Managing a Grant | ACL Administration for Community Living

Successful grant applicants receive from ACL an electronic Notice of Award (NoA) that indicates the grant (program) start and end dates. The NoA is an authorizing document from the ACL authorizing official, Chief Grants Management Officer, and ACL's Office of Budget and Finance. Acceptance of the award is signified by the drawdown of funds from the Payment Management System.

Once an NoA is received, grant program work can begin. As an ACL grantee, there are requirements you need to know as you work to fulfill the expectations of your award. Your Grants Management Specialist and ACL Project Officer are always available to answer questions and discuss issues that arise during implementation of the grant program,

To help you administer your grant award, the following sections offer general information, as well as links to ACL and other federal resources. Please note that specific grant compliance requirements will be included in the Notice of Award and must be followed.

Information for New Grantees

Notice of Award (NoA)

Upon award, grantees should thoroughly review the NoA. The NoA includes terms and conditions required to remain compliant with federal statutes and regulations. You should follow up immediately with the Federal Project Office or Grants Management Specialist if you have any questions.

Payments

Payments for grantees are made through the Payment Management System (PMS). PMS is administered by the Program Support Center, within the Division of Payment Management, DHHS. Organizations are assigned an 11-digit Entity Identification Number (EIN) for payment and accounting purposes; this number is provided on the NoA. The EIN number is an expansion of the 9-digit Employer or Tax Identification Number assigned to an organization by the Internal Revenue Service. Inquiries regarding payments and requests for downloadable forms should be directed to PMS. Visit https://pms.psc.gov/grant-recipients/access-newuser.html for information on this procedure.

Federal Restrictions on Lobbying for HHS Financial Assistance Recipients (New)

Please review: http://www.hhs.gov/grants/grants/grants-policies-regulations/lobbying-restrictions.html.

GrantSolutions Grantee Resources

GrantSolutions is an online grants management system that ACL discretionary grantees are required to use to view their official grant files, submit program and financial reports, and request grant amendments. The following resources were developed by ACL to assist grantees in navigating GrantSolutions:

GrantSolutions Grantee Basics (PDF, 4.62MB)
Frequently Asked Questions (PDF, 134KB)

ACL offers the following GrantSolutions training videos and transcripts. Full-screen viewing is recommended for videos.

Requesting, Modifying, or Deleting a GrantSolutions User Account
Video | Transcript (PDF, 104KB)
Logging Into* and Navigating GrantSolutions
Video | Transcript (PDF, 112KB)
My Grants List: Accessing and Viewing Your Official Grant File
Video | Transcript (PDF, 99KB)
Grant Notes: Submitting Documents (such as Program or Financial Reports)
Video | Transcript (PDF, 120KB)
Requesting an Amendment (such as a Carryover or No Cost Extension)
Video | Transcript (PDF, 108KB)

If you have technical difficulties with GrantSolutions, contact help@grantsolutions.gov or call 866-577-0771 or 202-401-5282 (Monday-Friday, 8 a.m.-6 p.m. ET, excepting federal holidays).

Reporting Requirements

There are standard reporting guidelines for grantees that receive funds from ACL. The guidelines provide instructions for semi-annual and final performance reporting. Find the instructions in the Current Guidelines for Preparing Performance Reports for Grants (PDF, 332KB). Please note: Reporting requirements may vary depending on the grant. Please consult the Notice of Award for the grant to ensure compliance.

Semi-annual reports are due 30 days after each 6-month reporting period. A final report, which takes the place of a semi-annual report at the end of a grant's final year, is due within 90 days of the project’s completion date.
The Federal Financial Report (SF-425) (PDF) is required annually, 30 days after the end of each budget period for grants with multiple budget periods, unless otherwise noted in the NoA. Final reports are due 90 days after the end of the project period. For grants where the budget period and the project period are the same, an annual report is due 30 days after each 12 month period effective with the start date of the award. A final report is due 90 days after the end of the project period. Any project funds that remain unobligated at the end of the project period as reported on the SF-425 are de-obligated at closeout and returned to the Treasury, unless the grantee has requested an extension during the time the grant was active.
For AoA’s Title III State Formula Grants, the SF-425 is required semi-annually. A supplemental form to the SF-425 report is also required. The revised supplemental form and instructions, which was approved by OMB on November 12, 2014, can be downloaded.
Federal Awardee Performance and Integrity Information System Reporting.

General Reporting Requirement

If the total value of your active grants, cooperative agreements, and procurement contracts from all federal agencies exceeds $10,000,000 at any time during the period of performance of this federal award, you must maintain the currency of information reported to the System for Award Management (SAM), which is made available in the designated integrity and performance system [Federal Awardee Performance and Integrity Information System (FAPIIS)] about civil, criminal, or administrative proceedings described in paragraph 2 of this award term and condition. This is a statutory requirement under section 872 of Public Law 110-417, as amended (41 U.S.C. 2313). As required by section 3010 of Public Law 111-212, all information posted in the designated integrity and performance system on or after April 15, 2011, except past performance reviews required for federal procurement contracts, will be public. See 2 CFR 200 Appendix XII for full citation.

Note: Some programs funded by ACL may have individual reporting requirements that differ from those above. Regardless, both financial and programmatic reporting is required by statute for all ACL grant programs.

Terms and Conditions

Department of Health and Human Services (HHS) grant recipients must comply with all terms and conditions outlined in their grant awards, including grant policy terms and conditions contained in applicable HHS Grants Policy Statements, and requirements imposed by program statutes and regulations, executive orders, and HHS grant administration regulations, as applicable; as well as any requirements or limitations in any applicable appropriations acts.

45 CFR Part 75—Uniform Administrative Requirements, Cost Principles, and Audit Requirements For HHS Awards

Prohibition on certain telecommunications and video surveillance services or equipment

Effective August 13, 2020, HHS issued new provisions to loan, grant or cooperative agreement awards (does not apply to no-competing continuation awards):

As described in CFR 200.216, recipients and subrecipients are prohibited to obligate or spend grant funds (to include direct and indirect expenditures as well as cost share and program) to:

(1) Procure or obtain,

(2) Extend or renew a contract to procure or obtain; or

(3) Enter into contract (or extend or renew contract) to procure or obtain equipment, services, or systems that use covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology as part of any system. As described in Pub. L. 115-232, section 889, covered telecommunications equipment is telecommunications equipment produced by Huawei Technologies Company or ZTE Corporation (or any subsidiary or affiliate of such entities).

i. For the purpose of public safety, security of government facilities, physical security surveillance of critical infrastructure, and other national security purposes, video surveillance and telecommunications equipment produced by Hytera Communications Corporation, Hangzhou Hikvision Digital Technology Company, or Dahua Technology Company (or any subsidiary or affiliate of such entities).

ii. Telecommunications or video surveillance services provided by such entities or using such equipment.

iii. Telecommunications or video surveillance equipment or services produced or provided by an entity that the Secretary of Defense, in consultation with the Director of the National Intelligence or the Director of the Federal Bureau of Investigation, reasonably believes to be an entity owned or controlled by, or otherwise, connected to the government of a covered foreign country.

SAM.gov / DUNS Requirement

Effective October 1, 2010, HHS requires all entities that plan to apply for and ultimately receive federal grant funds from any HHS Operating/Staff Division (OPDIV/STAFFDIV) or receive subawards directly from the recipients of those grant funds to:

1. Register in SAM.GOV prior to submitting an application or plan;

2. Maintain an active SAM.GOV registration with current information at all times during which it has an active award or an application or plan under consideration by an OPDIV; and

3. Provide its DUNS number in each application or plan to submit to the OPDIV.

See the SAM Quick Guide for Grantees.

Consolidated Appropriations Act, 2020, Public Law 116-94

Salary Limitation

The General Provisions in the Consolidated Appropriations Act, 2020 (Public Law 116-94), signed into law on December 20, 2019, includes provisions for a salary rate limitation. The law limits the salary amount that may be awarded and charged to ACL grants and cooperative agreements. Award funds may not be used to pay the salary of an individual at a rate in excess of Executive Level II. The Executive Level II salary of the Federal Executive Pay scale is $197,300[HL(1] . This amount reflects an individual’s base salary exclusive of fringe and any income that an individual may be permitted to earn outside of the duties to the applicant organization. This salary limitation also applies to subawards/subcontracts under an ACL grant or cooperative agreement. Note that these or other salary limitations will apply in FY 2020, as required by law[CR(2] .

Gun Control (Section 217) “None of the funds made available in this title may be used, in whole or in part, to advocate or promote gun control.”

Restriction on Distribution of Sterile Needles (Section 522) "Notwithstanding any other provision of this Act, no funds appropriated in this Act shall be used to carry out any program of distributing sterile needles or syringes for the hypodermic injection of any illegal drug.”

Anti-Lobbying (Section 503)

a. No part of any appropriation contained in this Act or transferred pursuant to section 4002 of Public Law 111–148 shall be used, other than for normal and recognized executive legislative relationships, for publicity or propaganda purposes, for the preparation, distribution, or use of any kit, pamphlet, booklet, publication, electronic communication, radio, television, or video presentation designed to support or defeat the enactment of legislation before the Congress or any state or local legislature or legislative body, except in presentation to the Congress or any state or local legislature itself, or designed to support or defeat any proposed or pending regulation, administrative action, or order issued by the executive branch of any state or local government, except in presentation to the executive branch of any state or local government itself.

b. No part of any appropriation contained in this Act or transferred pursuant to section 4002 of Public Law 111–148 shall be used to pay the salary or expenses of any grant or contract recipient, or agent acting for such recipient, related to any activity designed to influence the enactment of legislation, appropriations, regulation, administrative action, or Executive order proposed or pending before the Congress or any state government, state legislature or local legislature or legislative body, other than for normal and recognized executive-legislative relationships or participation by an agency or officer of a state, local or tribal government in policy-making and administrative processes within the executive branch of that government.

c. The prohibitions in subsections (a) and (b) shall include any activity to advocate or promote any proposed, pending or future federal, state or local tax increase, or any proposed, pending, or future requirement or restriction on any legal consumer product, including its sale or marketing, including but not limited to the advocacy or promotion of gun control."

Trafficking Victims Protection Act

A. Provisions applicable to a recipient that is a private entity.

1.You as the recipient, your employees, sub-recipients under this award, and sub-recipients’ employees may not —

i. Engage in severe forms of trafficking in persons during the period of time that the award is in effect;

ii. Procure a commercial sex act during the period of time that the award is in effect; or

iii. Use forced labor in the performance of the award or subawards under the award.

2. We as the Federal awarding agency may unilaterally terminate this award, without penalty, if you or a sub-recipient that is a private entity –

i. Is determined to have violated a prohibition in paragraph a.1 of this award term; or

ii. Has an employee who is determined by the agency official authorized to terminate the award to have violated a prohibition in paragraph a.1 of this award term through conduct that is either —

a. Associated with performance under this award; or

b. Imputed to you or the sub-recipient using the standards and due process for imputing the conduct of an individual to an organization that are provided in 2 CFR part 180, “OMB Guidelines to Agencies on Government wide Debarment and Suspension (Nonprocurement),” as implemented by our agency at 2 CFR part 376.

B. Provision applicable to a recipient other than a private entity. We as the Federal awarding agency may unilaterally terminate this award, without penalty, if a sub-recipient that is a private entity —

1. Is determined to have violated an applicable prohibition in paragraph a.1 of this award term; or

2. Has an employee who is determined by the agency official authorized to terminate the award to have violated an applicable prohibition in paragraph a.1 of this award term through conduct that is either —

i. Associated with performance under this award; or

ii. Imputed to the sub-recipient using the standards and due process for imputing the conduct of an individual to an organization that are provided in 2 CFR part 180, “OMB Guidelines to Agencies on Government wide Debarment and Suspension (Nonprocurement),” as implemented by our agency at 2 CFR part 376

C. Provisions applicable to any recipient. 1.You must inform us immediately of any information you receive from any source alleging a violation of a prohibition in paragraph a.

1. Of this award term.

2.Our right to terminate unilaterally that is described in paragraph a.2 or b of this section:

i. Implements section 106(g) of the Trafficking Victims Protection Act of 2000 (TVPA), as amended (22 U.S.C. 7104(g)), and

ii. Is in addition to all other remedies for noncompliance that are available to us under this award

3.You must include the requirements of paragraph a.1 of this award term in any subaward you make to a private entity

D. Definitions. For purposes of this award term:

1.“Employee” means either:

i. An individual employed by you or a sub-recipient who is engaged in the performance of the project or program under this award; or

ii. Another person engaged in the performance of the project or program under this award and not compensated by you including, but not limited to, a volunteer or individual whose services are contributed by a third party as an in-kind contribution toward cost sharing or matching requirements

2.“Forced labor” means labor obtained by any of the following methods: the recruitment, harboring, transportation, provision, or obtaining of a person for labor or services, through the use of force, fraud, or coercion for the purpose of subjection to involuntary servitude, peonage, debt bondage, or slavery

3.“Private entity”:

i. Means any entity other than a State, local government, Indian tribe, or foreign public entity, as those terms are defined in 2 CFR 175.25.

ii. Includes:

a. A nonprofit organization, including any nonprofit institution of higher education, hospital, or tribal organization other than one included in the definition of Indian tribe at 2 CFR 175.25(b)

b.A for-profit organization

4.“Severe forms of trafficking in persons,” “commercial sex act,” and “coercion” have the meanings given at section 103 of the TVPA, as amended (22 U.S.C. 7102)

Security and Privacy

Should the collection of information require the use of an information technology system (2 CFR 200.58), the grant recipient and subrecipient(s) will be expected to adhere to the NIST Cybersecurity Framework to help ensure the security of any system used or developed by the grant recipient or subrecipient(s). In particular, if the data to be collected includes Personally Identifiable Information (PII, 2CFR 200.79) or Protected PII (2 CFR 200.82), the grant recipient and subrecipient(s) must apply the appropriate security controls required to protect the privacy and security of the collected PII and/or Protected PII.

Whistleblower Protections

Grantees are hereby given notice the National Defense Authorization Act of 2013 extending whistleblower protections for contractor employees applies to this award. Further guidance may be found at Public Law 112-239, as amended.

DOMA: Implementation of Same-Sex Spouses/Marriages

United States v. Windsor, 133 S.Ct. 2675 (June 26, 2013); section 3 of the Defense of Marriage Act, codified at 1 USC § 7. All grantees are expected to recognize any same-sex marriage legally entered into in a U.S. jurisdiction that recognizes their marriage, including one of the 50 states, the District of Columbia, or a U.S. territory, or in a foreign country so long as that marriage would also be recognized by a U.S. jurisdiction. This applies regardless of whether or not the couple resides in a jurisdiction that recognizes same-sex marriage. However, this does not apply to registered domestic partnerships, civil unions or similar formal relationships recognized under the law of the jurisdiction of celebration as something other than a marriage. Accordingly, recipients must review and revise, as needed, any policies and procedures which interpret or apply Federal statutory or regulatory references to such terms as “marriage,” “spouse,” family,” “household member’” or similar references to familial relationships to reflect inclusion of same-sex spouse and marriages. Any similar familial terminology references in HHS statutes, regulations, or policy transmittals will be interpreted to include same-sex spouses and marriages legally entered into as described herein.

Federal Funding Accountability and Transparency Act (FFATA)

The FFATA Sub-award Reporting System (FSRS) will collect data from Federal prime awardees on sub-awards they make: a prime grant awardee will be required to report on its sub-grants and a prime contract awardee will be required to report on its sub-contracts.

GRANTS

In accordance with 2 CFR Chapter 1, Part 170 REPORTING SUB-AWARD AND EXECUTIVE COMPENSATION INFORMATION, Prime Awardees awarded a federal grant are required to file a FFATA sub-award report by the end of the month following the month in which the prime awardee awards any sub-grant equal to or greater than $25,000. The reporting requirements are as follows:

- This requirement is for both mandatory and discretionary grants awarded on or after October 1, 2010.
- All sub-award information must be reported by the prime awardee.
- For those new Federal grants as of October 1, 2010, if the initial award is equal to or over $25,000, reporting of sub-award and executive compensation data is required.
- If the initial award is below $25,000 but subsequent grant modifications result in a total award equal to or over $25,000, the award will be subject to the reporting requirements, as of the date the award exceeds $25,000.
- If the initial award equals or exceeds $25,000 but funding is subsequently de-obligated such that the total award amount falls below $25,000, the award continues to be subject to the reporting requirements of the Transparency Act and this Guidance.

FFATA Terms and Conditions (PDF, 37KB)

FFATA Sub-award Reporting System (FSRS)

FFATA FSRS FAQs

Federal Awardee Performance and Integrity Information System (FAPIIS)

As required by 2 CFR 200 Appendix XII of the Uniform Guidance, non-federal entities (NFEs) are required to disclose in FAPIIS any information about criminal, civil, and administrative proceedings, and/or affirm that there is no new information to provide. This applies to NFEs that receive federal awards (currently active grants, cooperative agreements, and procurement contracts) greater than $10,000,000 for any period of time during the period of performance of an award/project.

Policy

The Duncan Hunter National Defense Authorization Act of 2009 (Public Law 110-417) was enacted on October 14, 2008. Section 872 of this Act required the development and maintenance of an information system that contains specific information on the integrity and performance of covered federal agency contractors and grantees. FAPIIS was developed to address these requirements. FAPIIS provides users access to integrity and performance information from the FAPIIS reporting module in the Contractor Performance Assessment Reporting System (CPARS), proceedings information from the Entity Management section of the System for Award Management (SAM) database, and suspension/debarment information from the Performance Information section of SAM. See 2 CFR 200 Appendix XII for full citation.

HHS Grants Policy Statement (PDF)

The Department of Health and Human Services (HHS) Grants Policy Statement is intended to make available in a single document the general terms and conditions of HHS discretionary grant and cooperative agreement awards. These general terms and conditions are common across all HHS Operating Divisions (OPDIVs) and apply as indicated in the HHS GPS unless there are statutory, regulatory, or award-specific requirements to the contrary (as specified in individual NoAs). The HHS awarding offices are components of the OPDIVs and Staff Divisions (hereafter “OPDIVs”) that have grant-awarding authority.

Requesting a Grant Amendment

A grantee may request an amendment to a current grant award, as identified by Federal Administrative Regulations (45 CFR Part 75). Modifications require prior approval from ACL and may include: budget modifications, changes in key personnel, budget carryover requests from one program year to the next, no-cost extensions of time, or supplemental award funding. All requests must be made through GrantSolutions. The following Video / Transcript provides additional guidance on requesting an amendment:

Continuation Awards

ACL continues to improve the procedures for grantees to receive continuation funding for their current project period as denoted in the NoA. Generally, procedures will not involve the submission of subsequent applications through Grants.gov. Since ACL accepts, meritoriously reviews, and awards grants or cooperative agreements based on a multi-year application, future funding will be released based on, and subject to, the availability of funds from a Congressional appropriation, ACL’s approval, and a recipient’s compliance with all terms and conditions. At a minimum, ACL and a recipient must ensure the following:

Submission of up-to-date program progress and financial (SF-425/PMS) reports;
Reporting of federal cash transactions in the Payment Management System are up-to-date; and
System for Award Management (SAM) annual registration and DUNS information are up-to-date.

If the above minimum conditions are met:

ACL Project Officer will review program progress reports to ensure overall outcomes and grantee performance are in compliance with the work plan and terms and conditions of the award;
If project is performing satisfactorily; grantee will receive an NoA from ACL’s Office of Grants Management certifying approval of continued funding;
If performance does not meet ACL’s approval, restrictions will be placed on the award/funding until it complies; and
Continuation funding is subject to revisions and contingent upon availability of funds; changes prior to the issuance of the award may occur.

Note: Always read your subsequent NoA for any possible changes to the agreement.

Types of Continuation Applications:

Non-Competing Continuation Application — Request for funding during the second or subsequent budget periods of an approved competitive segment. Applications do not undergo a competitive process. ACL provides further instructions as appropriate.

Competing Continuation Application — Request to renew and add one or more budget periods to a project period that would otherwise expire. Applications must compete for support in the same manner as new applications. Further instructions for competing continuations will be provided by the ACL Project Officer for the particular program.

An NoA is sent to the grantee after the action has been reviewed, processed, and approved.

Grantee Product Disclaimer—REQUIRED

All ACL discretionary grantee products MUST include the following disclaimer on the first page or preface of all documents and webpages produced, all or in part, with ACL funding.

This project was supported, in part by grant number 90XX####, from the U.S. Administration for Community Living, Department of Health and Human Services, Washington, D.C. 20201.

Grantees undertaking projects with government sponsorship are encouraged to express freely their findings and conclusions. Points of view or opinions do not, therefore, necessarily represent official ACL policy.

If you have any additional questions or require further clarification on any of the information provided in the above links, please email your ACL Grants Management Specialist.

Grantee Forms

PLEASE NOTE: As of December 31, 2017, applicants will need to begin applying for federal grants using Grants.gov Workspace which is the “new” standard way for organizations and individuals to apply for federal grants using grants.gov. Training materials on how to use Workspace are available on Grants.gov . The forms below are provided for informational purposes.