U.S. Department of State

   

U.S. Grants

Agenda

1. Mission
2. Strategic Goals
3. Resource Team
4. Grants Funding Cycle
5. Terms and Roles
6. Grants Cycle
7. Terms and Conditions (T&C’s)
8. Standard Overseas T&C’s
9. Bureau Specific T&C’s
10. Payment Management System

Mission and Vision

DEPARTMENT OF STATE: Advance freedom for the benefit of the American people and the international community by helping to build and sustain a more democratic, secure, and prosperous world composed of well-governed states that respond to the needs of their people, reduce widespread poverty, and act responsibly within the international system.

BUREAU OF POLITICAL-MILITARY AFFAIRS (PM): To integrate diplomacy and military power to foster a stable and secure international environment hospitable to American Values and Interests.

OFFICE OF WEAPONS REMOVAL AND ABATEMENT (PM/WRA):

VISION. A world where the use or probable use of illicit, abandoned, unsecured or indiscriminately used conventional weapons of war no longer threatens civilians.

MISSION. To develop policy options, implement destruction and mitigation programs, and engage civil society in order to reduce the harmful world wide effects generated by indiscriminately used, illicit, and abandoned conventional weapons of war.

Strategic Goals
(Per CWD Strategic Plan 2009-2013)

1. Protect victims of conflict.
2. Protect innocent civilians from the effects of illicitly procured weapons and ammunition.
3. Restore access to land and infrastructure.
4. Promote conflict resolution and peace-building efforts.
5. Demonstrate support for friends, allies, and partners.
6. Develop host nation capacity.
7. Expand the funding base for Conventional Weapons Destruction.
8. Facilitate Small Arms/Light Weapons and MANPADS Destruction efforts.
9. Improve conventional arms and munitions Physical Security and Stockpile Management practices.
10. Prevent excess, loosely secured, or otherwise at-risk weapons and munitions from falling into the hands of terrorists, insurgents, criminals, and non-state actors.

Implementing Mechanisms

Grants

• At any given time PM/WRA is managing over 200 active Federal Grants.
• Approximately 60% of PM/WRA’s humanitarian assistance executed via Grants to NGO’s.
• Grants awarded on a solicited, unsolicited, or a sole-source basis.
• PM/WRA has awarded over $500 million in Grants since 2003.

Grants Team-PM/WRA

Director Resource Management

Grants Officer
Grants Specialist
Budget Analyst
Grants Support

Grants Funding Cycle

Ongoing: State Department develops program regulations and guidelines for program implementation.

Congress authorizes the program > President requests funds; Congress approves funding and appropriates funds > PM/WRA advertises availability of funds > Prospective grantees apply for funds > Funds are distributed to PM/WRA > PM/WRA Review Proposals and Select Projects for Funding > PM/WRA informs Congress how funds will be spent > Grant is issued; recipient conducts approved project > PM/WRA closes out award at the end of the project; all balances are reconciled between PMS, PM/WRA and Grantee

Grant Operational Reality

• Continuing Resolution – continuing in Fiscal Year 2012
• Future Budgets – shrinking in the best of times
• Office of Management and Budget – greater oversight of grants and stricter monetary controls over cash flow and greater reporting requirements
• Competition – creates value for the U.S. Government

Terms and Roles

• Grants Officer (GO):

Fiduciary responsibility for all grants including; signing the grants, making determination of amendments, extensions and changes in scope. Closes out the grants and signs off on all reports including audit reports and findings.

• Grants Officer Representative (GOR):

Insures prudent management and oversight of the award through liaison, monitoring, and evaluation of the recipient’s performance. Tasks include negotiating grant project plans pre-award, reviewing all grantee financial and status reports, and communicating with grantees.

• Program Manager:

Same as GOR but infers country specific responsibility including preparing and defending country plans and funding.

• Grants Specialist:

Handles all grant paperwork and payments; processes amendments, reports, audits and monitoring payments.

Grants Cycle

Ongoing: State Department develops program regulations and guidelines for program implementation.

Program Director and Program Managers agree on Funding levels country by country > PM/WRA advertises availability of funds > Grantees negotiate grant project plan with Program Managers > Prospective grantees apply for funds > Grants Officer and Program Manager review plan > If approved, grantee reviews Terms and Conditions and signs the SF-1909 form > Grants Officer signs grant > Grantee funding information sent to PMS, grant is issued > Grant project performed, grantee reports progress quarterly in PMS, budget, and narrative reports > Grantee has an outside audit performed at the end of the project > PM/WRA reviews audit and grantee final report. Grant is closed out if everything is acceptable.

Terms and Conditions

Standard Overseas Terms and Conditions

• Payments

–The amount of advance payments requested by the recipient must be based on actual and immediate cash needs

• Fly America Restrictions

–If unavailable, provide a certification of unavailability of U.S. Flag Air Carriers to the GOR

• U.S. Flag

–Operations in Afghanistan are exempt from this requirement

• Liability

–The U.S. Government and its employees shall not be liable of any nature of kind, including cots and expenses, for or on account of any or all suits for damage sustained by any person or persons or property by virtue of performance of this award

• Examination and Retention of Records

–3 Years after final close out

Prior Approval Requests -- must be submitted to GOR with final approval subject to review and acceptance of GO (request 30 days notice with absolute minimum of 10 days)

–Change in scope or objective

–Change in key personnel

–Absence of more than 3 mos. Or 25% reduction in time by approved project director

–Additional funding

–Extension of period of performance

–Change in indirect costs

–Transfer of funds among direct cost categories where such transfer exceeds 10%

–Sub-awards or contracts not approved in application

–Transfer of funds for training to other categories

Property

Upon completion of award, the recipient shall submit in writing within 30 working days a property disposition request. Provide an inventory list with recommendations for disposition. Include purchase price, manufacturer’s serial number, model number or other identification, location, and condition of property in an excel spread sheet.

Department of State reserves the right to transfer all property acquired with federal assistance funds having a current market value of $5000 ot more after the period of performance. 

Unallowable Costs

• Alcoholic Beverages
• Bad debt
• Contingencies –Contributions to a contingency reserve
• Entertainment –Cost of amusement, diversion, or social activities including ceremonies
• Goods or services for personnel use
• Organization costs –incorporation fees, brokers fees, attorneys unless approved by the GOR and GO

Bureau Specific Terms and Conditions

• Special Provision for Performance in a Designated Combat Area

–All recipient personnel deploying must register in the DOD Synchronized Pre-deployment and Operation Tracker (SPOT) system

• Audit

–All grants must have a yearly audit. The audit must be performed by an outside organization and the tender process should include at least 3 vendors. The audit should comply with International Accounting Standards Board (IASB) practice. This expense can be charged to the grant

• Pre-award Costs

Payment Management System (PMS)

• System is run by Health and Human Services, not the Department of State
• Federal Financial Report (FFR) is due 30 days after the end of the calendar year quarter
• All reports due on the same schedule
• Failure to submit the FFR report will result in inability to draw down funds
• In order to close out grants, the PMS system must show that the money has been zeroed out
• PMS Help Desk Number: #877-614-5533 Mon-Fri 5:00am-11:00pm EST, Sat & Sun 9:00am-9:00pm EST

Report Card
As of September 2010…

OVER 32,000 MANPADS DESTROYEDin 30 countries

1,500,000+ SMALL ARMS/LIGHT WEAPONS DESTROYEDin 38 countries

80,000+ TONS OF MUNITIONS DESTROYEDin 38 countries

81 COUNTRIES ASSISTEDthat were landmine or ERW-affected

20 COUNTRIES MADE “MINE IMPACT-FREE” or SELF-SUFFICIENT IN MINE ACTION CAPABILITY.

Questions? For more information, please visit www.state.gov/t/pm/wra