Opening Graphic - Utah Community Action Partnership


Nov 10, 2013 (7 years and 10 months ago)




Maria Martinez, M.Ed.

College Access Challenge Grant Manager

Grant Management and
Effective Communication

Community Action Partnership of
Conference on Poverty

Tuesday, September 17, 2013

College Access Challenge Grant

formula grant program
to foster
partnerships among Federal, State and local government
entities and philanthropic organizations to significantly
increase the number of low
income and
underrepresented students who are prepared to enter
and succeed in postsecondary education

CACG, has been extended through the Health
Care and Education Affordability Reconciliation

Recently awarded $1,423,500

Awarded 13 Subgrants at nearly $700,000

Beginning the Project/Grant

Connect with the funder’s program officer

Attend any necessary trainings

Know which regulations you are working off of

Know local, state, federal or organizational requirements

Buy a binder and begin documentation

Notify partners and staff, publicize the award

Proceed with hiring procedures

Set up the grant in an electronic accounting system


Questions to consider:

Can we keep
the interest you earn from
you receive?

Can we use
funds for meeting/food costs?

we have to acknowledge the funder in printed materials?
Do new hires need to be approved by grant funder/manager

Do we need to get various quotes from vendors?

Office of Management and Budget (OMB)

OMB oversees and coordinates the Federal
government’s administration procurement, financial
management, information, and regulatory policies

OMB issues circulars which define the required process
and policies that grantees must adhere to. Circulars
include Administrative Rules, Cost Principles, and A
Audit Regulations for:

State, Local, or Indian Tribal Governments

Profit Organizations

Institutions of Higher Education


What Trumps What….

hen rules conflict?

Your Opinion

Grant Management

Grantees must realize the relationship they are entering
into. Your application/proposal and subsequent grant
award notification is a legally binding contract. Grant
managers need to ensure to:

Follow all of the terms and conditions of the grant award

Fulfill all reporting requirements on time throughout the
project period

Make written requests for changes to the award in a timely
manner and when necessary

Account for grant revenue and expenditures

Ensure high standards of ethics when conducting grant
management process

Program Administration

Keep in touch with funding agency

Meet with staff, particularly budget staff, regularly

Review expenditures at least once a month

Complete all necessary reports

Use a binder to maintain records of grant activities and
budget expenditures

Organizational Management

Include in binder:

Request for Proposal (grant application)

The proposal and submission forms

The award letter (Grant Award Notification or GAN)

Grant agreement and budget

Contract amendments and modifications

Quarterly or annual performance reports

Personnel time and effort worksheets

Evaluations forms and data

Correspondence with grantor

Other necessary information

General rule of thumb

“If it isn’t documented, it
didn’t happen”

Internal Control

The agency is responsible for internal control but all
employees should recognize that it is an individual

Internal control is a culture, should not be merely an
annual project/activity.

Must have separation of duties

Five Internal Control Standards

Control Environment

Risk Assessment

Control Activities

Information and Communications


Internal Control Standards

Control environment

Management and employees
should establish and maintain an environment of integrity and
ethical values throughout the organization. Should set a
positive and supportive attitude toward internal control and
conscientious management.

Risk assessment

Relevant risks associated with grant
objectives should be identified and analyzed for possible
effect. This includes both external and internal risks.

Control activities

Internal control activities should be
effective and efficient in accomplishing the agency’s control
objectives. This includes policies

and procedures such as
approvals, authorizations, verifications, reconciliation,
performance reviews, and maintenance of records

Internal Control Standards

Information and communication

should be recorded and communicated in a broad sense
with information flowing down, across, and up the
organization. Should also include external stakeholders
that may have an impact on the grant’s goals.


Should assess the quality and
performance over time and ensure that the finding of
any audits or other reviews are promptly resolved.

Time and Effort Reporting

Document your time and effort in either hours or
percentages, or both

Have monitoring process in place, which includes
obtaining appropriate signatures

Avoid lack of missing timesheets

Account for total activity of all employees

Record time at least monthly, after activities


A number of federal programs require that evaluation of a
grant program be conducted on a regular basis. If your grant
does not require an evaluation it would be a good point to
implement one.

An evaluation is meant to help improve the quality of your
program. The purpose of an evaluation should be to
determine if:

Your program is complying with federal and state law, regulations
and policy

Assess the extent to which the program is/is not reaching its goals
and objectives

Administrators and staff should be provided with appropriate
feedback in order to improve performance

convening a grant oversight committee

Budget Management

When managing expenditures costs should follow the







can be associated with the project with a high
degree of accuracy.

Questions to consider:

Are the costs specifically for the award/program?

Is the cost shifted from another award? (Not allowed

costs in the approved budget?


All expenses should be allowable based on
organization’s applicable cost principles and award

Questions to consider:

Is the cost prohibited by OMB or other rules at the state or
funder level?


Costs should reflect what a “prudent person” would pay
in like circumstance.

Questions to consider:

Do the costs reflect sound business practices?

Are costs consistent with market prices?


Costs required to complete all activities that are aligned
to the project’s scope and objectives

Questions to consider:

Is the cost necessary for the performance of the award?

In Compliance/Audits

Auditors will notify your agency on which programs are
being audited

Usually have some time to get all documents together

Unannounced audits can occur

Triggered by an anonymous complaint

Sometimes following up on negative information in a report or

Failure to Comply

Could lead to termination of current grant award or
withholding of future awards.

Specific costs or entire grant may be disallowed.

Could require grant funds to only be provided on a
reimbursement basis.

Could be deemed high risk.

Final Thoughts

Your grant
role is to help you
involve them in your grant management process.

a positive relationship with grant
is imperative for future grants


Maria Martinez, M.Ed.

College Access Challenge Grant Manager

Utah System of Higher Education