GRANTS MANAGEMENT Edie Lowery Director of Grant Programs Metropolitan Transit Authority of Harris...
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Transcript of GRANTS MANAGEMENT Edie Lowery Director of Grant Programs Metropolitan Transit Authority of Harris...
GRANTS MANAGEMENT
Edie Lowery
Director of Grant Programs
Metropolitan Transit Authority of Harris County, Texas
August 20, 2002
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SOURCES AND ELIGIBILITY
Formula Funds– Section 5307 and 5311 Urbanized Area
Formula Funds– Section 5309 Fixed Guideway
Modernization FundsDiscretionary Funds
– Section 5309 Bus– Section 5309 New Starts
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SOURCES AND ELIGIBILITY
Miscellaneous FTA Funds– Section 5314 Planning and Research– Clean Fuels Formula Program– Job Access/Reverse Commute– Over-the-Road Bus Accessibility
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SOURCES AND ELIGIBILITY
Flexible Funding Programs– FHWA Congestion Mitigation/Air Quality– FHWA Surface Transportation Program– FHWA National Highway System– FHWA Federal Lands Highway Program– FHWA Interstate Maintenance Program
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SOURCES AND ELIGIBILITY
Flexible Funding Programs – FHWA Borders and Corridors Program– FHWA Intelligent Transportation Systems – Transportation & Community & System
Preservation Pilot Program
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THE POLITICAL PROCESS
Authorizations and AppropriationsImportance of Project SponsorshipFTA RatingCompleting the Paperwork
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MANAGING THE GRANT
Kinds of grant contracts– “Regular”– Full Funding Grant Agreement
Pre-requisites for the grant– Authorization from the governing body– Adoption of the annual Program of Projects
(for Section 5307)
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MANAGING THE GRANT
Pre-requisites for the grant– Public hearing or opportunity for public
comment– Completion of Annual Certifications and
Assurances – Project inclusion in the MTP, TIP, STIP
and SIP
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MANAGING THE GRANT
Pre-requisites for the grant– Receipt of an environmental finding for
each project– Award of a Section 13(c) from the
Department of LaborAdopting a proactive approach
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MANAGING THE GRANT
Grants Management should
– Review project description and proposed budget– Approve proposed third-party contracts to ensure contract’s
compliance with grant scope– Calculate unliquidated obligations (“unpaid contract balances”) or
verify system generated data
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MANAGING THE GRANT
Grants Management should– Approve payments proposed for grant
reimbursement – Monitor reimbursements– Track grant budgets; prepare grant budget
revisions
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MANAGING THE GRANT
Grants Management should– Ensure accounting code structure is such
that required reports can be easily produced
– Monitor project progress to ensure compliance with grant scope
– Receive and report project financial and milestone data on time
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MANAGING THE GRANT
Accounting should– Compile all expense transactions proposed
for grant reimbursement– Track reimbursements (cash) received– Correctly assign grant funded assets to fixed
asset records– Develop a chart of accounts that easily
codifies expenses into appropriate categories
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MANAGING THE GRANT
Accounting should– Develop accounts that assign costs to the
correct account, function and mode– Routinely calculate depreciation of grant-
funded assets to ensure current “book value” is known
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WHEN YOU DO “IT” WRONG
Failure to include projects in planning documents - delays grant award
Failure to obtain an environmental finding - delays grant award
Failure to file quarterly and annual reports on time - risks suspension of all reimbursements
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WHEN YOU DO “IT” WRONG
Failure to include required federal contract clauses - renders entire contract ineligible for grant reimbursement
Execution of third party contract too early - renders entire contract ineligible for grant reimbursement
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WHEN YOU DO “IT” WRONG
Reimbursement claimed for ineligible expenses - Requires refund and perhaps penalty payment to FTA
May bring on in-depth auditUltimately risks suspension of all
reimbursements until systemic problem is corrected
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TRIENNIAL REVIEWS
Mandated by Congress, part of the price of doing business with the government
22 major review areasFollow the rules throughout the entire
year!Engage the entire company - make
everyone responsible for your success
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TRIENNIAL REVIEWS
Keep thorough written recordsKeep policies and procedures up to
date
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DOS AND DON’TS
DO– Make sure environmental and other pre-
award requirements are met before exercising pre-award authority
– Make sure grant applications are complete the first time
– Make sure contracts have all required federal clauses
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DOS AND DON’TS
DO– Make sure you file quarterly and annual
reports on time– Make sure you maintain a clear audit trail
of all expenses and journal entry corrections thereto
– Make sure expenses required for reimbursement are truly grant eligible
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DOS AND DON’TS
DO– Ask FTA for help if you’re lost or unsure
about what to do– Involve FTA in unusual situations, for
clarification before proceeding with local decisions
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DOS AND DON’TS
DON’T– Forget to file Annual Certifications and
Assurances– Sign third party contracts too early– Make a land offer too early – Charge and be reimbursed for ineligible
costs
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DOS AND DON’TS
DON’T– Overdraw an individual grant line item or
project budget without considering the effects of a budget revision
– Fail to complete the required reports– Fail to notify FTA of any unusual
circumstances