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This page has been made available in the EHBs as of November 21, 2019. 

Overview

Financial Management Reviews (FMR) and Legislative Mandate Reviews (LMR) are targeted reviews that certain grant recipients and organizations must undergo throughout the life of a grant. The purpose of these reviews are to ensure the adequacy of financial management systems of non-federal entities that do not require an audit based on their expenditure threshold, and to ensure that organizational policies and procedures adequately incorporate legislative mandates that limit the use of HRSA award funding. 

The FMR/LMR Module in the EHBs was created to integrate the FMR/LMR process, previously performed manually, within the EHBs in a structured format. The FMR/LMR Module enables HRSA to initiate and conduct reviews and enables grant recipients to respond to review requests and corrective action requests.

Types of Reviews

Per federal requirements, grant recipients with federal expenditures above $750,000 in one year require an audit. Grant recipients with federal expenditures below $750,000 undergo Financial Management Review (FMR).  Grant recipients not deemed as major programs undergo Legislative Mandate Review (LMR), even when their federal expenditures are above $750,000. 

There are four types of FMR/LMR reviews: 

  • Routine FMRs: Applicable to grant recipients whose expenditures are below $750,000 and have been required to undergo an audit within the past two fiscal years. 
  • Targeted FMRs: Applicable to grant recipients identified by HRSA through audits or program visits as having elevated risk due to possible inadequate financial management systems or financial instability.
  • LMRs: Applicable to recipients of grants that are not deemed as major programs (i.e., H80 Health Center Program), after having undergone an audit. 
  • Combined Routine FMR-LMR: Applicable to recipients of grants that are not deemed as major programs (i.e., H80 Health Center Program) whose expenditures are below $750,000 and have not had an audit within the past two fiscal years. 

Impacted Roles & Responsibilities

Organization Roles

Authorizing Official (AO) 

Responsible for responding to FMR/LMR review requests.

Business Official (BO) Responsible for responding to FMR/LMR review requests. 

Only the active and registered AOs and BOs of an organization who have the 'Administer FMR/LMR Submission' privilege can access the FMR/LMR tasks/information.

HRSA Staff Roles 

Division of Financial Integrity (DFI) ReviewerResponsible for initiating review requests, reviewing responses, and processing final review reports. 

Division of Financial Integrity (DFI) Quality Control (QC) Reviewer

Responsible for initiating review requests, reviewing responses, and processing final review reports.
Grants Management Specialist (GMS) Notified when an FMR/LMR review request is initiated and when the FMR/LMR final report is sent. 
Default Project Officer (PO)Notified when an FMR/LMR review request is initiated and when the FMR/LMR final report is sent.

Table of Contents

Step By Step Walk-Through 

Accessing an FMR/LMR

When a new FMR/LMR is initiated for your organization, you will receive an email notification. To access the task, from the EHBs Home Page, select the Tasks tab. 

Note:

  • The task is assigned to all AOs and BOs for that organization, and anyone assigned the task can begin working on it.
  • If two people are working on the same task, and person 1 submits the task, person 2 will not be able to submit their work and will see a notification indicating that the task has already been completed. (Refer to guidance and examples in Responding to an FMR/LMR Request step below). 


Screenshot of Tasks tab from the EBHs homepage

From the Pending Tasks - List Page, find the Information Request you want to work on, and select Start to go to the Information Request Page

Screenshot of Pending Tasks - List page and Start button to view request

Responding to an FMR/LMR Request

Overview of Information Request Page 

The Information Request - Response Page:

  1. Displays the organization information, FMR/LMR review tracking number, and response due date. 
  2. Provides task details showing when the response is due and the status.
  3. Provides helpful resources to facilitate the review process. For example:
    1. Action History records any action taken on the review, such as who initiated the review and when.
    2. Financial Management Requirements Guide navigates to HRSA's financial management guidance web page. 
  4. Lists all grants associated to the review.
  5. Allows you to access documents from HRSA by clicking on the PDF link. The Sample Annotated Polices and Procedures Cross-Reference Guide provides an example of a Policies and Procedures document for guidance if needed.
  6. Allows you to upload all documents related to your response submission by clicking Select Files or drag and drop files. This is a required field.
  7. Provides a text box for comments that will be sent with your response submission. This is a required field.


After completing the required information, select Submit to HRSA.


Note:

If you are not ready to submit the Information Request Response to HRSA, you can reach out to the DFI Reviewer via email to request an extension. The DFI Reviewer's contact information can be found in the Information Request email you received. 

Screenshot of the full Information Request - Response page

Click Confirm in the pop-up box to submit the response to HRSA. 

Screenshot of Submission confirmation page and confirm button

Click Ok to close the Success message pop-up box confirming your Information Request Response was submitted to HRSA for review.

Screenshot of Confirmation Success Message and Ok button to submit

Important Note on Submitting Responses

If you and another AO/BO for the organization are working on the same request, and you submit your response to HRSA after another AO/BO has already submitted their response, you will see the following message: 

  • A response to this request information has already been submitted by another user. Click on the Activity History link to see the details of the submission.

While more than one person can work on the task, only one person can submit the response.  The system will save the version of the first response submitted. 

Responding to a Corrective Action Request

Overview of Corrective Action Response page

If the DFI Reviewer requests additional information or edits, they will submit a Corrective Action Request. You can access this through the Pending Tasks Page, as shown in the Accessing an FMR/LMR steps above. Be sure to look for tasks titled Corrective Action Response.  

The Corrective Action - Response Page contains many of the same sections as the Information Request - Response Page so you can review all of the details associated with the review.

The below sections on the Corrective Action - Response Page require your attention: 

  1.  This section lists the review findings from the DFI Reviewer as well as provides their comments. If there were prior corrective actions requested, then the list of resolved items will be displayed.
  2. Allows you to upload any new attachments related to the Corrective Action Request. This is a required field.
  3. Provides a text box for your comments addressing any updates included in the new submission. This is a required field.


After completing the required information, select Submit to HRSA


Note:

If you are not ready to submit the Corrective Action Request Response to HRSA, you can reach out to the DFI Reviewer via email to request an extension. The DFI Reviewer's contact information can be found in the Corrective Action Request email you received.

Screenshot of full Corrective Action Response page

Click Confirm in the pop-up box to submit the response to HRSA. 

Screenshot of Corrective Action Submission Confirmation pop up window and confirm button

Click Ok to close the Success message pop-up box confirming your Corrective Action Response was submitted to HRSA for review.

Screenshot of Corrective Action Success submission pop up box and ok button to submit

Important Note:

If you and another AO/BO for the organization are working on the same request, and you submit your response to HRSA after another AO/BO has already submitted their response, you will see the following message: 

  • A response to this request information has already been submitted by another user. Click on the Activity History link to see the details of the submission.

While more than one person can work on the task, only one person can submit a response. The system will save the version that is first submitted to HRSA.   

Responding to a Preliminary Report

Overview of Preliminary Report Response Page

If the DFI Reviewer identifies key findings while reviewing the corrective action report, they will send a preliminary report. You can access this through the Pending Tasks Page, as shown in the Accessing an FMR/LMR steps above. Be sure to look for tasks titled Preliminary Report Response.  

The Preliminary Report - Response Page contains many of the same sections as the Information Request - Response Page so you can review all of the details associated with the review.

The below sections on the Preliminary Report - Response Page require your attention: 

  1. This section lists the key findings identified during the review process. To view additional comments and recommendations, click the drop down arrow next to each key finding to expand the field. 
  2. Allows you to download the Preliminary Report document and read the DFI Reviewer's comments. 
  3. Allows you to upload any new attachments related to the Preliminary Report Response. This is a required field.
  4. Provides a text box for your comments addressing any updates included in the new submission. This is a required field.


After completing the required information, select Submit to HRSA


Note:

If you are not ready to submit the Preliminary Report Response to HRSA, you can reach out to the DFI Reviewer via email to request an extension. The DFI Reviewer's contact information can be found in the Corrective Action Request email you received.

Screenshot of the Preliminary Report Response page

Click Confirm in the pop-up box to submit the response to HRSA. 

Screenshot of Confirmation pop - up for Preliminary Report Response

Click Ok to close the Success message pop-up box confirming your Preliminary Report Response was submitted to HRSA for review.

Screenshot of Success Message that Preliminary Report Response has been submitted

Final Report Notification

Once the DFI Reviewer has completed the review process you will receive an email notification with a link to download the Final Report. When you click Download Final Report in the email you will be redirected to log in to the EHBs where you can view the report. This is automatically sent to the registered AO and BO email addresses. The Final Report notification will not appear on your Tasks List Page.

Screenshot of the Final Report Email that Organizations receive.

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