grants management edie lowery director of grant programs metropolitan transit authority of harris...
TRANSCRIPT
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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