to allow de-obligations of unobligated dollars, and a notification to the grant payment system to close out the grant.

20. Audit Resolution: This event occurs when a Single Audit Act audit of a grantee reflects findings and/or disallowance of costs. All grantee audits are submitted to the GSA Federal Audit Clearinghouse for review. Any audits that have findings are submitted to the respective federal agencies for resolution of the findings that pertain to their program.

The grants management system should contain functionality that tracks all Single Audit Act audit reports and findings, the date of entry to the agency for resolution, a link of the audit number to the actual grant affected, data fields to record each audit finding by audit code, the actual Audit Clearance Document, a generated form letter for the management decision, a formal date of resolution and the ability to run both standard and ad hoc reports.

21. Records Management: This event describes the daily upkeep and maintenance of the official grant file. The official grant file is the legal recordation of all programmatic and financial transactions. As such it should include all progress, financial, evaluation, and site visit reports. In addition, all correspondence going to and received from the grantee should be filed including e-mails, telephone, and video communications.

Systems Requirements:

The grants management system should contain functionality that will allow for the tracking of the official grant file, the official grant file checklist (documents what should be in the file), should be able to assign and track grant portfolios to staff, should be able to give a report on the open grant files and the closed grant files based on closeout status of grants.

APPENDIX B

GRANTS ADMINISTRATION FUNCTIONAL EVENTS

(Mandatory Grants)

1. Legislative Authorization: This event includes those activities which are necessary to determine if specific programs are authorized in law and if appropriate procedures are in place to assure that required legislative changes are promptly implemented.

Systems Requirements:

The grants management system should contain functionality that would allow the system to store/reproduce the appropriate legislation citations for the specified program announcements and Notice of Grant Awards (NGA).

2. Regulatory Requirements: This event includes all activities which are related to the issuance of regulations for grant programs prior to implementing the program or making grant awards. Among the activities to be covered are (1) determination of whether regulations are required by law or for programmatic and/or administrative reasons; (2) review and issuance of regulations, including the provision of sufficient time for public comment; and (3) the establishment of timetables to assure that regulations are published, either in interim or final form, before the beginning of the grant cycle.

Systems Requirements:

The grants management system should contain functionality that would allow the system to store/reproduce the appropriate program regulation citations for the specified program announcements and NGA.

3. Development and Issuance of Program Information: This event covers those activities which provide potential applicants for grants with information sufficient to understand how and against what criteria an application or state plan will be evaluated, and to understand the obligations imposed on a recipient. This information is usually contained in a published program announcement (PA) or letter to the Governor.

Systems Requirements:

The grants management system should contain functionality that will allow the agency to produce draft program announcements/letters, allow for online comments/edits, allow for online approvals/clearances, produce the final (PA) or letter, and allow for online publication to the Internet.

4. Provision of Application Packages: This event covers those activities involving the provision of all technical information and forms necessary for an applicant to submit a complete and timely application or plan to a specific program announcement or letter.

Systems Requirements:

The grants management system should contain functionality that will allow all pieces of the application packet or plan to be assembled electronically in one place (one stop shop), allow all internal approvals/clearances for tracking.

5. Receipt and Initial Processing of Application: This event covers those activities related to the official point of receipt of all grant applications or program plans. The responsibilities of the receipt point are to

(1) log in and acknowledge receipt (back to applicant), (2) review to ensure that (a) required assurance forms, etc. have bee submitted, (b) the application is timely, (c) the applicant is eligible, and (d) application conforms to the protocol listed in the announcement or plan, and (3) refer applications to appropriate program staff.

Systems Requirements:

The grants management system should contain functionality that will allow the receipt (log in and acknowledge receipt) of applications either electronically or via paper, create the initial applicant organization profile, create the initial Program Director profile, allow the tracking and reporting of the data from the application (including budget information), allow the tracking of receipt dates and postmark deadlines, allow the tracking of application type (new, renewal, supplement, etc.), allow the tracking and reporting of rejected applications or state plans, run reports on applications received, and allow data from this component to auto populate the other components of the grants management system.

6. Review of Application: This event covers all activities related to the review of the mandatory grants. The review includes a thorough and consistent examination of each application or state plan by persons knowledgeable about the program. The review is to objectively provide advice to the awarding official.

Systems Requirements:

The grants management system should contain functionality that will generate funding memos, track funding recommendations, track funding decisions, create approval lists, award letters, allow data input for site visit information (per individual grant), and allow for both standard and ad hoc report queries.

7. Grants Management Business Review: This event covers all activities which ensure that all required business management actions are performed by the grantee and the Government in a timely manner, both prior to and after award. This responsibility includes the evaluation and monitoring of the business/financial management capability and performance of applicant organizations and grantees.

Systems Requirements:

The grants management system should contain functionality that can auto-populate data from the application and review components of the system into this grants management component. The system should also contain functionality that allows the creation of the award letter, terms and conditions, and grant award amendments; should track award actions and amendments per each individual grant, assign a unique individual grant number to each grant approved for funding, include a financial management capability review checklist, have an interface to the accounting system for obligation or de-obligation of funds, maintain demographics tracking, maintain data from federal financial status reports (FFR), maintain tracking of reports due/and due dates (progress, financial, closeout, etc.), generate form letters (applications, closeouts, and delinquent reports), maintain site visit report data, maintain workload status reports for assigned staff, and allow for both standard and ad hoc report queries.

8. Certification of Availability of Funds: This event covers those activities which are related to the certification of funds for individual grant awards. This also includes responsibility for assuring that funds are available for specific grant programs and that appropriate records are maintained which indicate that total amount of funds available for obligation.

The grants management system should contain functionality that allows the financial management officer to certify the amount of funds available per treasury symbol and account number, and to create allotment formulas.

9. Issuance of Notice of Grant Award: This event covers all those activities required to prepare and issue the official grant award document/letter to the applicant. The award document/letter will, among other things, set forth the approved budget, the approved period of support; identify the approved grant application/plan or its equivalent; indicate the grantee’s specific matching, or cost sharing requirement if appropriate, and specify any special terms and conditions. This event includes the official signature on the grant award document/letter which legally obligates the Federal Government.

Systems Requirements: see system requirements for item number 7. Grants Management Business Review.

10. Payment: This event covers all those activities related to the payment of funds based on an official grant award/letter. These activities include recording the grant award as an obligation in the official accounting system (via an approval list or electronic batch file to the accounting system) and notifying the payment system to make payment to the grantee.

Systems Requirements:

The grants management system should contain functionality that will record the grant award (individually or in-block) as an obligation in the official accounting system (via an approval list or electronic batch file to the accounting system) and that will run both standard and ad hoc reports on this data. It also should allow the use of multiple accounting codes for funds distribution.

11. Monitoring Program Review: This event includes all those activities related to the federal manager’s role for stewardship of Federal funds and responsibility for meeting program objectives. This event includes the monitoring of grants to identify potential problems and areas where technical assistance might be necessary. Monitoring of a project or activity shall continue for as long as the Federal government retains a residual financial interest in the project or activity, whether or not the government is providing active grant support. Monitoring of the program aspects of a grant includes the review of correspondence, reports from the recipient, telephone conversations and the conducting of site visits. There is often a close relationship between the programmatic and business monitoring of a grant.

Systems Requirements:

The grants management system should contain functionality that allows for the running of both standard and ad hoc reports on all data fields. The system should also have appropriate data fields for tracking all reports due (progress, financial, closeout), due dates and notifications of when reports are delinquent, tracking of special award restrictions, tracking for the release of the special restrictions, and tracking of special waivers given to grantees.

12. Monitoring Business/Financial Review & Tracking: This event is intended to assure the federal manager’s stewardship of Federal funds is appropriate and includes those activities and sub-events involved in seeing that all business and financial provisions of the grant award/letter are followed. A major objective of monitoring and tracking is to identify potential problems or areas where technical assistance could be provided to prevent violations of policy or terms of the grant. Monitoring is also for the purpose of assuring that any special terms and conditions placed on the award are met and that the special terms and conditions are removed when they have been met. Monitoring of the business/financial aspects of a grant includes the tracking and review of progress reports and financial reports from the recipient, telephone conversations, correspondence and the conducting of site visits. This event also includes assuring that program information files, official grant files, and institutional files are maintained to document actions taken and the status of each grant.

Systems Requirements:

The grants management system should contain functionality that allows for the running of both standard and ad hoc reports on all data fields. The system should also have appropriate data fields for tracking all reports due (progress, financial, closeout), due dates and notifications of when reports are delinquent, tracking of special award restrictions, tracking for the release of the special restrictions, and tracking of special waivers given to grantees.

13. Suspension/Termination/Withholding: This event includes those activities which result in the suspension, termination, or withholding of a grant award. This event includes the preparation and documentation of sufficient data, either programmatic or financial, which will support the proposed action, and the necessary procedural requirements to take final action. This event is usually the result of a grantee not conforming to the grant’s terms and conditions.

Systems Requirements:

The grants management system should contain functionality that will allow the tracking of grants that have been suspended, terminated or awards that have been withheld, tracking of when the issues are resolved and the ability to run both standard and ad hoc reports.

14. Appeals: This event occurs when there has been an adverse action taken against the grantee and the grantee disagrees. Some agencies have an appeal process and an Appeals Board.

Systems Requirements:

The grants management system should contain functionality for tracking all grants that have entered an appeals process, the status at relevant intervals and the final decisions rendered.

15. Closeout: This event covers all those actions which must be taken before the grant can be officially closed. These activities can be either programmatic or financial and must meet the official closeout requirements as specified in grant manuals or other official policy guidance.

Systems Requirements:

The grants management system should contain functionality that contains the closeout checklist, the tracking of all final reports due, the closeout reminder letter, the tracking of all submitted closeout documents, the closeout program review form, a link to the accounting system to allow de-obligations of unobligated dollars, and a notification to the payment system to close out the grant.

16. Audit Resolution: This event occurs when a Single Audit Act audit of a grantee reflects findings and/or disallowance of costs. All grantee audits are submitted to the GSA Federal Audit Clearinghouse for review. Any audits that have findings are submitted to the respective federal agencies for resolution of the findings that pertain to their program.

The grants management system should contain functionality that tracks all Single Audit Act audit reports and findings, the date of entry to the federal agency for resolution, a link of the audit number to the actual grant affected, data fields to record each audit finding by audit code, the actual Audit Clearance Document, a generated form letter for the management decision, a formal date of resolution and the ability to run both standard and ad hoc reports.

17. Records Management: This event describes the daily upkeep and maintenance of the official grant file. The official grant file is the legal recordation of all programmatic and financial transactions. As such it should include all progress, financial, evaluation, and site visit reports. In addition, all correspondence going to and received from the grantee should be filed including e-mails, videos, and telephone communications.

Systems Requirements:

The grants management system should contain functionality that will allow for the tracking of the official grant file, should maintain the official grant file checklist (documents what should be in the file), should be able to assign and track grant portfolios to staff, should be able to give a report on the open grant files and the closed grant files based on closeout status of grants and should have a module that can be used to track the physical inventory of each official grant and audit file.