United States Department of Health and Human Services

Providing grant information to current and prospective HHS grantees

HHS Grant Management Process - Post-award Monitoring

Overview of the HHS Grant Management Process

Post-award monitoring of recipient performance includes:

Tracking receipt of required financial and progress reports.
Reviewing these reports to identify performance or financial deficiencies.
Maintaining records of all communications with the recipient, including correspondence and telephone or on-site contact.
Conducting site visits when necessary to closely investigate problems or deficiencies identified through analysis of reports.
Responding to requests for amendments to the grant.

The Grants Management Office performs postaward monitoring activities including site-visits, reviewing reports, etc. The Program Management Office monitors the technical progress and performance of the recipient through review and analysis of project reports and through on-site reviews.

Formal Actions

Formal actions involve signing and issuing official documents (time period, funds, scope), modifying grants, or taking other corrective actions (e.g., suspensions, disallowances).

The Grants Management Office evaluates circumstances necessitating post-award action and advises the Program Management Office on options. The Grants Management Office also issues appropriate documents, including notices of suspending and/or terminating grants, certifies that such actions are in compliance with legal, regulatory, and policy requirements and are consistent with sound business practices. The Program Management Office evaluates circumstances necessitating post-award action and recommends or jointly approves specific action in consultation with the Grants Management Office and based on an assessment of the impact of the action on programmatic goals.

Audit Resolution

Audit resolution involves reviewing required periodic audits of recipients and determining how to respond to audit findings. It also includes explaining to recipients actions they must take in response to audit findings and following up to ensure the actions are implemented.

The Grants Management Office ensures that recipients comply with audit requirements and document actions needed to resolve audit findings. It ensures that recipients complete followup actions. The Program Management Office provides information and consultation to the Grants Management Office as required and takes necessary follow-up action as requested.

Conflict Resolution

Conflict resolution involves settling disagreements that may occur with recipients, including formal appeals.

The Grants Management Office works with recipients to achieve informal resolution of disputes (alternative dispute resolution). For formal disputes, the Grants Management Office takes the lead in researching case history; conducting background analyses; and providing expert advice and testimony. It also ensures the availability of a complete and accurate official grant file. The Program Management Office works with recipients to achieve informal resolution of disputes. For formal disputes, the Program Management Office provides information and consultation to the Grants Management Office.