4th Revision – March 2015
GHSA Management Review Self-Assessment Timeline Schedule (updated to MR Elements 12-19-14)
MR
Element
I. ORGANIZATION AND STAFFING
IA – Authority and Functions
IB – Organization and Staffing
SHSO Organization Chart Content Accuracy
IC- SHSO Policies and Procedures Manual
Updates
ID - Delegations of Authority
IE - Personnel Development and Training
IE1 - Identify training needs
II. PROGRAM MANAGEMENT
II A - Planning and Programming
IIA1 – HSP Development
IIA1 – Submission of final HSP to NHTSA
IIB – Project Agreements
IIB4n – Submission of Annual Report to Region
II – C Implementation
IIC8 – Sub Grantee Certifications and
Assurances Updated
IIC8 – Debarment and Suspension Lists
Checked for Project Proposals
IIC11 – Streamlining Paperwork
II – D Monitoring and Review
IID3 – Monitoring Policy Compliance Check
IIID3b – Monitoring subrecipients’ processes
when overtime is funded for adequate checks,
balances and safeguards
IIF – Program Strengths
Assigned
To
Periodic
JAN.
FEB.
MAR.
APRIL
MAY
JUNE
JULY
AUG.
SEPT.
OCT.
NOV.
DEC.
Ongoing
Ongoing
Ongoing
S
S
Annually
Ongoing
S
S
R
Ongoing
S
S
R
Ongoing
Ongoing
R
R
Annually
Ongoing
Quarterly
Ongoing
S
S
S
S
Ongoing
III. FINANCIAL MANAGEMENT
IIIA – Financial Management Systems
S = Suggested R = Required
1
4th Revision – March 2015
MR
Element
Assigned
To
Periodic
JAN.
FEB.
MAR.
APRIL
MAY
JUNE
JULY
AUG.
SEPT.
OCT.
NOV.
DEC.
IIIB – Grant Payments-Vouchers
IIIB1a – Local Benefit Entries in GTS
R
IIIB1 – Submission of GTS Vouchers
Monthly
R
IIIB2f – Time of Receipt vs. Disbursement
Quarterly
S
IIIB2i– Accounting for Program Income
Monthly
IIIB3a – HS217 Fund Obligation Submission
(after each grant award)
IIIB3b – Timely Fund Liquidation
30 days
Quarterly
R
R
R
R
R
R
S
R
R
R
S
R
R
R
S
R
S
S
S
S
IIIC - Audits
IIIC1 – Review Last State Audit for Corrections
IIIC2 – Review Sub Grantee Audit Compliance
Status
IIIC3 – Check Federal Clearinghouse Web Site
S
S
Monthly
Quarterly
S
S
S
S
S
S
IIID– Matching Funds
IIID1 – Documentation Records for Program
Match
IIIE – 40% Local Benefit
S
IIIE1 – Local Benefit Documentation Records
for Section 402
IIIE2 – Local Benefit Documentation for
Sections 154 and 164 if used as 402
IIIF – Planning and Administration and Program
Management
IIIF1 – Documentation for 50% P&A Match
S
R
S
S
R
S
S
R
S
S
R
S
IIIF2 – Documentation for 13% Limit on Use of
Federal funds (2014)
IIIF4 – Documentation that indirect costs as a
P&A match applied only to P&A expenditures
IIIF5 – Verify salaries and costs charged
correctly to P&A
IIIF6 – Verify salaries and costs charged
correctly to program management
IIIF7 – Recordkeeping system approved by
S = Suggested R = Required
R
Ongoing
S
S
S
Ongoing
S
S
S
Ongoing
S
S
S
R
Monthly
R
R
R
R
R
R
R
R
R
R
R
R
R
Ongoing
2
4th Revision – March 2015
MR
Element
Assigned
To
Periodic
JAN.
FEB.
MAR.
APRIL
MAY
JUNE
JULY
AUG.
SEPT.
OCT.
NOV.
DEC.
Monthly
R
R
R
R
R
R
R
R
R
R
R
R
NHTSA Regional Administrator
IIIF8 – Verify that timekeeping and
documentation comply with NHTSA-approved
system
IIIG – Maintenance of Effort Documentation
Ongoing
S
S
IIIH – Project Equipment
IIIH1 Equipment Tracking and Managing
Ongoing
IIIH3 - NHTSA Approval Equipment Purchase
$5,000 or more value
III I – Contracts/Professional Service Agreements
Ongoing
III I3 – Monitoring State/Subrecipient
Agreements for compliance with contracts
IIIJ – Indirect Costs
Quarterly
III1 – SHSO Approval Letter for own indirect
costs
IIIJ2 and 3 – Approval Letters or Rate Plan
Review
IIIJ4 – State Agency 10% Rate Allowance
Agreement
IIIK – Unexpended Grant Balances
S
R
S
S
S
S
S
Ongoing
S
Ongoing
S
IIIK1 – Review GTS Grant Fund Balances Report
#7 to identify unexpended balance levels by
program type and trends. Document plans to
expend funds and closely track.
Quarterly
IIIL - Paybacks
If
needed,
prior to
MR
IV – Project File Review
Conduct Periodic Internal File Reviews
S = Suggested R = Required
Quarterly
S
S
S
S
3