2013 Minority Fellowship Program Grantee Meeting
April 23-24, 2013
Salvador Ortiz; 240-276-1421
Maria Martinez; 240-276-1417
Division of Grants Management/Office of Financial Resources salvador.ortiz@samhsa.hhs.gov
; maria.martinez@samhsa.hhs.gov

 Partners
 Roles (GPO, DGM, DPM)
 Actions Requiring Prior Approval
 Process for Requesting Prior Approval

Carryover Authority
 Reporting Requirements
 Closeout
 SAMHSA Grants Management website

Grantee
Government Project
Officer (GPO)
Grants
Management
Specialist (GMS)
Division of Payment
Management
(DPM)
Representative

• Government Project Officer (GPO): The
GPO is responsible for the programmatic, and/or technical aspects of assigned grants. The GPO works in partnership with the Grants Management Specialist (GMS) throughout the duration of the grant cycle.

 Partners with SAMHSA Government Project Officers
 Responsible for business management matters:
 Award Negotiations
 Official Signatory for Obligation of Federal Funds
 Official Signatory for Prior Approvals
 Monitor fiscal/compliance issues
 Close-out of the grant

Drawdown of Funds are made through another Federal office:
Division of Payment Management (DPM)
Website Address: www.dpm.psc.gov
Please visit the “Contact Us” section on the above website to search for grantee’s account representative based on organizational entity status.


Key Staff changes: Any replacement or substantial reduction in effort of the
Program Director (PD) or other key staff; positions designated as key staff are defined in the Notice of Award (NoA).
 Re-budgeting of funds : Cumulative amount of transfers among direct/indirect cost categories exceeding 25% of the total award amount or $250,000 , whichever is less.
 Transfer of Substantive Programmatic Work to a Contractor
 Carryover of Un-obligated Funds above 25% of the total federal share of the current budget period.
 Change in Scope : i.e. reduction in services originally proposed, reduction in number of clients, etc.
 No Cost Extension: To permit an orderly phase-out of a project or program.

 Request should be submitted in writing by Grantee:
 Address to Grants Management Specialist and Government Program
Official
 Reference Grant Number (e.g. SM-12345)
 Provide Programmatic and Budget Justification
 Signed by both Program Director and Business Official
 Requests may be submitted via email, with the Program Director and
Business Official copied (CC) on the e-mail. If submitted via email, you are not required to submit hard copy via mail.
 Reviewed by Grants Management Specialist in consultation with Project
Officer.
 Approval will be official with a revised Notice of Award.

Special Terms and Condition(s) of Award:
An unobligated balance (UOB) of funds may be carried over into the current budget period without Grants
Management Officer prior approval for the following reason:
Beginning October 1, 2011, a grantee may carryover previous Unobligated Balance(s) (UOB) of funds up to 25% of the total federal share of the current budget period (the year in which the funds will be needed) without prior approval from the Grants Management Officer. The intention to carryover up to this threshold must be reflected in the remarks section of the Federal Financial Report (FFR) submitted for the FY2010 budget period. The subsequent FFR must reflect the actual UOB carryover amount in the remarks section.
If the amount of carryover exceeds 25%, the Grants Management Specialist (GMS) will notify the grantee that they must return the federal share over the threshold due to noncompliance and may rescind this authority.
However, the grantee may request for approval, a carryover above the 25% threshold, but must submit a detailed budget and narrative justification if the program requires additional funds. The total amount requested and justified must be both the 25% plus the amount requested over that in order to analyze the total unobligated balance of funds budget concept. The applicability of this authority for your project is stated above.

*However, this new carryover authority DOES
NOT apply to HIGH RISK grantees.
If they wish to carryover funds, they must submit a formal carryover request.

Example# 1: Carryover Authority – 25% without prior approval from GMO
From Year 1 SF-425 Federal Financial Report (FFR)
Year 1 Authorized Federal Funds: $800,000
Year 1 Total Expenditures:
Unobligated Balance of Funds:
$575,000
$225,000
Year 2 Notice of Award:
Authorized Federal Funds (federal share) $800,000
Under the new carryover authority, the grantee may carryover previous Unobligated Balance(s) of funds up to 25% of the federal share from the current budget period (the year in which the funds will be needed) without prior approval from the Grants
Management Officer.
In this case, the federal share of the current budget period is $800,000.
$800,000 x 25% = $200,000
The grantee may carryover up to $200,000 without receiving prior approval from the Grants Management Officer.

Example# 2- Grantee would like to carryover above the allowable
25% threshold – requires prior approval
From Year 1 SF-425 Federal Financial Report (FFR)
Year 1 Authorized Federal Funds: $800,000
Year 1 Total Expenditures:
Unobligated Balance of Funds:
$575,000
$225,000
Year 2 Notice of Award:
Authorized Federal Funds $800,000
$800,000 x 25% = $200,000 (without GMO prior approval)
If the grantee wishes to carryover any amount over $200,000 of unobligated funds, they must submit a formal carryover request for the entire amount.
Due date for submitting carryover request is February 4, 2013.

REPORTS RESPONSIBILITY SENT TO
Division of Grants
Management (DGM)
Programmatic Progress Reports
(report may be emailed to DGM contact)
Program Director
Quarterly Federal Financial Report
(submitted through grantee’s DPM account)
Grantee Organization Division of Payment
Management (DPM)
Annual Federal Financial Reports
(SF-425 FFR)
Report may be emailed to DGM contact
Grantee Organization Division of Grants
Management (DGM)

• We’ll be providing detailed instructions in your final year continuation
Notice of Award under the Special Terms and Conditions section.
• Grant closeout documents must be submitted to the Division of Grants
Management within 90 days after the end of the final budget period.
– Final Federal Financial Report
– Final Progress Report

Everything you need to know about managing a grant can be found at the following link: http://www.samhsa.gov/Grants/management.aspx