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AFI Manual- Intro to Grant Management

AFI Grant Management

Published: July 12, 2012
Assets for Independence (AFI)
Guidance, Policies, Procedures, Publications/Reports, Manuals

AFI Grant Management

► 5.1 Introduction to AFI Grant Management
► 5.2 OCS and OGM Roles for AFI Grant Administration
► 5.3 Official AFI Grant Documentation
► 5.4 Accessing AFI Grant Funds, Part 1: Direct Deposit
► 5.5 Accessing AFI Grant Funds, Part 2: Drawdown
► 5.6 AFI Reporting Requirements


5.1 Introduction to AFI Grant Management

This section of the Handbook offers a general explanation of the different roles and responsibilities of AFI Program staff in the Office of Community Services (OCS) and staff of the Office of Grants Management (OGM) who work with AFI grantees. Included as well are guidelines, primary documents, instructions and examples for reporting, and procedures for managing an AFI Project grant. The section explains and illustrates the following:

  • OCS and OGM Roles for AFI grant administration. Summarizes how each office supports AFI implementation and which office grantees should communicate with for information about various project activities and requirements.
  • Official AFI grant documentation. Explains the award documents: the financial assistance award documents and the standard and special terms and conditions documents. Describes their importance and provides a place for your own award documents.
  • Accessing AFI grant funds, Part 1: Direct Deposit. Explains how to set up direct deposit specifically for an AFI grant, and includes detailed instructions for completing Standard Form 1199A.
  • Assessing AFI grant funds, Part 2: Drawdown. Provides guidance, detailed instructions, and sample forms and letters for drawing down AFI grant funds. These procedures are specific to the AFI Program.
  • AFI reporting requirements. Explains the content of financial reports, narrative program progress reports, and data reports for the annual report to Congress. Offers detailed instructions on how to complete the reports and where to submit them, as well as a report checklist that you may customize with your specific reporting dates.
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5.2 OCS and OGM Roles for AFI Grant Administration

The Office of Community Services and the Office of Grants Management jointly administer the AFI Program grants. The OCS program team is responsible for programmatic aspects of the grant, such as issuing funding opportunity announcements, reviewing grant proposals, providing guidance in and interpretation of program topics and issues, and providing training and technical assistance to grantees. The OGM staff is charged with technical aspects of grants and fiscal monitoring. OGM also assists with procedures for drawing down Federal grant funds.

Contact OCS for activities such as:

  • Obtaining guidance on program design issues
  • Seeking guidance on allowable uses for AFI IDAs
  • Registering for conference calls and AFI academies, requesting technical assistance, and adding a staff person to the AFI ListServ
  • Submitting data for the annual report to Congress
  • Using the AFI² Program Management Tool

Contact OGM for the following:

  • Submitting drawdown requests in order to receive Federal AFI grant funds
  • Requesting amendments to the original grant application, such as changes in key personnel
  • Submitting official copies of fiscal and progress reports

⇒OCS and OGM Contacts

Grantees will find the names and contact information for their OCS and OGM contacts in the cover letter that accompanies their official AFI award documentation. (Grantees are encouraged to insert a copy of their official award letter in this section of the Handbook for quick reference. Please see the following placeholder page.) For each grantee, Al Fleming and J. Janelle George, the AFI program managers, are the official OCS contact persons. The OGM contact, or grants management specialist, for each grantee, however, will vary, depending on the grantee's geographic location.

Note: It is always a good idea for grantees to send correspondence and reports to both OCS and OGM, checking first to be sure to send the official signed copies to the appropriate place and copies to the other office.

⇒AFI Resource Center

Grantees with questions about administering their AFI grants may contact the AFI Resource Center. Staff will direct grantees to the appropriate persons within OCS or OGM.

AFI Resource Center:
Tel: 202-401-4626
Fax: 202-401-5718
Email: afiprogram@acf.hhs.gov
Web site: http://www.acf.hhs.gov/programs/ocs/programs/afi

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Official AFI Grant Documentation

Each AFI grantee receives official documentation for its grant. The documentation includes the Federal Financial Assistance Award (FAA) and the terms and conditions. The FAA lists vital information about the grantee organization and the grant. The terms and conditions spell out the framework for the grant, reporting requirements, and so forth.

⇒Federal Financial Assistance Award

The FAA document and accompanying letter constitute the official paperwork for each AFI Project grant. The FAA lists a number of important pieces of information, including

  • Recipient organization (grantee) name and address
  • Program director
  • Recipient organization's employer identification number
  • Grant award amount
  • Remarks from the Office of Grants Management

The following pages include reduced-size examples of the FAA letter and the two-page FAA, as well as space where you can insert a copy of the letter and FAA your agency received. If you have more than one AFI award, keep each set of award documents separately.

⇒Terms and Conditions

This section of the Handbook includes sample terms and conditions documents for AFI Project grants and a placeholder where you can insert the terms and conditions for your grants. All AFI grantees are subject to two categories of terms and conditions:

  1. Standard terms and conditions (applicable to a broad group of ACF grantees)
  2. Special terms and conditions ("Special" for AFI grantees owing to the unique nature of the AFI Program).

The terms and conditions are generally the same for AFI grants issued in any grant year. They do, however, vary slightly from year to year. If you do not have a copy of the official documentation for your grant, you can obtain terms and conditions for your AFI Project from the IDAresources.org (under "Managing Your AFI Grant") Web site or from OGM or OCS directly.

Click here for more information on AFI Terms and Conditions.

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Accessing AFI Grant Funds, Part 1: Direct Deposit

Accessing AFI grant funds is a two-part process. The first part is to set up direct deposit, using the Federal Standard Form 1199A, to prepare for receipt of grant funds from the HHS Payment Management System into the Project Reserve Account.

Following are the specific roles and steps required in order to arrange for direct deposit.

⇒Grantee Role

Download a copy of standard Form 1199A  (see the sample form on the following page). Click here for access to the forms (See "Accessing AFI Grant Funds").

Follow the step-by-step instruction sheet , "Completing Standard Form 1199A-Direct Deposit," and fill out all required information.

The direct deposit form asks for several key pieces of information:

  • Official name of grantee organization (as shown on the FAA or as amended)
  • Official name of the Qualified Financial Institution (QFI) that will hold the Project Reserve Account (as shown on the approved grant application or as amended)
  • Original and authorized signatures of all parties

Note: If any of these items has changed since the time of the grant award, you must notify the Office of Grants Management in writing. Please ensure that all such notifications are original documents. (Please do not submit a document that has been revised using whiteout, for example.) These steps will avoid delays in setting up your direct deposit account.

Submit the original signed Standard Form 1199A to your grants management specialist in the Office of Grants Management and fax or send an unofficial copy to the Office of Community Services.

⇒Office of Grants Management Role

Verify information provided on the 1199A by comparing it with what the grantee submitted with its AFI application.

Note: If the QFI named on the Standard Form 1199A differs from that named in the application, OGM will contact the grantee to seek clarification. The grantee will be advised to submit a letter indicating that the QFI has changed and the new partnership agreement signed by both the grantee and the QFI identifying the QFI's participation in the IDA program and its agreement to hold the Project Reserve Account. All of this new information will be shared with and cleared by the Office of Community Services before the actual change is approved by OGM.

Approve form. Once OGM has approved the 1199A, it transmits the form to the HHS Division of Payment Management. At this point, Payment Management links the AFI grant Payment Management Account to the grantee's account at the QFI. Now all is ready for the next second part of the process: drawdown of grant funds.

Please see "Accessing AFI Grant Funds" for information about the process for requesting and receiving grant funds.

⇒Completing Standard Form 1199A-Direct Deposit

STEP 1: Download the form in PDF format from the AFI Asset-Building Web site. (See a
              reduced-size sample on next page.)

STEP 2: Complete the form by following the instructions below. (These instructions supersede
              instructions on the form itself. Please follow these instructions carefully.)

Section 1:

  • Section A: Enter the grantee organization name, address, and telephone number. This information must be as it appeared in the approved grant application and in Box 11 of the financial assistance award (FAA) form. Please contact OGM before submitting this form if any of this information has changed.
  • Section B: Enter the name of the grantee organization (never put an individual's name) as shown on the approved grant application and the FAA. Please contact the Office of Grants Management if any of this information has changed.
  • Section C: Enter the grantee organization's employer identification number. This number must be as given on the approved grant application and in Box 22 on the FAA.
  • Section D: Enter the type of depositor account.
  • Section E: Enter the account number for the Project Reserve Account.
  • Section F: For the type of payment, enter "Other-grant award /nonprofit."
  • Section G: Leave blank
  • Payee/joint payee certification: Enter signature of the authorized official from the grantee organization and the date. (This is usually the authorized person named in the grant application, unless amended.)
  • Joint account holder's certification : Leave blank

Section 2:

  • Government agency name: Enter "Division of Payment Management."
  • Government agency address: Enter "PO Box 6021, Rockville MD 20852."

Section 3:

(To be completed by the Qualified Financial Institution.)

  • Name and address: Enter the name and address of the financial institution that will hold the Project Reserve Account. The financial institution must be the one noted in the approved grant application or as amended.
  • Routing number: The financial institution will enter this information.
  • Print financial institution representative's name.
  • Enter signature of the financial institution representative. This must be an original signature.
  • Enter the financial institution representative's telephone number.
  • Enter the date of signature.

STEP 3: Review the form to be sure all information is correct. There may be no corrections,
              mark throughs, whiteout, or other changes on the original of the form. Submit the
              original Standard Form 1199A to OGM and OCS. Keep a copy for your records.
              Mail the original, with original signatures, to the Office of Grants Management. Mail,
              fax, or email a copy to the Office of Community Services.

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Accessing AFI Grant Funds, Part 2: Drawdown

Accessing AFI grant funds is a two-part process. Once direct deposit is established, the second part is actually to transfer the funds into the AFI Project Reserve Account. This process is often called  "drawdown." Following are the specific roles and steps required in order to arrange for a drawdown.

⇒Grantee Role

Deposit nonfederal cash cost-share funds into the Project Reserve Account . The grantee must deposit at least some of the nonfederal cash into the Project Reserve Account in order to draw down Federal AFI grant funds. Note: Grantees may draw down Federal grant funds incrementally as they deposit the nonfederal cash. However, the amount of Federal grant funds released may not exceed the amount of nonfederal cash contributions deposited in the Project Reserve Account. Submit two letters . The grantee must submit two letters to the OGM. The grantee should submit the two letters simultaneously and should send copies of both to OCS.

  • Grant drawdown request letter . This is an official request that HHS release an amount of the Federal AFI grant funds for deposit into the AFI Project Reserve Account. (See a sample grant drawdown request letter following this discussion.)
  • Financial institution account verification letter . This is a letter from the qualified financial institution verifying that a nonfederal dollar amount has been deposited in the Project Reserve Account and specifying this amount. The letter must be signed by a financial institution official. (See a sample account verification letter following this discussion.)

Both letters must include the following information:

  1. grantee name,
  2. grant number, and
  3. qualified financial institution Project Reserve Account number.

Note: A grantee that is a credit union or community development financial institution and is the holder of the Project Reserve Account may submit one letter requesting the funds and verifying the reserve funds. This letter must be signed by both the AFI Project authorizing official (signature on the application) and the authorized official (not a clerk or teller) of the institution.

Check account for deposit. Following submission of the required letters, monitor the Project Reserve Account to confirm that the HHS Division of Payment Management transfers the Federal AFI funds as requested.

⇒Office of Grants Management Role

Verify information. OGM verifies the account number against the account listed on the approved Standard Form 1199A.

Verify that grantee has submitted all required reports and other forms. OGM reviews the grantee file to determine whether all required fiscal and narrative progress reports have been submitted and are in the file. (See following documents for explanations of these reports.) OGM will not approve the drawdown of funds until all required reports have been received. OGM will contact the grantee if any reports or other required information is missing.

Recommend release of funds . If all is in order, OGM will send a memo to the HHS Division of Payment Management (DPM) authorizing it to release the requested funds to the grantee's Project Reserve Account.

⇒Division of Payment Management Role

Deposit Funds into Grantee Project Reserve Account .  The HHS Division of Payment Management deposits the specified Federal AFI grant funds into the AFI Project Reserve Account. (The funds are electronically wired, usually within 48 to 72 hours.)

⇒Office of Community Services Role

Coordinate with OGM and the grantee. If needed, OCS will help facilitate communications between OGM and the grantee to ensure timely release of funds. It is thus important that the grantee send copies of the forms and other correspondence to OCS.

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AFI Reporting Requirements

This portion of the Handbook provides specific information on the following topics:

  • The types and frequency of reports required from all AFI Projects.
  • Examples of required reports and related forms.
  • Detailed guidance on how to prepare the reports.
  • Instructions on where and how to submit reports.
  • A checklist of reports that grantees can customize with their individual information.

Click here for "Required Reporting."

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