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Grants Management ManualGrantee Version 2April 20121

Table of ContentsCHAPTER 1.0INTRODUCTION . 11.1 GUIDING PRINCIPLES AND STEWARDSHIP OF FEDERAL FUNDS . 11.2 OVERVIEW OF THE FMCSA GRANT MANAGEMENT PROCESS . 11.3 PRIMARY SYSTEMS USED IN FMCSA GRANTS MANAGEMENT . 21.3.1Grants.gov . 31.3.2GrantSolutions . 31.3.3MarkView and iSupplier . 41.4 FMCSA GRANT-RELATED ROLES AND RESPONSIBILITIES . 41.4.1Applicant/Grantee . 41.4.2FMCSA Grant Manager . 51.4.3FMCSA Authorizing Official . 51.4.4FMCSA Grant Program Manager . 51.5 STATUTES AND REGULATIONS . 51.6 FMCSA GRANT PROGRAMS OVERVIEW . 9CHAPTER 2.0PRE-AWARD: PLANNING ACTIVITIES . 152.1 SEARCH FOR RELEVANT GRANTS . 152.2 PRE-AWARD APPLICANT PLANNING . 152.2.1Eligibility Requirement and Considerations . 152.2.2Register with Grants.gov . 162.2.3Register with CCR . 162.2.4Verify or Obtain a DUNS Number . 162.3 APPLICANT SUPPORT . 172.3.1Review of Prior-Year Applications . 172.3.2Funding Opportunity Conferences . 172.3.3Frequently Asked Questions (FAQs) . 18CHAPTER 3.0PRE-AWARD: PREPARING THE APPLICATION . 193.1 PERFORMANCE-BASED PROJECTS . 193.2 COMPONENTS OF THE APPLICATION PACKAGE . 193.2.1Project Narrative . 193.2.2Budget Narrative . 213.3 REQUIRED FORMS . 213.4 SPECIFIC FORMS REQUIRED BY FMCSA . 223.4.1Key Contacts Form . 22

3.4.2 Administrative Capabilities Questionnaire . 223.4.3Other Potential Forms Which May Be Required For Select Grant Programs . 233.5 GRANT APPLICATION BUDGET DEVELOPMENT . 233.5.1Budget and Cost Development . 233.5.2Cost Principles . 253.5.3Matching/Cost Sharing . 283.5.4Indirect Cost Rates . 283.5.5Conflicting Guidelines . 303.5.6Maintenance of Effort . 303.6 RECOMMENDED APPLICANT REVIEW STEPS . 30CHAPTER 4.0PRE-AWARD: FMCSA APPLICATION REVIEW . 324.1 FMCSA APPLICATION REVIEW . 324.2 OVERVIEW OF THE INTAKE AND BUSINESS MANAGEMENT REVIEWPROCESS . 334.2.1Application Receipt . 334.2.2Basic Intake Review . 334.2.3Business Management Review . 344.2.3.1 Debarment and Suspension . 344.2.3.2 Organizational Code of Conduct . 354.2.3.3 Organizational Conflict of Interest . 354.2.3.4 Lobbying Restriction Reviews . 354.2.3.5 Delinquent Federal Debts . 364.2.3.6 Previous FMCSA Grant Performance . 364.2.3.7 Previous Audits . 364.3 OVERVIEW OF TECHNICAL REVIEW PROCESS. 364.3.1Technical Review Process for Formula (Non-Discretionary) Grant Applicationsfor Awards Mandated or Limited by Statute . 374.3.2Technical Review Process for Discretionary Grants . 384.3.3Selection and Funding Approval . 38CHAPTER 5.0AWARD PROCESS . 405.1 ACCEPTING THE AWARD . 405.1.1Grantees Receive the Notification . 405.1.2The Notice of Grant Award Details . 415.2 NON-SELECTED APPLICANT NOTIFICATION . 415.3 HIGHLIGHTS OF FMCSA FINANCIAL ASSISTANCE AGREEMENT GENERALPROVISIONS AND ASSURANCES . 42

CHAPTER 6.0POST-AWARD: GRANT REPORTING AND OVERSIGHT . 446.1 POST-AWARD GRANTEE RESPONSIBILITIES. 446.1.1Defining the Grantee Role . 446.1.2Defining the Grantor Role . 456.1.3Establishing Grant Files . 456.2 GRANTEE OVERSIGHT . 466.2.1FMCSA Oversight/Monitoring Methodology . 466.3 BASIC MONITORING . 476.3.1Overview of Quarterly Progress and Financial Reports . 476.3.2Quarterly Performance Progress Reports. 476.3.3Quarterly Performance Progress Report Format. 496.3.4Quarterly Federal Financial Reports . 496.3.5Data Submissions to the Agency . 506.3.6Audit Reviews . 506.4 ON-SITE MONITORING . 526.4.1On-Site Monitoring Overview . 526.4.2Preparing for On-Site Monitoring . 536.4.3Process Reviews. 546.4.4Program Reviews . 546.5 SUB-GRANTEE OVERSIGHT AND REPORTING RESPONSIBILITIES . 566.5.1Sub-Grantee Oversight and Reporting Responsibilities . 566.5.2Sub-Grantee Management . 566.6 ENFORCEMENT ACTIVITIES . 576.6.1Enforcement Activities . 576.7 PROJECT AMENDMENTS . 586.8 REIMBURSEMENT REQUESTS . 62CHAPTER 7.0GRANT CLOSE-OUT . 667.1 OVERVIEW OF FEDERAL GRANT CLOSE-OUT POLICIES ANDREQUIREMENTS . 667.2 FINAL VOUCHER AND REPORTING SUBMISSION AND RECONCILIATION . 677.2.1Financial Reconciliation Practices . 687.2.2Sub-Grantee Closeout . 697.2.3Match Requirement Verification . 697.3 EQUIPMENT DISPOSITION . 697.3.1Equipment Disposition Details . 69

7.3.2Common Rule on Grant Administration for State and Local Governments andTribes . 717.4 POST CLOSE-OUT AUDIT REPORT ACTIONS . 717.5 GRANT RECORDS ACCESS AND RETENTION . 717.5.1Record Retention Requirements . 717.5.2Access to Grantee Records . 717.5.3Access to Records in Negotiated Agreements . 71

List of TablesTable 1:Table 2:Table 3:Table 4:Table 5:Table 6:Governing Regulations . 6Governing Regulations for Sub-Grantees . 9Overview of FMCSA Grant Programs . 10Site Visit Checklist . 53FMCSA Amendment Types . 58Disposition Table by Grantee Type . 70List of FiguresFigure 1:Figure 2:Figure 3:Figure 4:Figure 5:Grants Management Lifecycle . 2Budget and Cost Analysis Requirements . 24Application Review Process . 32Mandatory/Formula TRP Process . 37Discretionary TRP Process . 38

FMCSA Grantee Manual Grantee Version 2Chapter 1: IntroductionCHAPTER 1.0 INTRODUCTIONThe purpose of this Manual is to provide Grantees with basic resources and knowledge of GrantsManagement to assist them in applying for and managing Federal Motor Carrier SafetyAdministration (FMCSA) grants. The term grant is used throughout this Manual to refer to bothgrants and cooperative agreements, unless stated otherwise.Grantees are an integral part of FMCSA’s ability to fulfill its primary mission to reduce fatalitiesand injuries and prevent commercial motor vehicle-rated fatalities and injuries. As stewards ofFederal resources, Grantees are expected to understand and adhere to both programmatic andadministrative laws, regulations, policies, and procedures to effectively implement and managethe Federal resources awarded by FMCSA.This Manual provides a solid foundation on basic grant requirements and FMCSA’s expectationsregarding Grants Management. There are many resources available to learn more aboutmanaging grants and even become certified in the field of Grants Management. Other resourcesinclude publications, training courses, and websites devoted to Grants Management which canassist any Grantee reach a high level of proficiency in Grants Management. The proceduresdescribed in the Manual are arranged and discussed according to the general Grants ManagementLifecycle, which applies to all FMCSA grant programs.There may be program-specific actions required or unique circumstances which may add to theseprocedures or call for case-by-case modifications when necessary. These unique circumstancesare not captured in the procedures outlined in the Manual; however, they may occur on occasion.1.1GUIDING PRINCIPLES AND STEWARDSHIP OF FEDERAL FUNDSBoth the Grantor and Grantee are accountable for proper stewardship of Federal financialassistance award dollars. FMCSA has oversight and monitoring responsibilities to ensurecompliance with statutes, regulations, and the Grant Award, which include administrativeregulations, cost principles, program requirements, the Single Audit Act (OMB Circular A-133),and terms and conditions of the award. Likewise, the Grantee has the obligation to use the fundsaccording to the terms and conditions of the Grant Award and in adherence with all applicablestatutes, regulations and guidance. Per the FMCSA Financial Assistance Agreement GeneralProvisions and Assurances (hereafter referred to as Terms and Conditions), Grantees areencouraged to enhance stewardship of funds by having a thorough understanding of them.Grantees receive them attached to their NGA.1.2OVERVIEW OF THE FMCSA GRANT MANAGEMENT PROCESSFMCSA has adopted a Grants Management Lifecycle approach to managing their Federal grantprograms. The Grants Management Lifecycle is structured after the Office of Management andBudget (OMB) Grants Management Line of Business (GMLoB) business model (See Figure 1).The lifecycle approach is determined to be an effective model because it recognizes theinterconnectedness of each phase of the process and the continuous nature of grant managementactivities from award through implementation and monitoring, which feeds the results back intoaward considerations for subsequent years. The FMCSA Grants Management Lifecycle is based1

FMCSA Grantee Manual Grantee Version 2Chapter 1: Introductionon a consistent set of rules and procedures, and supported by a centralized electronic processingsystem that allows for continuous improvement and greater accountability and transparencyregarding their operations. Each chapter represents either a distinct phase in the lifecycle and/or aset of sub-phases within one phase (Chapters 2-4 are sub-phases of the Pre-Award Phase).Figure 1: Grants Management LifecyclePre-Award: Planning,Application Submission,Application Review Prepare for grantapplication Receive applicantsupport andinformation Review fundingannouncement Develop application Submit application FMCSA performsapplication review FMCSA selectsgrantees andobtains fundingapproval1.3Award Receive awardnotification ornotification ofnon-selection FMCSA obligatesfunds to granteesPost-Award Establish grantfiles Submit reportsand vouchers Implement subgranteemonitoring, ifapplicable FMCSA reviewsreports andvouchers FMCSA reviewsaudits FMCSA performson-site monitoring Submitamendmentrequests, ifapplicableClose-Out Submit finalreports Perform finalfinancialreconciliation Dispose ofequipment andproperty Close and filefinal grantdocumentationPRIMARY SYSTEMS USED IN FMCSA GRANTS MANAGEMENTIn order to submit applications, receive grant awards, and manage FMCSA grants, it is useful tohave an understanding of the primary systems utilized by Grantees and FMCSA staff. There areseveral systems with which Grantees need to become familiar including Grants.gov andGrantSolutions. Grantees will need to obtain access to these systems prior to undertakingvarious activities within the Grants Management Lifecycle. The instances requiring specificsystem access are noted throughout the Manual as well as the methods of registrations such ashow to obtain User IDs and passwords.It is important to recognize that all systems are subject to updates and modifications which mayalter processes and procedures associated with those systems. Any modifications that affectwhat is reflected in this Manual will be communicated to users and reflected in training, updatedstandard operating procedures, and job aids, as appropriate.2

FMCSA Grantee Manual Grantee Version 2Chapter 1: Introduction1.3.1 Grants.govThe Grants.gov website was established as part of the Government-wide E-Grants Initiativeincluded as part of the President's 2002 Fiscal Year Management Agenda to improveGovernment services to the public. The concept has its origins in the Federal FinancialAssistance Management Improvement Act of 1999 (Pub. L. 106-107). Grants.gov provides aone-stop electronic internet portal where potential grant recipients can find and apply for Federalgrant opportunities from many Federal agencies. Grants.gov provides the capability forApplicants to search grant opportunities, register to receive notices for new opportunities,download application packages and instructions, complete applications offline, and securelyupload completed applications. Upon receipt of the application, Grants.gov sends an electronicacknowledgement to the Applicant and delivers the completed application to the Agency.1.3.2 GrantSolutionsGrantSolutions is a lifecycle Grants Management system that FMCSA began using in FY 2011for all grant and cooperative agreement opportunities. GrantSolutions is managed by theGrants Center of Excellen

regarding Grants Management. There are many resources available to learn more about managing grants and even become certified in the field of Grants Management. Other resources include publications, training courses, and websites devoted to Grants Management which can assist any Grante