Grants Officer Grants Officer RepresentativeRepresentative

GUIDE TO THE GRANT GUIDE TO THE GRANT PROCESSPROCESS

I. For Competitive I. For Competitive Grants:Grants:

Draft an RFP Draft an RFP Send draft RFP to AQM, Grants Team Send draft RFP to AQM, Grants Team

Leader for clearanceLeader for clearance Post on grants.govPost on grants.gov Receive submission of applications/proposalsReceive submission of applications/proposals Hold Review Panel(s) with AQM Hold Review Panel(s) with AQM

representative on panel(s) to assist with any representative on panel(s) to assist with any questions that may come up that pertain to questions that may come up that pertain to the rules and regulations (OMB Circulars) of the rules and regulations (OMB Circulars) of grants grants

Selection of recipientsSelection of recipients

II.II. Pre-award Pre-award determinations determinations

(prior to notifying (prior to notifying recipient)recipient) Debarred and suspended list (Debarred and suspended list (

http://epls.gov/http://epls.gov/)) STOP: STOP: If this is a for-profit, they If this is a for-profit, they

must go through one more set of must go through one more set of approvals with the Office of the approvals with the Office of the Procurement Executive. Your Grant Procurement Executive. Your Grant Specialist will work with you on this.Specialist will work with you on this.

III. Electronic Submission III. Electronic Submission of Grant Packageof Grant Package

Action Memo- Program Analyst submits to AQMAction Memo- Program Analyst submits to AQM Provide to Program Analyst for the Action Memo:Provide to Program Analyst for the Action Memo:

The total approved funding amountThe total approved funding amount Your office symbol, phone number, fax number, and e-mail Your office symbol, phone number, fax number, and e-mail

addressaddress Estimated period of performanceEstimated period of performance Description of action, including: name of the Description of action, including: name of the

organization/recipient, title of the projectorganization/recipient, title of the project The recipient’s point of contact information (separate The recipient’s point of contact information (separate

programmatic and administrative if different) See sample programmatic and administrative if different) See sample action memo for details. action memo for details.

The recipient’s authorized signatory (if different from the The recipient’s authorized signatory (if different from the point of contact ) and all of his/her contact informationpoint of contact ) and all of his/her contact information

The recipient’s DUNS and Tax ID numberThe recipient’s DUNS and Tax ID number

More Action Memo InfoMore Action Memo Info

The recipient’s DUNS and Tax ID numberThe recipient’s DUNS and Tax ID number Statutory AuthorityStatutory Authority Confirmation that the debarred, suspended and Confirmation that the debarred, suspended and

anti-terrorism list has been checkedanti-terrorism list has been checked Source justification. If non-competitive, provide Source justification. If non-competitive, provide

sole-source justification in accordance with Grant sole-source justification in accordance with Grant Policy Directive no. 5. (Policy Directive no. 5. (http://http://aopefa.a.state.gov/content.asp?content_idaopefa.a.state.gov/content.asp?content_id=76&menu_id=69=76&menu_id=69))

Confirmation that you have reviewed the budget to Confirmation that you have reviewed the budget to make sure it corresponds with program make sure it corresponds with program expenditures.expenditures.

Reporting requirementsReporting requirements Congressional Notification Congressional Notification

More Action Memo Info More Action Memo Info From the OrganizationFrom the Organization

Recipient’s ProposalRecipient’s Proposal Statement of work: a paragraph or two Statement of work: a paragraph or two

with background information about the with background information about the program, a list of short term goals and a program, a list of short term goals and a list of long term goals- THIS USUALLY list of long term goals- THIS USUALLY GOES DIRECTLY INTO THE AGREEMENT.GOES DIRECTLY INTO THE AGREEMENT.

Recipient’s Budget (as detailed as possible)Recipient’s Budget (as detailed as possible) Recipient’s Negotiated Indirect Rate Recipient’s Negotiated Indirect Rate

Agreement (NICRA)Agreement (NICRA) If the organization has a NICRA, then it must be If the organization has a NICRA, then it must be

submitted with each grant package. submitted with each grant package.

IV. Initiate purchase IV. Initiate purchase request process request process

Provide your financial office with the Provide your financial office with the Contact & Financial Information for Contact & Financial Information for them to establish the grant in the them to establish the grant in the system early so that it’s ready to go system early so that it’s ready to go when everything is signed and when everything is signed and completed. completed.

V. After the grant package V. After the grant package and requisition are and requisition are received, AQM will:received, AQM will:

Carefully review all submitted information . This includes Carefully review all submitted information . This includes a detailed analysis of the budget submission. Grant a detailed analysis of the budget submission. Grant specialist may be required to work with Recipient on specialist may be required to work with Recipient on negotiation and or clarification of budget line items in negotiation and or clarification of budget line items in accordance with the OMB circulars. accordance with the OMB circulars.

Determine the proper vehicle (grant, cooperative Determine the proper vehicle (grant, cooperative agreement, contract)agreement, contract)

Draft grant agreement document – this includes the DS-Draft grant agreement document – this includes the DS-1909 cover page and the terms and conditions.1909 cover page and the terms and conditions.

After all conditions have been met and negotiations are After all conditions have been met and negotiations are complete, the grants officer will sign the grant document complete, the grants officer will sign the grant document and send it to the recipient for counter-signatureand send it to the recipient for counter-signature

Once the grant agreement is signed by both parties, AQM Once the grant agreement is signed by both parties, AQM will send the DS-1909, a copy of the grant and, if will send the DS-1909, a copy of the grant and, if applicable, the final approved budget to both Program applicable, the final approved budget to both Program Analyst and the GORAnalyst and the GOR

VI. Grants Officer VI. Grants Officer Representative (GOR) Representative (GOR)

MemoMemo In accordance with DRL policy, GOR training In accordance with DRL policy, GOR training

is required. See OPE website for course is required. See OPE website for course details: details: http://http://aopefa.a.state.gov/content.asp?content_iaopefa.a.state.gov/content.asp?content_idd=4&menu_id=69=4&menu_id=69 The GOR Memo delegates specific authorities to the The GOR Memo delegates specific authorities to the

GOR and explains responsibilities and limitations. GOR and explains responsibilities and limitations. Carefully review memo and acknowledge receipt Carefully review memo and acknowledge receipt

and understanding of GOR duties by signing and and understanding of GOR duties by signing and returning the signed copy to AQM.returning the signed copy to AQM.

This is an official memo that will be placed in the This is an official memo that will be placed in the official grant file.official grant file.

If there is a change in the GOR, please notify AQM. If there is a change in the GOR, please notify AQM. A re-delegation of authority must occur.A re-delegation of authority must occur.

VII. Post Award (while the VII. Post Award (while the project is on-going)project is on-going)

Changes to the grant agreement:Changes to the grant agreement: All change requests must be submitted All change requests must be submitted

simultaneously to both the grant simultaneously to both the grant specialist, Program Analyst and the specialist, Program Analyst and the GOR. Requests can be submitted by GOR. Requests can be submitted by mail or email.mail or email.

The grant specialist, Program Analyst, The grant specialist, Program Analyst, and GOR should work closely together and GOR should work closely together as a team to determine if an official as a team to determine if an official amendment is required.amendment is required.

Common requests for Common requests for changes include:changes include:

Budget reallocation:Budget reallocation: In accordance with Provision VI of the grant In accordance with Provision VI of the grant

agreement document:agreement document: ““Grantee is permitted to move up to 15% of program Grantee is permitted to move up to 15% of program

funds over the life of the grant without consulting the funds over the life of the grant without consulting the Grants Officer. Grantee may not move funds between Grants Officer. Grantee may not move funds between program and administrative expenses without the program and administrative expenses without the written consent of the Grants Officer.”written consent of the Grants Officer.”

Extension of the period of performanceExtension of the period of performance Request for additional budget line itemsRequest for additional budget line items

The grant specialist will have final determination The grant specialist will have final determination of allowability and reasonableness of requested of allowability and reasonableness of requested change. change.

All official responses regarding requests must All official responses regarding requests must come from AQM .come from AQM .

What changes will likely What changes will likely not be approved?not be approved?

Changes that have no relation to the Changes that have no relation to the original scope of the programoriginal scope of the program

Transfer of money for a different Transfer of money for a different programprogram

Request for extensions after the grant Request for extensions after the grant has already expiredhas already expired

VIII. Close-outVIII. Close-out Final programmatic and financial reports should be submitted, Final programmatic and financial reports should be submitted,

to the grant specialist, Program Analyst, and GOR, within 90 to the grant specialist, Program Analyst, and GOR, within 90 calendar days after the expiration of the grant agreement. calendar days after the expiration of the grant agreement.

If the recipient has unexpended funds after the project has If the recipient has unexpended funds after the project has been completed, the funds must be returned to the been completed, the funds must be returned to the Department and de-obligated. Department and de-obligated.

Equipment disposition:Equipment disposition: ““Upon completion of the Grant, the Recipient shall submit Upon completion of the Grant, the Recipient shall submit

in writing within 30 working days a list of all non-in writing within 30 working days a list of all non-expendable personal property acquired during the Grant expendable personal property acquired during the Grant performance. This list shall include, at a minimum: a performance. This list shall include, at a minimum: a description of the property; manufacturer's serial number, description of the property; manufacturer's serial number, model number, or other identification number; and model number, or other identification number; and location, use and condition of the propertylocation, use and condition of the property.”.”

The grant specialist will provide disposition instructions for all The grant specialist will provide disposition instructions for all non-expendable personal property acquired with assistance non-expendable personal property acquired with assistance funds having a unit cost of $5,000 or more after the period of funds having a unit cost of $5,000 or more after the period of the grant has endedthe grant has ended

Thank You DRL!Thank You DRL!