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What are my responsibilities?
All grantees are expected to:
- Accomplish the goals, objectives and activities in the final approved grant application;
- Evaluate progress toward achieving approved project outcomes as specified in approved grant application;
- Consult with Department of State staff as necessary to ensure that the goals and objectives of the project are met;
- Expend grant funds in accordance with the applicable regulations and approved budget;
- Maintain separate records for matching funds, if local matching funds are required by the approved grant;
- Maintain internal control procedures to safeguard grant funds and resources (including equipment);
- Maintain equipment inventory and disposition records for equipment purchased with grants funds;
- Cooperate with the Department of State Staff during on-site monitoring visits;
- Submit program and fiscal reports pertaining to the grant agreement for a period of three years after the end of the grant agreement.
NOTE: You should review all documents very carefully. Project Directors and CFO/BA should work closely together to ensure the successful achievement f programmatic goals, objectives and activities as well as to meeting the administrative requirements of the grant contract.
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What are my time lines for spending grant funds?
The grant agreement period (start date to end date) is your spending authorization period. It is important to review the start and end dates ti incur costs in accordance with the approved project activity plan and budget, anmd to perform the project work. You may begin to obligate grant funds (spend, process purchase orders, etc.), and begin project activities, as of the start date of the grant agreement. All grants costs must be incurred prior to the end of the agreement and all project work must be performed within the time frame of the agreement.
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What do I keep in a grant file?
- Copy of the request for proposal or continuation or application document
- Copy of the fully executed grant contract
- Copy of Attachments A,B,C,D
- Copy of the approved grant application
- Copy of all submitted reports
- Copy of grant related correspondence
- Activity related document as outlined in the Program Plan
- Grant related purchasing documents
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Will my program be monitored on-site?
During the period of the contract, Department of State Granting Division program officer staff may visit your agency.
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What occurs during contract monitoring?
The program officer will observe the contractor’s program in action, meet with the staff and review program and fiscal records. The program officer may conduct an on-site monitoring visit of any sub recipient as well.
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What if I am not monitored on-site?
All grant contracts, whether or not they are subject to an on-site monitoring visit, are subject to desk monitoring. Desk Monitoring is accomplished through the submission and review of interim and final program and fiscal reports. The grant contract contains due dates for interim and final programmatic and fiscal reports.
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What does Department of State do with the reports?
Program reports are reviewed to determine the extent to which the contractor is making progress in meeting the stated goals and objectives in the approved activity plan. Fiscal reports are reviewed to determine the extent to which the grantee has adhered to the approval budget.
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How much flexibility do I have within my approved grant budget?
Generally speaking, the grantee may move funds budgeted in one GAAP category to another GAAP category when:
- Approved by Department of State. See grant contract contain guidelines for transferring funds.
- Transferred funds will not be used for expenditures that are specifically disallowed according to RFP and/or Application
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How Do I closeout my grant contract?
In order to close out a contract, you need to prepare and submit the final program and final expenditures reports, along with any deliverables pacified in the RFP or application or grant contract, to Department of state within the allowable time specified after the end date of the grant contract. In order for a grantee to submit a final expenditure report, it must liquidate (pay) all outstanding obligations, such as open purchase orders, within this period, so that the final expenditure report can be prepared and submitted.
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Can costs be disallowed by the Department of State?
The final program and expenditure reports are reviewed by Department of State staff to determine the extent to which the grantee has achieved the approved goals and objectives of the program and to what extent the contractor has complied with the approved budget. Any costs claimed by the contractor, that disallowed by DOS are noted and the final approved expenditure amount are adjusted accordingly.
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When do I get final payment?
Once the final program and expenditure reports are received and approved by DOS, the final payment (less any adjustments for prior overpayments, disallowed costs, etc.) is made to grantee. No final payments will be made in the absence of required reports.
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How long do I keep grant records?
Generally speaking, financial records, program records, all supporting documentation and other records pertinent to a grant must be retained by your agency for a period of three years from the submission and approval of the final program ans fiscal reports by the DOS. Program income records, and all supporting documentation must be retained for a period of three years after the end of the grantee’s fiscal year in which the grant agreement ended.
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Will I be audited?
Attachment A, grant contract terms and conditions provides guidance regarding audits. Recipients of federal and/or state grant funds are required to have an annual audit performed in accordance with the Single Audit Act federal OMB Circular A-133 and State OMB Circular 04-04.
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Do I need to know it all?
You should review all documents very carefully. We encourage you to share copies of all materials relating to the grant contract with you Chief Financial Officer and/or Business Administrator and to work closely with the business office to ensure that the administrative requirements of the contract are met. Good communication between the project director and the business office is essential to the successful achievement of programmatic goals, objectives and activities as well as to meeting the administrative requirements of the grant contract.
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Can I copyright my material?
Grantees who develop materials during the course of a grant-supported program may exercise their right to ownership by copyrighting the materials. However, the grantee must grant to the DOS for governmental purposes, a royal-free, non-exclusive and irrevocable license to reproduce, publish or otherwise use these materials and to authorize others to do so.
This license to the DOS covers any and all materials developed under the grant contract (deliverables) but does not preclude the contractor from exercising its right of ownership of the materials, or to prevent the grantee from selling or licensing the materials. If the materials are to be licensed or sold by grantee, then the net proceeds constitute program income as defined, and the funds must be treated accordingly.
At least one copy of all materials developed by the contractor during the period of contract must be forwarded to the DOS at time of contract closeout.
