Grants Management Manual Grantee Version 2

Grants Management Manual Grantee Version 2

April 2012

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Table of Contents

CHAPTER 1.0 INTRODUCTION ............................................................................................. 1 1.1 GUIDING PRINCIPLES AND STEWARDSHIP OF FEDERAL FUNDS ................... 1 1.2 OVERVIEW OF THE FMCSA GRANT MANAGEMENT PROCESS........................ 1 1.3 PRIMARY SYSTEMS USED IN FMCSA GRANTS MANAGEMENT ...................... 2 1.3.1 ............................................................................................................ 3 1.3.2 GrantSolutions ..................................................................................................... 3 1.3.3 MarkView and iSupplier...................................................................................... 4 1.4 FMCSA GRANT-RELATED ROLES AND RESPONSIBILITIES .............................. 4 1.4.1 Applicant/Grantee ................................................................................................ 4 1.4.2 FMCSA Grant Manager....................................................................................... 5 1.4.3 FMCSA Authorizing Official .............................................................................. 5 1.4.4 FMCSA Grant Program Manager ........................................................................ 5 1.5 STATUTES AND REGULATIONS ............................................................................... 5 1.6 FMCSA GRANT PROGRAMS OVERVIEW ................................................................ 9

CHAPTER 2.0 PRE-AWARD: PLANNING ACTIVITIES ................................................... 15 2.1 SEARCH FOR RELEVANT GRANTS ........................................................................ 15 2.2 PRE-AWARD APPLICANT PLANNING ................................................................... 15 2.2.1 Eligibility Requirement and Considerations ...................................................... 15 2.2.2 Register with .................................................................................... 16 2.2.3 Register with CCR ............................................................................................. 16 2.2.4 Verify or Obtain a DUNS Number .................................................................... 16 2.3 APPLICANT SUPPORT ............................................................................................... 17 2.3.1 Review of Prior-Year Applications ................................................................... 17 2.3.2 Funding Opportunity Conferences..................................................................... 17 2.3.3 Frequently Asked Questions (FAQs)................................................................. 18

CHAPTER 3.0 PRE-AWARD: PREPARING THE APPLICATION .................................... 19 3.1 PERFORMANCE-BASED PROJECTS ....................................................................... 19 3.2 COMPONENTS OF THE APPLICATION PACKAGE .............................................. 19 3.2.1 Project Narrative ................................................................................................ 19 3.2.2 Budget Narrative ................................................................................................ 21 3.3 REQUIRED FORMS..................................................................................................... 21 3.4 SPECIFIC FORMS REQUIRED BY FMCSA ............................................................. 22 3.4.1 Key Contacts Form ............................................................................................ 22

3.4.2 Administrative Capabilities Questionnaire ........................................................ 22 3.4.3 Other Potential Forms Which May Be Required For Select Grant Programs ... 23 3.5 GRANT APPLICATION BUDGET DEVELOPMENT............................................... 23 3.5.1 Budget and Cost Development .......................................................................... 23 3.5.2 Cost Principles ................................................................................................... 25 3.5.3 Matching/Cost Sharing ...................................................................................... 28 3.5.4 Indirect Cost Rates ............................................................................................. 28 3.5.5 Conflicting Guidelines ....................................................................................... 30 3.5.6 Maintenance of Effort ........................................................................................ 30 3.6 RECOMMENDED APPLICANT REVIEW STEPS .................................................... 30 CHAPTER 4.0 PRE-AWARD: FMCSA APPLICATION REVIEW ..................................... 32 4.1 FMCSA APPLICATION REVIEW .............................................................................. 32 4.2 OVERVIEW OF THE INTAKE AND BUSINESS MANAGEMENT REVIEW PROCESS ...................................................................................................................... 33 4.2.1 Application Receipt ........................................................................................... 33 4.2.2 Basic Intake Review .......................................................................................... 33 4.2.3 Business Management Review .......................................................................... 34 4.2.3.1 Debarment and Suspension................................................................................ 34 4.2.3.2 Organizational Code of Conduct ....................................................................... 35 4.2.3.3 Organizational Conflict of Interest .................................................................... 35 4.2.3.4 Lobbying Restriction Reviews........................................................................... 35 4.2.3.5 Delinquent Federal Debts .................................................................................. 36 4.2.3.6 Previous FMCSA Grant Performance ............................................................... 36 4.2.3.7 Previous Audits .................................................................................................. 36 4.3 OVERVIEW OF TECHNICAL REVIEW PROCESS.................................................. 36 4.3.1 Technical Review Process for Formula (Non-Discretionary) Grant Applications

for Awards Mandated or Limited by Statute ..................................................... 37 4.3.2 Technical Review Process for Discretionary Grants ......................................... 38 4.3.3 Selection and Funding Approval ....................................................................... 38 CHAPTER 5.0 AWARD PROCESS........................................................................................ 40 5.1 ACCEPTING THE AWARD ........................................................................................ 40 5.1.1 Grantees Receive the Notification ..................................................................... 40 5.1.2 The Notice of Grant Award Details ................................................................... 41 5.2 NON-SELECTED APPLICANT NOTIFICATION ..................................................... 41 5.3 HIGHLIGHTS OF FMCSA FINANCIAL ASSISTANCE AGREEMENT GENERAL PROVISIONS AND ASSURANCES ........................................................................... 42

CHAPTER 6.0 POST-AWARD: GRANT REPORTING AND OVERSIGHT ..................... 44 6.1 POST-AWARD GRANTEE RESPONSIBILITIES...................................................... 44 6.1.1 Defining the Grantee Role ................................................................................. 44 6.1.2 Defining the Grantor Role ................................................................................. 45 6.1.3 Establishing Grant Files ..................................................................................... 45 6.2 GRANTEE OVERSIGHT ............................................................................................. 46 6.2.1 FMCSA Oversight/Monitoring Methodology ................................................... 46 6.3 BASIC MONITORING ................................................................................................. 47 6.3.1 Overview of Quarterly Progress and Financial Reports .................................... 47 6.3.2 Quarterly Performance Progress Reports........................................................... 47 6.3.3 Quarterly Performance Progress Report Format................................................ 49 6.3.4 Quarterly Federal Financial Reports .................................................................. 49 6.3.5 Data Submissions to the Agency ....................................................................... 50 6.3.6 Audit Reviews.................................................................................................... 50 6.4 ON-SITE MONITORING ............................................................................................. 52 6.4.1 On-Site Monitoring Overview ........................................................................... 52 6.4.2 Preparing for On-Site Monitoring...................................................................... 53 6.4.3 Process Reviews................................................................................................. 54 6.4.4 Program Reviews ............................................................................................... 54 6.5 SUB-GRANTEE OVERSIGHT AND REPORTING RESPONSIBILITIES ............... 56 6.5.1 Sub-Grantee Oversight and Reporting Responsibilities .................................... 56 6.5.2 Sub-Grantee Management ................................................................................. 56 6.6 ENFORCEMENT ACTIVITIES ................................................................................... 57 6.6.1 Enforcement Activities ...................................................................................... 57 6.7 PROJECT AMENDMENTS ......................................................................................... 58 6.8 REIMBURSEMENT REQUESTS ................................................................................ 62

CHAPTER 7.0 GRANT CLOSE-OUT .................................................................................... 66 7.1 OVERVIEW OF FEDERAL GRANT CLOSE-OUT POLICIES AND REQUIREMENTS......................................................................................................... 66 7.2 FINAL VOUCHER AND REPORTING SUBMISSION AND RECONCILIATION. 67 7.2.1 Financial Reconciliation Practices ..................................................................... 68 7.2.2 Sub-Grantee Closeout ........................................................................................ 69 7.2.3 Match Requirement Verification ....................................................................... 69 7.3 EQUIPMENT DISPOSITION....................................................................................... 69 7.3.1 Equipment Disposition Details .......................................................................... 69

7.3.2 Common Rule on Grant Administration for State and Local Governments and Tribes ................................................................................................................. 71

7.4 POST CLOSE-OUT AUDIT REPORT ACTIONS ...................................................... 71 7.5 GRANT RECORDS ACCESS AND RETENTION ..................................................... 71

7.5.1 Record Retention Requirements ........................................................................ 71 7.5.2 Access to Grantee Records ................................................................................ 71 7.5.3 Access to Records in Negotiated Agreements ................................................... 71

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