1. Grant Closeout Process
Webinar Date: April 26, 2017
1:00PM EDT
Presenters: Division of Policy Review and Resolution
ETA Office of Grants Management
Division of Youth Services

2. Objectives Discover how to prepare for closeout
Learn about the elements of the grant closeout package
Learn about common issues which can delay closeout 2

3. Presenters Meron Assefa Grant Officer U.S. Department of Labor
Employment and Training Administration
Avery Malone
Grant Officer
U.S. Department of Labor
Employment and Training Administration

4. What is Grant Closeout The completion of the grant life cycle
The official end of the government’s relationship with the grantee
2 CFR
Closeout
2 CFR
Post- closeout adjustment
2 CFR
Collection of Amounts Due
2 CFR 2900, Subpart D
Post Federal Award Requirements 4

5. Who We Are Office of Grants Management
Division of Policy, Review and Resolution (Latonya Torrence)
Policy Unit
Audit Unit
Closeout Unit
Grant Officer and 7 Resolution Specialists
Close approximately 700 – 1,000 grants a year 5

6. Preparing for Closeout
We track anticipated workload one year out
Not less than quarterly, Office of Information System &Technology (OIST) runs a report that identifies grants whose period of performance end date is approaching
The OIST report is then compared against information identified in the E-Grants Closeout System
Not Less than 7 days prior to POP end date – Closeout specialist sends out initial closeout notification letter to grantee 6

7. Closeout Begins…
Within 45 days after period of performance (PoP) end date - Grantee must submit final 9130 for last quarter. Checks box 6 as “Final.”
Approx days after PoP end date – Specialist sends follow up reminder to grantee to submit all documents.
Grantee must submit all remaining closeout documentation - No later than 90 calendar days after the end date of PoP
2 CFR
Grantee may not direct charge staff time to work on closeout of grant after PoP end date. 7

8. Closeout continues…
91+ days after POP end – Compliance and reconciliation
All grants should be closed within 1 year of expiration (DLMS-2 Chapter 800)
Under new Uniform Guidance (UG), awards must be closed within one year of receipt and acceptance of all required final reports 8

9. Closeout Deadline (example)
September 30, 2018 – Grant expires, closeout begins.
November 14, 2018 – Final quarterly 9130 due.
December 30, 2018 – Closeout 9130 and remaining closeout documents due. Last day to draw down funds without permission from closeout unit.

10. Notification Letter
Dear Grantee, This is to notify you that your grant number YF A0 with the Employment and Training Administration (ETA) will expire/expired on 06/30/16. If you agreed with the expiration, as specified at 29 CFR 97.40(b)(1), 97.41(b)(1), 97.50(b), you are required to submit electronically all the closeout forms in your specified closeout package in the Grant Closeout System (GCS) no later than 90 days from the expiration date. NOTE: After you have completed the final expenditure report(s) Form 9130, you must certify the closeout financial report(s) as well. The Grant Closeout System (GCS) is accessed via the following URL: Please enter the password assigned to you for your financial reporting to log into your Financial Reporting System home page, and then click on the Grant Closeout System menu on this page to go to the GCS system. You will receive the Grant Closeout System End User's manual in another shortly. Please use the End User's Manual and the Closeout Instructions posted in the Grant Closeout System to assist you in doing your closeout reporting. Inquiries should be directed to the Resolution Specialist Sincerely,

11. End-user Manual Dear Grantee,
Please find the Grant Closeout System (GCS) End User’s Manual in the attachment and use it to assist you in doing your closeout reporting in the GCS system. the URL for GCS system is:
Inquiries should be directed to the Resolution Specialist. 11

12. Elements of the Closeout Package
Documents to be submitted:
Final Quarter 9130 and Closeout 9130
Grantee’s Release
Government Property Inventory Certification
Inventory List
Grantee’s Detail Statement of Costs
NICRA & breakdown
Grantee’s Assignment of Refunds, Rebates and Credits
Grantee’s Close-out Tax Certification
NICRA – Is established by the cognizant agency; which is normally the determined by identifying which Federal agency provided the most grants funds.

13. Final Quarterly 9130

14. Closeout 9130

15. Final Quarterly 9130 / Closeout 9130

16. Liquidation of Obligation
In closeout, grantee may only liquidate obligations incurred during PoP – not incur new obligations
Grantee may not direct charge staff time to work on closeout of grant after PoP end date

17. Compliance Drawdowns & Administrative Costs
There is a 10% (of grant award amount) limitation on administrative costs.

18. Compliance: Budget & Costs

19. Budget Realignments in Closeout
Grantee provides written justification to FPO
FPO determines if appropriate
FPO sends justification to closeout specialist and documented in file

20. Compliance: Indirect Costs

21. Property Certification Form

22. Submission Confirmation Letter
From:
Sent: Thursday, February 04, :27 AM
To: Mathew, Joe - ETA
Subject: Submission confirmation of Closeout Report
Please do not respond to this message!!!
Closeout Report
Grant Number: YF A0
Has been successfully submitted on 9/30/16 09:26A.M.
And is now certified

23. Preliminary Settlement Letter
Dear Grantee,
This letter is to notify you that the Department of Labor has closed grant number YF A0 and no further costs may be charged to this agreement. The total amount of allowed Federal cost at the time of close is $ At this time, no action is required by your organization. As specified at 29 CFR 95.72, this closeout does not affect: 1) ETA's right to disallow costs and recover funds on the basis of a later audit or other review; or 2) Your obligation to return any funds due to the Federal Government as a result of later refunds, corrections, or other transactions; or 3) Your responsibilities for retention and access requirements, real property and equipment management, and audit requirements, as specified at 29 CFR 95.53, 95.32, and respectively. Inquires regarding this closeout may be directed to the Resolution Specialist.
Sincerely, .

24. Common Misunderstandings
Expenditure amount higher than drawdown amount.
They need to match.
Completing the equipment form correctly.
All required forms and documents to be submitted.

25. Common Issues that Delay Closeout
Non-responsive grantees
Refunds
Equipment disposition
9130 issues
Administrative cost issues
Indirect cost issues
Question and disallowed costs/ID’s and FD’s
Budget realignments

26. Refunds
2 CFR (d)
Grant closeout does not affect recipients obligation to return funds due to DOL as a result of refund.
Prompt refund of any balances of unobligated funds.
Refunds may require revising final expenditure report.
Refunds can be electronically through PMS or via check.

27. FAQ’s
Available on the YCC Community of Practice

28. Closeout Process FAQ’s
Does marking “Yes” on Box 6 on the ETA 9130 trigger the closeout process?
In short, no.
Grant ends September 30, 2018, when does the grantee need to submit the final 9130 and the Closeout 9130?
November 14, 2018/December 30, 2018
When is the last time I can draw down funds?
December 30, 2018

29. YCC Specific FAQs: Period of Performance Extension
2. Is it possible to extend the period of performance date to December 31, 2018, or through the end of the school year of spring 2019?
For discretionary grants such as Youth CareerConnect, period of performance extensions are granted in accordance with the Office of Grants Management guidance which states that grantees may receive one period of performance extension of up to 12 months total. Requests must fully justify the reason why more time is needed and describe:
circumstances, challenges, or problems that created the need to extend the period of performance and listing the remaining funds to be expended;
efforts to address the challenges and the corrective actions or changes that have or are being made to assure grant success;
activities that can be accomplished by the original grant period of performance; and
the specific activities that will be accomplished in the extended period of performance, including an updated timeline of grant activities, outcomes and deliverables that will be achieved, and an updated budget (SF424a) with a detailed budget narrative.

30. Period of Performance Extension
(Answer Continued)
A grantee may not be eligible for a no-cost extension if the grantee has been non-responsive to technical assistance or not provided documentation as requested by ETA (revised timelines, budget re-alignment/narrative etc.) in order for the grant to be successful.

31. Period of Performance Extension
3. What would be the timeline for requesting a period of performance (no cost) extension?  
Requests should not occur during the first two thirds of the original operating period. The Department of Labor exceptions at 2 CFR requires grantees to submit a request at least 30 days prior to the expiration date. You should let your FPO know as soon as possible if you are planning to submit a request for a no-cost extension.

32. Core Element #5
5. How should the following statement from Core Element # 5, Program Sustainability, be applied to YCC grants?
“DOL expects that every cohort of participants enrolled using grant funds will be provided the same level of program services and activities, even if they are not anticipated to graduate from the program during the grant’s period of performance.”
YCC grants were intended to institutionalize key elements of the YCC program (e.g., integrated, contextualized academic and technical curriculum, work experience, opportunities to earn credit for post-secondary education and training, professional development for teachers, etc.) after the grant ends. To the best of grantee’s ability, grantees should provide these key elements to participants enrolled during the grant program who, by the end of the grant period, have not yet completed the key YCC program elements.

33. Core Element #5 (Answer Continued)
Grantees are expected to enroll 4 cohorts of participants – 1 cohort in each full year of the grant. The last cohort of grant-funded participants is enrolled for the school year. For example at the end of the grant period (September 30, 2018) in a 9 – 12 grade model, grantees would have remaining in high school:
cohort of 12th graders (enrolled in year 2)
cohort of 11th graders (enrolled in year 3)
cohort of 10th graders (enrolled in year 4)
To the best of a grantee’s ability using leveraged resources identified to sustain the program beyond the life of the DOL grant, grantees should continue to provide the key elements of the YCC program to these remaining students.

34. Participant Tracking System
6. How long will the Participant Tracking System (PTS) be available for grantees to use?
The PTS will be available until approximately November of 2019.
7. When does PTS data for the last quarter of the grant need to be entered?
Grantees will enter PTS data as usual through the end of the grant period of performance. The final Quarterly Performance Report (QPR) is due 45 days after the last quarter of the grant period. Grantees may submit the final QPR prior to that date if they have completed data entry for their grant sooner.

35. Please enter your questions in the Chat Room!
Please enter your questions into the Chat Room!

36. CONTACT US 36 U.S. Department of Labor
Employment and Training Administration
200 Constitution Avenue, NW, Room N-4456
Washington, DC 20210
Avery Malone – Grant Officer
Meron Assefa – Grant Officer 36

37. Next training: Closeout Conference Call Date: TBD (May)

38. Thank you!