Section 7000.370 Uniform Grant Agreement


a) A State agency issuing a grant shall enter into a Grant Agreement with the awardee before any grant funds are transmitted to that recipient/subrecipient. The Grant Agreement must include the following:


1) Awardee Information


A) Name (which must match the name associated with the awardee's DUNS number);


B) Awardee's DUNS number.


2) Agency Information


A) Name of State agency;


B) Contact information for the awarding official specified in the NOFO;


C) Program under which the grant is being issued.


3) Grant Information


A) CSFA number and name;


B) Unique State award identification number (SAIN);


C) Project description;


D) Type of grant;


E) Award date;


F) Period of performance start and end date;


G) Amount of the grant, contingent upon available appropriations;


H) Total amount of State or federal pass-through funds allocated;


I) Estimated budget (funding provided by State grantmaking agency) approved by the State grantmaking agency;


J) Indirect cost rate for the State or federal pass-through award (including if the de minimis rate is charged or if there is a statutory limitation imposed by the funding agency);


K) Approved cost share or match, if applicable;


L) Identification of whether the award is for research and development; and


M) Any funds the agency may be authorized by statute to retain as its administrative expenses, citing the specific statutory authority.


4) General Terms and Conditions. State agencies must include in the Grant Agreement, as applicable, the following general terms and conditions, either by actual inclusion or by cross-reference:


A) Administrative requirements implemented by the State agency by rule;


B) State policy requirements, including State statutes or regulations that apply; and


C) Recipient integrity and performance matters.


5) Agency, Program or Grant Specific Terms and Conditions. The Grant Agreement shall include any terms and conditions necessary to communicate requirements that are specific to the grant, grant program or awardee, including citations to any relevant CFR or Illinois Administrative Code provisions, and other regulatory information.


6) Grant Performance Goals


A) The State agency shall indicate the timing and scope of expected performance by the awardee as related to the outcomes the program is intended to achieve.


B) When appropriate, the Grant Agreement shall include specific performance goals, indicators, milestones or expected outcomes, with an expected timeline for accomplishment.


7) Reporting requirements shall be clearly articulated so that they create a standard against which awardee performance can be measured. The State agency may include program-specific requirements, as required to meet agency strategic goals and objectives or performance goals that are relevant to the grant program.


8) Any other information that enables the State agency to adequately monitor the conduct of the awardee under the Grant Agreement and ensure adherence to the terms of the grant.


b) Revision of Budget and Program Plans


1) The approved budget for the State grant included in the Grant Agreement may include either the State and non-State share or only the State share, depending upon the specific State agency rules. The budget shall relate clearly to project or program performance.


2) An awardee shall not deviate from the budget, project scope, or objective stated in the Grant Agreement except with mutual agreement of the State grantmaking agency and the awardee. However, some revisions and deviations shall not be made without prior approval of the State grantmaking agency as required by subsection (b)(3).


3) Revisions Nonconstruction Grant Agreements


A) Mandated Prior Approval. For nonconstruction grants, the awardee shall request prior approval from the State agency for any of the following program or budget-related reasons:


i) Change in the scope or the objective of the project or program (even if there is no associated budget revision).


ii) Change in a key person specified by the recipient/subrecipient in the application or the Grant Agreement.


iii) Disengagement from the project for more than 3 months, or a 25% reduction in time devoted to the project, by the approved project director or principal investigator.


iv) Transfer of funds budgeted for participant support costs.


v) Unless described in the application and funded by the Grant Agreement, issuance of a subgrant transferring or contracting out of any work under a State award, including a fixed amount subgrant. This provision does not apply to the acquisition of supplies, material, equipment or general support services.


vi) Changes in the approved awardee cost-share or match.


vii) The need arises for additional State funds to complete the project.


B) Prior Approval at the State Agency's Discretion


i) If the State agency determines that additional prior approvals are needed to guarantee the integrity of a grant program, prior approval can be required in the program rules if universally applicable or in the Grant Agreement if awardee specific.


ii) If the State agency determines that granting blanket approval of additional revisions in or deviations from the budget, project scope or objective stated in a nonconstruction Grant Agreement is warranted and will cause no threat to the integrity of the grant program, the agency shall include those policies in its grant program rules if universally applicable or in the Grant Agreement if awardee specific.


iii) No discretionary prior approval shall be required without GATU approval.


C) Transfer of Funds


i) The State agency may, in its program rules or a specific Grant Agreement, allow transfer of funds among direct cost categories or programs, functions and activities if the cumulative amount of these transfers does not exceed 10% of the detail line or $1,000, whichever is greater.


ii) The agency shall not permit a transfer that would cause any State appropriation to be used for purposes other than those for which that appropriation was made.


4) Revisions Construction Grants. For State construction grants, no revisions or deviations in the budget stated in the nonconstruction Grant Agreement shall occur without the mutual agreement of the agency and the awardee.


5) When a State agency makes a State grant that provides support both for construction and nonconstruction work, the agency may require the awardee to obtain prior approval from the agency before making any fund or budget transfers between the two types of work supported.


6) When requesting approval for budget revisions, the recipient shall use the same format for budget information that was used in the application, unless the State agency's rules indicate that a letter of request suffices.


7) Within 30 calendar days after receipt of a request for budget revisions, the agency shall review the request and notify the recipient whether the budget revisions have been approved. If the revision is still under consideration at the end of 30 calendar days, the agency shall inform the recipient in writing of the date the recipient may expect the decision.