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Phase 1

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Step 6 - Continuous Improvement

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Phase 2



Phase 2

Storms of Chaos


Step 1 - Waves

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Step 2 - Lightning

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Building Relationships

Step 4 - The Storm

Winning Competition


Step 5 - The Ship

Leading Your Ship


Phase 3



Phase 3

Drivers of Change


Step 1 - External Environment

Step 2 - Building People

Human Resources

Step 3 - Organizational Structure

Step 4 - Internal Environment

Step 5 - Systems Thinking


Employee Retention

Future Organization

Phase 4



Phase 4

Systems Loops


Open System


Phase 5



Phase 3

3 Phases of Change


Step 1 - Before the Change

Step 2 - During the Change

Step 3 - After the Change






Allowable Cost 

A cost incurred by a recipient that is: (1) reasonable for the performance of the award; (2) allocable; (3) in conformance with any limitations or exclusions set forth in the Federal or State cost principles applicable to the organization incurring the cost or in the Notice of Grant Award as to types or amount of cost items; (4) consistent with internal regulations, policies and procedures that apply uniformly to both Federally- or State-financed and other activities of the organization; (5) accorded consistent treatment; (6) determined in accordance with generally accepted accounting principles, and (7) not included as a cost in any other Federally- or State-financed grant (unless specifically authorized)

Block Grant 

A type of mandatory grant where the recipients (normally States) have substantial authority over the type of activities to support, with minimal Federal - administrative restrictions. The basic premise is that State or local government should be free to target resources and design administrative mechanisms to provide services to meet the needs of their citizens.


Every Federal grant program has a number with the following format: XX.XXX. (Example: 16.579). The first two digits of the number usually identify the grant in question with a particular Federal department (e.g., "16" refers to the Department of Justice). The Single Audit process requires the CFDA No. for every Federal grant Metro receives.


"Catalogue of Federal Domestic Assistance", which is a government-wide compendium of all Federal programs, grants and other activities that provide assistance to the American public.

Cognizant Agency 

The Federal agency which, on behalf of all Federal agencies, is responsible for: reviewing, negotiating, and approving cost allocation plans, indirect cost rate and similar rates; monitoring non-Federal audit reports; conducting Federal audits as necessary; and resolving cross-cutting audit findings, for a given grant recipient.

Competitive Grants 

A grant that permits the GRANTOR to exercise judgment ("discretion") in selecting the applicant/recipient organization, through a competitive grant process. Competitive grants are sometimes referred to as "discretionary grants" or "project grants."

Continuation Plans 

Plans for continuing a grant-funded program or service after the term of the grant is ended.

Contract No. Contract number assigned by the GRANTOR to identify the grant.

Direct Cost 

Those costs that can be specifically identified with a particular project, program, or activity.

Direct/Pass Through 

Often a GRANTOR provides money for programs that it expects the recipient to SUB-GRANT to other recipients. Most often this is when a Federal entity (e.g., Department of Health and Human Services), provides money to a State entity (e.g., State Department of Health) and the State entity in turn grants it to Metro. So the Metro Health Department might receive money DIRECT from the Federal Department of Health and Human Services, or it might receive Federal PASS-THROUGH dollars that have been channeled through the State Health Department.

Financial Status Report (FSR) 

A standard, Federal Government form, SF-269 (long form) or SF-269A (short form), used to monitor the financial progress of the grant and show the status of funds in non-construction programs. Both forms provide data by grant budget period and contain information on total outlays (Federal and recipient shares) and unobligated recipient balances. The long form is used for grants that involve cost sharing/matching or program income. The short form may be authorized for use in grants that do not have these types of financial activity.

Formula Grants 

Grant monies distributed to particular types of entities (e.g., all police departments, school systems, or health departments) based on some kind of formula (e.g., crime rate, percentage of children enrolled in reduced-cost lunch program, STD rate). The recipients do not have to compete for these grants, although they generally have to submit some kind of a plan for their use.

Grant Closeout 

The process by which the awarding office determines whether all applicable administrative actions and all work required by the grant have been completed by the recipient and the awarding agency for a project or other specified period.

Indirect Cost 

Most often thought of as "administrative costs". Costs (such as salaries of Department director and his/her staff, computers, office space and utilities, etc.) which are not associated with just one program but which have to be distributed across all of a department's programs. Some grants will reimburse recipients for INDIRECT COSTS and some will not. When GRANTORS do reimburse for indirect costs, they generally require documentation showing how the amount of the indirect cost was determined.

Indirect Cost Proposal 

The documentation prepared by a recipient to substantiate its claim for the reimbursement of INDIRECT COSTS. This proposal provides the basis for review, audit, and negotiation leading to the establishment of the organization's INDIRECT COST RATE(s).

Indirect Cost Rate 

The ratio, expressed as a percentage, of an organization's total indirect costs to its direct cost base (commonly direct salaries and wages or total direct costs exclusive of any extraordinary or distorting expenditures). When a rate is established for a specific activity or program, the rate represents the ratio of the total indirect costs allocated to the activity or program to the direct base costs of the activity or program.

Indirect Cost Rate Agreement 

The document that formalizes the establishment of INDIRECT COST RATES and provides information on the proper application of the rates.  In-Kind MATCH that is provided by a recipient that is not cash. Includes such resources as real property, equipment, supplies and other expendable property, and goods and services directly benefiting and specifically identifiable to the project or program; staff time, volunteer time, etc. Must be carefully documented.

Legislative Liaison 

Staff in the Mayor's Office responsible for reviewing all legislation proposed by the Administration, including any grant-related legislation.  Legislative Tracking Form Form completed by the department & submitted for either grant applications or award contracts that have to be approved by METRO COUNCIL.


When the grantor requires that the grant recipients put their own resources into the grant program, or "match" what the grantor provides. Match may be either cash or "IN-KIND". It is generally from 10% to 50% of the total cost of the program.


Metropolitan Development and Housing Authority


A process whereby the programmatic and business management performance aspects of a grant are reviewed by collecting and assessing information from reports, audits, site visits, and other sources.


The annual Notice of Funds Availably from the federal government where specific details of the awards are given.

Notice of Grant Award (Federal). 

The official award document, signed by the Grants Management Officer, or his or her delegate, that: (1) notifies the recipient of the award of a grant; (2) contains or references all the terms and conditions of the grant and Federal funding limits and obligations. 

OMB Circular A-87 

The Federal OMB Circular establishing the cost principles for allowability of costs incurred by State, local and Federally-recognized Indian tribal governments under Federally-sponsored agreements.

OMB Circular A-133 

The Federal OMB Circular establishing audit requirements for States, Local Governments, Indian Tribes and non-profit organizations.

Operating or Capital Grants

A Capital grant generally pays for something that is constructed and can be depreciated, such as buildings, vehicles, or heavy equipment. An Operating grant pays for operating costs of a program. Most grants are either one or the other.


Matters related to grants management that take place once the grant award letter has been received.


Period prior to actual preparation and submission of grant application; period when department is first considering the possibility of applying for a grant.

Program Officer 

The PROGRAM OFFICER works for the GRANTOR, and is the contact person at the GRANTOR agency who is supposed to answer any questions you may have about the grant (e.g., CFDA NO., CONTRACT number, whether INDIRECT COSTS are allowable, etc.) Usually the PROGRAM OFFICER's name and all contact information are included in both RFPs and grant CONTRACTS. May also be called the Grants Management Officer (GMO).

RFP "Request for Proposals". 

The document by which a GRANTOR advises the world at large that funds are available for a grant program. The RFP usually includes all the grant's requirements, including fiscal. It should indicate whether MATCH is required, whether INDIRECT COSTS are allowable, the maximum funds available for each project, etc.

Single Audit 

An organization-wide audit in which all the grants to a given recipient from multiple Federal departments are combined into one financial statement which is then audited, with the financial statements and audit report then submitted to all applicable grantor agencies. In Metro, this is performed as an integral part of the annual independent audit.


Refers to the origin of the grant money - NOT necessarily the entity from which the department directly receives the money. If the department is getting the money from a State agency, but the State agency is just passing along money that came from the Federal government, then it is a Federal PASS THROUGH grant (see "DIRECT/PASS THROUGH"). As a rule, the "Attachment A - Grant Budget" attached to the back of any State grant will show whether the funds are actually State or Federal. "OTHER" refers to Corporation, Foundation, or any other source of funds besides the Federal or State governments.


When one entity receives the grant funds, but then arranges a sub-contract with one or more other entities to provide part or all the program, those other entities are sub-recipients. The identities of specific sub-recipients may or may not be provided on the front end. Frequently the GRANTOR must approve sub-recipients.


To replace funding of a recipient's existing program with funds from a Federal grant, usually a mandatory grant. Mandatory grant statutes and regulations frequently prohibit this practice.


Each grant needs a TITLE unique to itself. Usually the grantor provides a specific title for a grant, generally in the RFP or application materials. If not, then the department needs to provide a title that gives a unique description of the grant.


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