2. Grants Management Overview 2013 Minority Fellowship Program Grantee Meeting April 23-24, 2013 Salvador Ortiz; 240-276-1421 Maria Martinez; 240-276-1417 Division of Grants Management/Office of Financial Resources salvador.ortiz@samhsa.hhs.govsalvador.ortiz@samhsa.hhs.gov; maria.martinez@samhsa.hhs.govmaria.martinez@samhsa.hhs.gov

3. TOPICS  Partners  Roles (GPO, DGM, DPM)  Actions Requiring Prior Approval  Process for Requesting Prior Approval  Carryover Authority  Reporting Requirements  Closeout  SAMHSA Grants Management website

4. Partners Grantee Government Project Officer (GPO) Grants Management Specialist (GMS) Division of Payment Management (DPM) Representative

5. Government Project Officer’s Role Government Project Officer (GPO): The GPO is responsible for the programmatic, and/or technical aspects of assigned grants. The GPO works in partnership with the Grants Management Specialist (GMS) throughout the duration of the grant cycle.

6. Grants Management’s Role  Partners with SAMHSA Government Project Officers  Responsible for business management matters:  Award Negotiations  Official Signatory for Obligation of Federal Funds  Official Signatory for Prior Approvals  Monitor fiscal/compliance issues  Close-out of the grant

7. Division of Payment Management’s Role Drawdown of Funds are made through another Federal office: Division of Payment Management (DPM) Website Address: www.dpm.psc.gov Please visit the “Contact Us” section on the above website to search for grantee’s account representative based on organizational entity status.

8. Actions Requiring Prior Approval  Key Staff changes: Any replacement or substantial reduction in effort of the Program Director (PD) or other key staff; positions designated as key staff are defined in the Notice of Award (NoA).  Re-budgeting of funds: Cumulative amount of transfers among direct/indirect cost categories exceeding 25% of the total award amount or $250,000, whichever is less.  Transfer of Substantive Programmatic Work to a Contractor  Carryover of Un-obligated Funds above 25% of the total federal share of the current budget period.  Change in Scope: i.e. reduction in services originally proposed, reduction in number of clients, etc.  No Cost Extension: To permit an orderly phase-out of a project or program.

9. Process for Requesting Prior Approval  Request should be submitted in writing by Grantee:  Address to Grants Management Specialist and Government Program Official  Reference Grant Number (e.g. SM-12345)  Provide Programmatic and Budget Justification  Signed by both Program Director and Business Official  Requests may be submitted via email, with the Program Director and Business Official copied (CC) on the e-mail. If submitted via email, you are not required to submit hard copy via mail.  Reviewed by Grants Management Specialist in consultation with Project Officer.  Approval will be official with a revised Notice of Award.

10. New Carryover Authority Effective October 1, 2011* Special Terms and Condition(s) of Award: An unobligated balance (UOB) of funds may be carried over into the current budget period without Grants Management Officer prior approval for the following reason: Beginning October 1, 2011, a grantee may carryover previous Unobligated Balance(s) (UOB) of funds up to 25% of the total federal share of the current budget period (the year in which the funds will be needed) without prior approval from the Grants Management Officer. The intention to carryover up to this threshold must be reflected in the remarks section of the Federal Financial Report (FFR) submitted for the FY2010 budget period. The subsequent FFR must reflect the actual UOB carryover amount in the remarks section. If the amount of carryover exceeds 25%, the Grants Management Specialist (GMS) will notify the grantee that they must return the federal share over the threshold due to noncompliance and may rescind this authority. However, the grantee may request for approval, a carryover above the 25% threshold, but must submit a detailed budget and narrative justification if the program requires additional funds. The total amount requested and justified must be both the 25% plus the amount requested over that in order to analyze the total unobligated balance of funds budget concept. The applicability of this authority for your project is stated above.

11. New Carryover Authority Effective October 1, 2011* *However, this new carryover authority DOES NOT apply to HIGH RISK grantees. If they wish to carryover funds, they must submit a formal carryover request.

12. Example# 1:Carryover Authority – 25% - without prior approval from GMO From Year 1 SF-425 Federal Financial Report (FFR) Year 1 Authorized Federal Funds:$800,000 Year 1 Total Expenditures:$575,000 Unobligated Balance of Funds:$225,000 Year 2 Notice of Award: Authorized Federal Funds (federal share)$800,000 Under the new carryover authority, the grantee may carryover previous Unobligated Balance(s) of funds up to 25% of the federal share from the current budget period (the year in which the funds will be needed) without prior approval from the Grants Management Officer. In this case, the federal share of the current budget period is $800,000. $800,000 x 25% = $200,000 The grantee may carryover up to $200,000 without receiving prior approval from the Grants Management Officer.

13. Example# 2- Grantee would like to carryover above the allowable 25% threshold – requires prior approval From Year 1 SF-425 Federal Financial Report (FFR) Year 1 Authorized Federal Funds:$800,000 Year 1 Total Expenditures:$575,000 Unobligated Balance of Funds:$225,000 Year 2 Notice of Award: Authorized Federal Funds$800,000 $800,000 x 25% = $200,000 (without GMO prior approval) If the grantee wishes to carryover any amount over $200,000 of unobligated funds, they must submit a formal carryover request for the entire amount. Due date for submitting carryover request is February 4, 2013.

14. Reporting Requirements REPORTSRESPONSIBILITYSENT TO Programmatic Progress Reports (report may be emailed to DGM contact) Program DirectorDivision of Grants Management (DGM) Quarterly Federal Financial Report (submitted through grantee’s DPM account) Grantee OrganizationDivision of Payment Management (DPM) Annual Federal Financial Reports (SF-425 FFR) Report may be emailed to DGM contact Grantee OrganizationDivision of Grants Management (DGM)

15. Closeout We’ll be providing detailed instructions in your final year continuation Notice of Award under the Special Terms and Conditions section. Grant closeout documents must be submitted to the Division of Grants Management within 90 days after the end of the final budget period. – Final Federal Financial Report – Final Progress Report

16. SAMHSA Grants Management Website Everything you need to know about managing a grant can be found at the following link: http://www.samhsa.gov/Grants/management.aspx

17. Questions & Answers ????