Minimizing Delays in Grant Application Submission and Helpful Tips in Grants Management.

Minimizing Delays in Minimizing Delays in Grant Application Grant Application

Submission and Helpful Submission and Helpful Tips in Grants Tips in Grants ManagementManagement

PurposePurpose

Identify common delays in grant Identify common delays in grant processingprocessing

Identify grant application requirementsIdentify grant application requirements

Provide additional information on grant Provide additional information on grant processingprocessing

Identify common mistakes in grant Identify common mistakes in grant management (lack of information)management (lack of information)

Potential DelaysPotential Delays

Pre-applicationPre-application– Planning & EnvironmentalPlanning & Environmental– Civil RightsCivil Rights– OtherOther

ApplicationApplication– ContentsContents

Vehicle Fleet StatusVehicle Fleet Status

– DOLDOL

Potential Delays in Potential Delays in Planning/EnvironmentalPlanning/Environmental

Project not included in TIP/STIP, planning project not in Project not included in TIP/STIP, planning project not in UPWPUPWP

Coordinated Human Services Plan does not contain Coordinated Human Services Plan does not contain required elementsrequired elements

Competitive Selection Process does not include required Competitive Selection Process does not include required elementselements

NEPA process not completed - Environmental Analysis NEPA process not completed - Environmental Analysis (Feasibility Study for construction – process is complete (Feasibility Study for construction – process is complete once FTA makes environmental finding)once FTA makes environmental finding)

Appraisal not conducted, or reviewed and approved by Appraisal not conducted, or reviewed and approved by FTAFTA

Provide environmental documentationProvide environmental documentation Ineligible projects (non transit)Ineligible projects (non transit)

Potential Delays in the area ofPotential Delays in the area ofCivil RightsCivil Rights

DBE Goal and supporting documents DBE Goal and supporting documents not submitted or incorrectnot submitted or incorrect

DBE Program not submittedDBE Program not submitted Expired Title VI or EEO programs not Expired Title VI or EEO programs not

updatedupdated Non-responsive to corrective actions Non-responsive to corrective actions

cited in Oversight Reviewscited in Oversight Reviews Certification of Equivalent Service Certification of Equivalent Service

(State DOTs)(State DOTs)

Potential Delays in Other AreasPotential Delays in Other Areas Certifications and Assurances not signed Certifications and Assurances not signed State/Program Management Plans not State/Program Management Plans not

established or revised and submitted to established or revised and submitted to FTAFTA

Non-responsive to corrective actions cited Non-responsive to corrective actions cited in Oversight Reviews in Oversight Reviews

ITS Projects do not conform withITS Projects do not conform with– Regional ArchitectureRegional Architecture– Systems EngineeringSystems Engineering– Non-Add ScopesNon-Add Scopes

Fund Availability (transfers)Fund Availability (transfers)

Fund TransfersFund Transfers Types of fund transfersTypes of fund transfers

– FHWA (STP/CMAQ/ITS)FHWA (STP/CMAQ/ITS) Transit projectsTransit projects Transportation PlanningTransportation Planning

– FTA state-to-state program (Interstate MPOs)FTA state-to-state program (Interstate MPOs) 5307 Sioux City5307 Sioux City 5303 Omaha-Council Bluffs5303 Omaha-Council Bluffs

– FTA program-to-programFTA program-to-program 5303/5304 to CPG5303/5304 to CPG

Funds are identified during planning process Funds are identified during planning process (STIP/TIP)(STIP/TIP)

Note: Requests for fund transfers should only be Note: Requests for fund transfers should only be made when funds are ready to be obligated in made when funds are ready to be obligated in grantgrant

FHWA Transfer ProcessFHWA Transfer Process Transit Provider or State DOT obtains an FTA Grant # Transit Provider or State DOT obtains an FTA Grant # MPO makes initial request to the StateMPO makes initial request to the State

– Request should include:Request should include:– Total available amount of funds to be transferredTotal available amount of funds to be transferred– Indication of whether these funds are Formula Grant funds (i.e., STP or CMAQ) or Transit Indication of whether these funds are Formula Grant funds (i.e., STP or CMAQ) or Transit

Planning (Metropolitan or Statewide);Planning (Metropolitan or Statewide);– Indication of the Funds section (i.e., §5307 – Urbanized; §5310 – Elderly Disabled; or §5311 – Indication of the Funds section (i.e., §5307 – Urbanized; §5310 – Elderly Disabled; or §5311 –

Non-urbanized); Non-urbanized); – Signatures of appropriate authorizing officials;Signatures of appropriate authorizing officials;– Associated FHWA codes; Associated FHWA codes; – Contact information to be used if questions arise that must be addressed prior to processing Contact information to be used if questions arise that must be addressed prior to processing

the funds.the funds. State concurs and submits an FHWA request form to FHWA State Division State concurs and submits an FHWA request form to FHWA State Division

OfficeOffice FHWA State Division Office determines:FHWA State Division Office determines:

– if requested transfer is within allowable limits;if requested transfer is within allowable limits;– Concurs with State’s request; andConcurs with State’s request; and– Submits request to FHWA Office of Budget (Wash DC) Submits request to FHWA Office of Budget (Wash DC)

FHWA Office of Budget coordinates the action:FHWA Office of Budget coordinates the action:– Sends to Financial Management Information System (FMIS) team to process Sends to Financial Management Information System (FMIS) team to process – Prepares SF-1151 form on Gov Wide Accounting System (GWA) to transfer to Prepares SF-1151 form on Gov Wide Accounting System (GWA) to transfer to

FTA (bi-monthly)FTA (bi-monthly)– Notifies FTA Office of Budget & PolicyNotifies FTA Office of Budget & Policy

NOTE: FTA REGIONAL OFFICE SHOULD BE SENT A CONCURRENCE NOTE: FTA REGIONAL OFFICE SHOULD BE SENT A CONCURRENCE COPY OF ALL TRANSFER CORRESPONDENCECOPY OF ALL TRANSFER CORRESPONDENCE

FTA Transfer ProcessFTA Transfer Process

FTA Office of Budget of Policy:FTA Office of Budget of Policy:– Notified by FHWA that transfer has been processed Notified by FHWA that transfer has been processed

to FTAto FTA– Processes Treasury SF-1151’s in DELPHI as receivedProcesses Treasury SF-1151’s in DELPHI as received– Contacts Regional Office for verification of urbanized Contacts Regional Office for verification of urbanized

area code, amount, project #, appropriation, and area code, amount, project #, appropriation, and type of fundingtype of funding

– Establishes an Operating Budget in TEAM Establishes an Operating Budget in TEAM (bi-monthly)(bi-monthly)

FTA Regional Office:FTA Regional Office:– Notifies grant recipient funds are availableNotifies grant recipient funds are available– Obligates funds in grantObligates funds in grant

Grant Application ContentsGrant Application Contents

Recipient Profile/InformationRecipient Profile/Information Project InformationProject Information BudgetBudget MilestonesMilestones Environmental FindingsEnvironmental Findings Fleet StatusFleet Status FTA CommentsFTA Comments Results of ReviewsResults of Reviews

Recipient ProfileRecipient Profile

Organizational InformationOrganizational Information

Contact PersonsContact Persons

Certifications & AssurancesCertifications & Assurances

Civil Rights Programs Expiration DatesCivil Rights Programs Expiration Dates


Ensure that Ensure that information is information is correct at beginning correct at beginning of the FYof the FY


Update information Update information when changes occurwhen changes occur

Include names/infoInclude names/info– AdministratorAdministrator– CommissionersCommissioners– Executive DirectorExecutive Director– General ManagerGeneral Manager– Grants ManagerGrants Manager– etc…….etc…….


Union InformationUnion Information– Include all unions in Include all unions in

areaarea– Reminder for States Reminder for States

to attach list of to attach list of subrecipients with subrecipients with affiliated unions affiliated unions


Ensure applicable Ensure applicable C&A’s are C&A’s are completed within 90 completed within 90 days from the date days from the date of publication in the of publication in the Federal Register Federal Register Notice (FRN) or Notice (FRN) or concurrent with first concurrent with first grant whichever is grant whichever is earlierearlier


UZA & Congressional UZA & Congressional DistrictsDistricts– Ensure information is Ensure information is

accurateaccurate– Note: 5309 grants Note: 5309 grants

Only list the Only list the congressional districts congressional districts grant project impactsgrant project impacts


Ensure Civil Rights Ensure Civil Rights Programs are Programs are current and Dates current and Dates reflected in TEAM reflected in TEAM are accurate.are accurate.

Project InformationProject Information

General Project InformationGeneral Project Information

Urbanized Area CodesUrbanized Area Codes

Congressional DistrictsCongressional Districts

Project Details/DescriptionProject Details/Description

Project InformationProject InformationGeneralGeneral Areas normally cited to Areas normally cited to

be completed during be completed during review review – Start/End DateStart/End Date– STIP/TIP/UPWP DateSTIP/TIP/UPWP Date– Program PageProgram Page

Other Helpful Other Helpful InformationInformation– Phone number after Phone number after

Recipient ContactRecipient Contact– Attach any planning Attach any planning

studiesstudies


Control TotalsControl Totals– Total FTA AmountTotal FTA Amount– Total Local Share Total Local Share

AmountAmount

Adjustment amount Adjustment amount is used when is used when disposition proceeds disposition proceeds are received and are received and will be used to will be used to offset costs offset costs


UZA & Congressional UZA & Congressional DistrictsDistricts– Ensure information is Ensure information is

accurateaccurate– Changes can be made Changes can be made

in the Recipient Profilein the Recipient Profile


Make appropriate Make appropriate selectionselection– If Yes,If Yes,

Ensure Security Ensure Security activities are activities are budgeted; and budgeted; and

Include Security Non-Include Security Non-Add Scope Add Scope (991-00)(991-00)

– If No, check an option If No, check an option 1-31-3

If #3 “other” is If #3 “other” is selected provide a selected provide a justification as to why justification as to why 1% of 5307 funds will 1% of 5307 funds will not be expendednot be expended

Project DescriptionProject Description

Provide a complete Provide a complete detailed project detailed project description for which description for which federal funds are federal funds are being requested.being requested.

ToolsTools– FTA Region VII Grant FTA Region VII Grant

Application Application InformationInformation

Project Description ToolProject Description Tool

FTA Region VII Grant FTA Region VII Grant Application InformationApplication Information– Should be utilized as a Should be utilized as a

checklist for application checklist for application development and reviewdevelopment and review

Project Description FormatProject Description Format

Start each Start each description withdescription with– Original/Amndmnt 1Original/Amndmnt 1– DateDate– Name Name (grant manager)(grant manager)

BudgetBudget

Project BudgetProject Budget– ScopesScopes– Activity Line ItemsActivity Line Items

Non-Add (other) ScopesNon-Add (other) Scopes

Alternative Fuel CodesAlternative Fuel Codes

Extended Budget DescriptionsExtended Budget Descriptions

BudgetBudget Scopes/ALIs selectedScopes/ALIs selected

– ALI Tree List (Home Page ALI Tree List (Home Page Team)Team)

– Magnifying GlassMagnifying Glass

Quantities for Revenue Quantities for Revenue Vehicles OnlyVehicles Only

Alternative Fuel CodesAlternative Fuel Codes– Enter type of fuel for Enter type of fuel for

bus/van purchasesbus/van purchases

BudgetBudget Extended Budget Extended Budget

Descriptions Descriptions (Details)(Details)– Capital PurchasesCapital Purchases

Bus replacement include Bus replacement include disposition info.disposition info.

– Here or Here or – Fleet Status or Fleet Status or – attach info to grantattach info to grant

List what is being List what is being purchased and identify purchased and identify useful life of capital items useful life of capital items or ALIor ALI

– Planning ActivitiesPlanning Activities List activities to be List activities to be

performed and area performed and area coveredcovered

BudgetBudget Non-Add ScopesNon-Add Scopes

– 991 Security Expenditures 991 Security Expenditures (other than 5302(a)(1)(j) (other than 5302(a)(1)(j) items)items)

– 992 Tribal Projects992 Tribal Projects– 993 ITS Fleet Mgmnt993 ITS Fleet Mgmnt– 994 ITS Electronic fare994 ITS Electronic fare– 995 ITS Traveler Info995 ITS Traveler Info– 996 ADA/CAA 996 ADA/CAA Increased Increased

Federal ShareFederal Share– 998 Transfer of Federal 998 Transfer of Federal

EquityEquity– 999 Contingency Projects999 Contingency Projects

MilestonesMilestones

Milestone Milestone Description/Date for Description/Date for each ALIeach ALI

Milestone Detailed Milestone Detailed Description required Description required whenwhen– Pre-award Authority is Pre-award Authority is

Utilized Utilized Highlight Scope-ALI Highlight Scope-ALI

Environmental FindingsEnvironmental Findings Environmental Environmental

Classification Finding Classification Finding for each ALI including for each ALI including Non-ADDNon-ADD– Class IClass I– Class II(c)Class II(c)– Class II(d)Class II(d)– Class IIIClass III– OtherOther

Class II(c) Class II(c) – Select a Categorical Select a Categorical

Exclusion Type Exclusion Type

Fleet StatusFleet Status

If over 20% spare ratio If over 20% spare ratio describe your describe your methodology to methodology to reducing your fleet to reducing your fleet to meet the requirementmeet the requirement

Applications Applications requesting Vehiclesrequesting Vehicles– Expansion Expansion

identify new routeidentify new route Indicate Useful lifeIndicate Useful life

Application ReviewerApplication Reviewer TEAM ToolTEAM Tool

– Identifies any Identifies any discrepancies in discrepancies in applicationapplication

– Good Rule of Thumb Good Rule of Thumb * Always Use ** Always Use *

AttachmentsAttachments

What do you attach?What do you attach?– GrantGrant

DOL InfoDOL Info Program of ProjectsProgram of Projects Fleet Status ReportFleet Status Report

– Recipient ProfileRecipient Profile Initial comp selection Initial comp selection

processprocess Human Coordination Human Coordination

PlanPlan

FTA CommentsFTA Comments FTA Regional FTA Regional

Comments regarding:Comments regarding:– Discrepancies in Discrepancies in

application;application;– Requests for additional Requests for additional

information; andinformation; and– Conditions of AwardConditions of Award

Best Practice Best Practice – check prior to grant check prior to grant

execution for any execution for any Conditions of Award Conditions of Award

Grants/Project ManagementGrants/Project Management

Financial Status Reports (FSR)Financial Status Reports (FSR)

Milestone Progress Reports (MPR)Milestone Progress Reports (MPR)

Budget RevisionsBudget Revisions

Close-OutClose-Out

DispositionsDispositions

Financial Status Report (FSR)Financial Status Report (FSR) FY2008 Region 7 Initiative FY2008 Region 7 Initiative

– 100% Quarterly/Annual 100% Quarterly/Annual ReportingReporting

RequirementsRequirements– Submitted Qrtrly/Annually for Submitted Qrtrly/Annually for

all active/Executed grantsall active/Executed grants– Accrual Basis of AccountingAccrual Basis of Accounting– Enter Narrative Comments Enter Narrative Comments

regarding what funds were regarding what funds were expended expended

– Pre-Award Authority Pre-Award Authority submissionsubmission

Helpful HintsHelpful Hints– Work-in-ProgressWork-in-Progress– Submit ReportSubmit Report– Final ReportFinal Report– Unobligated Balance of Unobligated Balance of

Federal Funds should be $0 Federal Funds should be $0 at closeoutat closeout

MythsMyths

Milestone Progress Report (MPR)Milestone Progress Report (MPR) FY2008 Region 7 Initiative FY2008 Region 7 Initiative

requestsrequests– 100%Quarterly/Annual 100%Quarterly/Annual

Reporting Reporting Requirements Requirements

– Project Status OverviewProject Status Overview Current Status of all Current Status of all

activitiesactivities Detailed discussion of bgt & Detailed discussion of bgt &

schedule changesschedule changes– Revised Est/Actual Revised Est/Actual

Completion DateCompletion Date– Detail in ProgressDetail in Progress

Explanation why schedule Explanation why schedule milestones or dates were milestones or dates were not metnot met

Identification of problem Identification of problem areas and narrative on areas and narrative on resolutionresolution

Budget RevisionsBudget Revisions RequirementsRequirements

– Revisions consistent with Revisions consistent with STIP/TIP STIP/TIP

– Include reason for Bgt RevInclude reason for Bgt Rev What is being moved and What is being moved and

Why?Why?– Include explanation in Include explanation in

details section for change details section for change being requestedbeing requested

Helpful Hint:Helpful Hint:– Do Not Delete Scopes/ALIs Do Not Delete Scopes/ALIs

instead reduce to $0instead reduce to $0

Notify FTA when Notify FTA when submitted a budget submitted a budget revisionrevision

Grant CloseoutGrant Closeout Notify FTA to request Notify FTA to request

grant closeoutgrant closeout

Ensure FINAL FSR/MPRs Ensure FINAL FSR/MPRs are selectedare selected

Make sure budget is Make sure budget is balance and reflect balance and reflect actual costsactual costs

FSR and Budget should FSR and Budget should reconcilereconcile

DispositionsDispositions Always request disposition instructions Always request disposition instructions

from FTA prior to disposing of equipment from FTA prior to disposing of equipment or real estateor real estate

Dispositions can include:Dispositions can include:- Repaying FTA its share of proceeds, if value is Repaying FTA its share of proceeds, if value is

over $5,000;over $5,000;- Proceeds can be used to offset gross project Proceeds can be used to offset gross project

costs of another project;costs of another project;- Transferring property (public interest) to Transferring property (public interest) to

another public agencyanother public agency

Questions?Questions?

Minimizing Delays in Grant Application Submission and Helpful Tips in Grants Management.

Documents

Transcript of Minimizing Delays in Grant Application Submission and Helpful Tips in Grants Management.