Capital Area Council of Governments Grant Management Training Workshop

1. Capital Area Council of GovernmentsGrant Management Training Workshop Conducted byMichelle Casanova,Assistant Director, Community and Economic Development Erica LinnemanCriminal Justice Planner

2. CAPCOG/CJD Overview • CAPCOG Contacts • CJD Contacts • New CJD Training Requirements Recurring Findings

3. CAPCOG Contacts • Michelle Casanova,Assistant Director, Community and Economic Developmentmcasanova@capcog.org(512) 916-6163 • Erica Linneman,Criminal Justice Plannerelinneman@capcog.org(512) 916-6047 • Include Grant Number and Project Name in all Correspondence • Mailing Address:6800 Burleson RoadBuilding 310, Suite 165Austin, TX 78744 • CAPCOG Website: www.capcog.org

4. CJD Contacts Governor’s Office, CJD • Email is preferred(first name.last name@governor.state.tx.us) • CJD Main Number:(512) 463-1919 • CJD Fax Number:(512) 475-2440 • Include Grant Number in all Correspondence • eGrants Home Pagehttps://cjdonline.governor.state.tx.us • Email Address for eGrants Help Deskegrants@governor.state.tx.us

5. Effective September 1, 2009, the Governor’s Office, CJD requires that all GVA-DS, LEPTC, State Fund 421, JJDP, SDFSC, and American Recovery and Reinvestment Act (ARRA) grantees attend a COG-facilitated grant management training workshop. New CJD Training Requirements

6. General Administration Recurring CJD Grant Management Findings • Single Audit issues • FSR/PPRI reports submitted late • Program Income not reported (from seizures, forfeitures, other)

7. Personnel Recurring CJD Grant Management Findings • Time sheets lack employee’s or supervisor’s (or both) signatures. • Actual activity not documented. • Volunteers’ time not documented same as grant-funded employees. • Overtime paid, without prior CJD approval, or not following approved Overtime Policy.

8. Contractual & Professional Services Recurring CJD Grant Management Findings • Procurement Questionnaire for contract exceeding $100,000 not completed and submitted to CJD. • No written contract(s) for Contractual expenses. • Grantee did not monitor (or have evidence of monitoring) the contract. No contract monitoring tool was used to document the grantee’s oversight of the contract. • Documentation of procurement not maintained.

9. Travel & Training Recurring CJD Grant Management Findings • Requisition or voucher documents not completed. • Support documents (receipts, invoices, etc.) not available. • Purchase of unallowable items (gifts, alcoholic beverages).

10. Equipment Recurring CJD Grant Management Findings • Procurement Questionnaire for purchases exceeding $100,000 not completed and submitted to CJD. • Incomplete/non-existent inventory list. • Grant–purchased items not identified on the inventory list. • Equipment items not properly tagged. • No procurement policy; competitive procurement documents not maintained.

11. Construction Recurring CJD Grant Management Findings • At this time, construction costs are not an allowable line item for grants through CJD.

12. Supplies Recurring CJD Grant Management Findings • Non-essential operating expenses (snacks/ coffee/creamer/paper towels/etc.) were purchased with grant funds. • Prohibited items (i.e. advertisements, gifts, fundraising expenses, admissions to sporting events /amusement parks/recreation) were purchased with grant funds.

13. Financial Accounting Systems Recurring CJD Grant Management Findings • Commingling of funds: Grant funds have been commingled with other funds. (Requirement: Each grant award must be accounted for separately.) • Irreconcilable accounts: CJD Financial Status Report does not reconcile to general ledger expenditures. (Requirement: Grant expenditures need to reconcile to GL expenditures.) • Inability to trace expenditures:The source and application of funds can not be traced to the general ledgers. (Requirement: Expenditures need to be traceable to the GL.)

14. Applying for Grants through the Governor’s Office, CJD • Violence Against Women Act – Recovery Solicitation • General Victim Assistance – Direct Services Solicitation • Violent Crimes Against Women Criminal Justice and Training Projects – Domestic Violence, Sexual Assault, Dating Violence and Stalking Solicitation • Juvenile Services Solicitation • Criminal Justice Programs Solicitation Applications for funding through the following fund sources are reviewed by the CAPCOG Criminal Justice Advisory Committee (CJAC)

15. Authorized Official (AO) • Appointed/authorized by the governing body of the organization. • Authorized to apply for, accept, reject, alter, or terminate the grant. • Generally the county judge, mayor, city manager, chair of non-profit, etc. • Has ability to complete and submit Financial Status Reports (FSR).

16. Financial Officer (FO) • Required to be the chief financial officer for the grantee agency. • Responsible for maintaining financial records to account for all grant funds. • Responsible for requesting funds and the completion of required financial reporting at least quarterly in eGrants.

17. Project Director (PD) • Responsible for day-to-day operations of project. • May have a different Project Director per agency grant. • Must be an employee of the grantee agency. • Responsible for required programmatic reporting.

18. Grant Award and Acceptance • The AO, FO, and PD will receive an email from eGrants announcing the award • The AO must log into eGrants and go to the “Accept Award” tab to preview the Statement of Grant Award

19. Grant Award and Acceptance • Preview and Print out Award Letter • Read Award Letter Carefully • Conditions of Funding and Other Fund-Specific Requirements • Due dates and contractual obligations • Follow your internal processes, then have AO accept award. REMEMBER: Your Grant Application is the basis of your contract with CJD, so print out the CJD-approved grant application and use it as your program implementation guide.

20. Grant Award and Acceptance Failure to accept your award within 45 days could result in forfeiture of grant funding.

21. Things to do Immediately • Review the CJD Grantee Personnel Activity Report Timesheet Requirements • Increase your Fidelity Bond coverage • Review and finalize processes for collecting and tracking data for programmatic reporting • Look for an email from Texas A&M (Public Policy Research Institute, PPRI) with your programmatic reporting information (make sure you receive the correct reports for your grants’ fund source) • This information will only be emailed to the AO, FO, PD

22. Award Cancellation

23. Federal Rules and Regulations • Office of Justice Programs (OJP) Financial Guide http://www.ojp.usdoj.gov/financialguide/ • Education Department General Administrative Regulations (EDGAR) http://www.ed.gov/policy/fund/reg/edgarReg/edgar.html • Office of Management Budget (OMB) Circulars http://www.whitehouse.gov/omb/circulars_default/ • A-21: Cost Principles for Educational Institutions • A-87: Cost Principles for State, Local and Indian Tribal Governments • A-102: Grants and Cooperative Agreements With State and Local Governments • A-122: Cost Principles for Non-Profit Organizations • A-133: Audits of States, Local Governments, and Non-Profit Organizations • Fund Specific Guidelines (See Texas Administrative Code)

24. State Rules and Regulations • Uniform Grants Management Standards (UGMS) http://governor.state.tx.us/grants/what/ • Texas Administrative Code (TAC) https://cjdonline.governor.state.tx.us/updates.aspx • CJD’s Guide to Grants https://cjdonline.governor.state.tx.us/updates.aspx

25. State and Federal Fund Sources NOTE: CJD awards grants with both State and Federal funds. Use this Matrix to figure out if your grant is awarded with State or Federal funds. Sources highlighted in Yellow are prioritized by the COGs.

26. eGrants Financial Management NOTE: Your grant must be accepted and activated BEFORE you request an adjustment or FSR • All Financial Status Reports (FSR)must be submitted through eGrants. • For a step by step guide to creating and submitting FSRs see the eGrantsFinancial Management Guide.

27. Payments All funds from CJD are paid to the Grantee through direct deposit on a reimbursement basis.

28. Links to Vendor Set-up Form • Texas Application for Payee Identification Number http://www.window.state.tx.us/taxinfo/taxforms/ap-152.pdf • Vendor Direct Deposit Authorization Form http://www.window.state.us/taxinfo/taxforms/74-176.pdf • Internal Revenue Service Form W-9 http://www.irs.gov/pub/irs-pdf/fw9.pdf?portlet=3

29. Approved Budget Categories

30. Personnel • Time/Activity Reports • Case Numbers for Grant-Funded Law Enforcement and Prosecution Personnel • Volunteer Activities • Signed Timesheet • Salaries Consistent with Local Policy • Overtime

31. Contracts in Writing • Consistent with Texas Contract Law • Contract Monitoring Documentation • Compliance with Agency Procurement Guidelines • Invoices for Contract Deliverables • CJD-Prescribed Procurement Questionnaire

32. Employee Travel and Training Only • Comply with Agency Travel Policies or State Travel Policies • Maintain Travel Log and Travel Receipts • Pre-Approval of Out-of-State Travel NOTE: Expenses for Outside Trainers go under the Contractual Budget Category .

33. All purchases MUST be pre-approved by CJD • Must maintain Inventory • Procurement Questionnaire for purchases in Excess of $100,000 • Must have invoices to support purchases • Must be used for the purpose for which it is purchased • All changes to Equipment Line Items (including the number of items) MUST be approved by CJD

35. Related to the daily operation of the CJD grant • All costs MUST be Pro-Rated per a Cost Allocation Plan • Rent or Lease MUST include cost/sq. ft. and the number of square feet • Documentation (ex. receipts, invoices) MUST be maintained • Includes small equipment with a useful life of less than one year and a purchase price of $999 or less per unit

36. When allowed, the standard rate is 2% of CJD - funded direct costs (NOTE: to compute this, divide the amount you are applying for by 1.02 to calculate 2% of Direct Costs) • Cognizant agency approval letter required for requests in excess of 2%

37. Do not include a match on a grant if one is not required • When required, a match can be cash or in-kind • Held to Percentage in Approved Budget • Federal Funds CANNOT be used to meet match requirements

38. Grant Adjustments NOTE: All adjustments are requested and submitted through eGrants. Extensions, increases, or decreases must be Certified by the Authorized Official and submitted through eGrants 10% of Cumulative Expenditures can be moved without CJD’s Prior Approval (except within Equipment and Indirect Costs)

43. Liquidation Date

44. Closing Out a Grant

45. Grant Reporting • There are two types of reporting required for CJD grants : • Programmatic • Financial

46. Programmatic Reporting • Required by CJD • instructions for accessing the PPRI website http://cjd.tamu.edu/ • user name/log-in and password • number and types of reports required for the applicable fund source • Collected by Texas A&M Public Policy Research Institute (PPRI) • Reporting packets include:

47. Financial Status Reports (FSR) MandatoryQuarterly Due Dates January 1 - March31APRIL 22 April 1 – June 30JULY 22 July 1 – September 30OCTOBER 22 October 1 – December 31JANUARY 22 • Quarterly or Monthly Submissions • Must Report Cumulative Expenses • Reimbursement Basis

48. Vendor (Financial) Hold NOTE: Placement on Vendor Hold will also result in a points deduction on the grantee’s next CJAC-reviewed application.

49. CJD Technical Assistance and Monitoring • CJD Technical Assistance: • Provided to the grantees while on site (or over the phone, if it is a desk review). • Includes explaining governing directives and discussing possible recommended actions for compliance. • CJD Monitoring: • Desk reviews • Site reviews • Grantee contact visits (informal)

50. Annual CJD Monitoring Tasks • Perform a risk assessment of grantees. • Develop a monitoring schedule for the year. • Carry-out monitoring schedule (Plan our work & work our plan.) • Monitoring schedules are subject to change. • In most instances, CJD provides 2 weeks advance notice of the reviews to grantees and COG planners.