GATA Pre-Award Requirements
Illinois Grant Accountability and Transparency Act
September 28, 2016
Grantee Pre-Award Requirements that must be
Completed Prior to Grant Award Execution
• Grantee Registration
• Grantee Pre-Qualification
• Financial and Administrative Risk Assessment (ICQ
– Internal Control Questionnaire)
• Programmatic Risk Assessment
• Effective FY17 for most grantees. Exemption for
LWIAs for PY2016 for WIOA and Trade grants.
LWIAs can start process now.
GATA Website
• http://grants.illinois.gov
– Grantee Links Tab is the entry point for the grantee preaward process (registration, pre-qualification, risk
assessments)
– Centralized Indirect Cost System can be accessed from
the dropdown menu in the Grantee Links Tab
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FAQs
Training Modules
Forms and Indirect Cost Rate Templates
Department of Labor Indirect Cost Rate Guide
Grantee Registration
• All grantees must be registered with the State
of Illinois
• Done by completing and submitting a Grantee
Registration form
• A link to the form is provided from Grantee
Links Tab
• State receipt of the form triggers grantee prequalification verifications
Grantee Registration Form
Grantee Pre-Qualification
• FY-17 Pre-Qualification includes verification of:
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Current DUNS number
Current SAM CAGE Code
Good Standing with Secretary of State
Not on Federal Excluded Parties List
Pre-Qualification Notification
• If there are no issues, State sends email to
communicate “Qualified” status.
• If there are issues, State emails qualification
issue(s) and asks entity to notify State when
remediation completed
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DUNS number is not current
SAM CAGE Code is not current
Not in Good Standing with Secretary of State
On the Federal Excluded Parties List (cannot be
remediated)
GATA Framework for Risk Assessment
• Fiscal Risk Assessment (ICQ) is automated
– Grantee receives automated email with ICQ URL link (Triggered by
Grantee Registration)
– Grantee completes and submits automated ICQ
• Programmatic Risk Assessment will be conducted by the
awarding agency in the application process. It is unique to
the award.
• Risk profiles will be determined based on the two risk
assessments. Risk profile will determine grant specific
conditions and monitoring.
Indirect Cost Rate
• An indirect cost rate is simply a device used for determining the
appropriate amount of indirect costs each program should bear.
An indirect cost rate is the ratio between the total indirect expenses
and some direct cost base.
• Options available for a Grantee to receive an Indirect cost rate:
– Current Federally Approved Indirect Cost Rate as a result of being a
direct “recipient” from a Federal awarding agency
– Negotiate a rate with the State of Illinois by first submitting an Indirect
Cost Rate Proposal (ICRP) to the State of Illinois’ Centralized Indirect
Cost Unit
– Elect to use the Federal 10%“de minimis” rate of Modified Total Direct
Cost (MTDC)
– Use a “restricted’ or “special” rate that is statutorily required within
program rules.
Centralized Indirect Cost Rate System
• Grantees will not be invited to the Centralized
Indirect Cost Rate System until the ICQ (Internal
Controls Questionnaire) is approved.
• Indirect cost rate proposals or elections of other rate
options must be received within 90 days from the
date of the award. There is an exemption for LWIAs
for WIOA and Trade grants for PY-16. However,
LWIAs should start the process prior to 3/31/17.
Who is required to use the Crowe Horwath
CARS system for indirect cost rates?
• Any organization that receives a grant
from a state of Illinois grant making
agency.
• If a grantee organization has a federally
negotiated rate, they are required to
provide information through the indirect
cost rate system. The system will
provide instructions to complete this
process.
• If a grantee organization chooses to
elect the 10% de minimis rate, they are
required to make this election in the
indirect cost rate system. The system
will provide instructions to complete this
process.
Who is required to use the Crowe Horwath CARS
system for indirect cost rates? - Continued
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If a grantee organization elects to negotiate an
indirect cost rate, they are required to submit an
indirect cost rate proposal. Templates, examples
and training are available on the GATA website
Grantee Links tab. The system will provide
instructions to complete this process.
If a grantee organization elects not to charge a
rate, they are required to formally make this
election through the centralized indirect cost rate
system. The system will provide instructions to
complete this process.
Local Education Agencies (LEA) will be allowed to
use their rates negotiated with the Illinois State
Board of Education and will also be accepted by
state grant making agencies. LEAs will not be
required to negotiate a rate with the State of Illinois
centralized indirect cost rate contractor and state
grant making agencies will accept the rate.
Centralized Indirect Cost Rate System
Guidelines
• Illinois received permission from the Federal
Government to centralize the negotiation of indirect
cost rates.
• This allows grantees to negotiate one rate if they
receive grants from multiple State of Illinois
agencies
• All State of Illinois agencies must accept the
centralized negotiated rate unless there are federal
program limitations, cap requirements or supplanting
issues.
Centralized Indirect Cost Rate System
Guidelines - Continued
• A grantee may volunteer to accept a lower indirect
cost rate, but state agencies are not allowed to force
or coerce a grantee to take a lower rate
• All grantees are required to make the indirect cost
rate elections in the centralized system
• The organization has 90 days from the issuance of
their first award to elect an option in the Centralized
Indirect Cost Rate System.
GATA Website – Centralized Indirect Cost
Rate System
• From the dropdown menu on the Grantee Links Tab,
select Centralized Indirect Cost System
• FAQs, Training Modules, Forms, and Templates are
available on the website. There is a training module
on Indirect Cost Rate Proposals.
Resources
• https://www.grants.Illinois.gov
• http://www.illinoisworknet.com/GATA
• https://www.doleta.gov/grants/UniformGuidance.cfm
• http://etasmarttraining.com/pdf/Single_Track_Region1.pdf
NEXT STEPS
• Complete the GATA Grantee Registration and PreQualification by October 17, 2016
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Grantee Registration
Grantee Pre-Qualification
Financial and Administrative Risk Assessment
Review Indirect Cost Rate Options
• Complete the information requested by the Centralized
Indirect Cost Rate System by March 31, 2017
• Complete WIOA Program Year 2017 formula grant
application using the revised indirect cost information (as
applicable).