Managing Your Award Effectively

1. Managing Your Award Effectively The Path to Programmatic Success OJJDP Grant Program Requirements and Establishing a Working Relationship with OJJDP

2. Section I Managing Your Award • Award Package • Special Conditions • Progress and Financial Reporting • Budget & Expenditure Tracking • Using Grants Management System (GMS)

3. The Award Package • Letter from the Assistant Attorney General • Letter from the Director of the Office of Justice Programs, Office for Civil Rights • Letter from the Office of Justice Programs Chief Financial Officer if budget was approved • Award Document • Award Number (Reference on all OJJDP correspondence) • Start and End Dates • Amount of Award • Project Title • Special Conditions • Memo from the OJJDP National Environmental Policy Act (NEPA) Coordinator

4. Special Conditions • Standard: • Office of Justice Programs Financial Guide http://www.ojp.usdoj.gov/financialguide/ • Civil Rights • Audit Requirements • Use of Federal Funds • Reporting Requirements (CAPR, SF269, DCTAT) • Limit on Grantees’ Salaries • Budget Clearance • Some special conditions impact grantee’s access to funds • Must be in compliance with all for a grant to be closed

5. Human Subjects’ Protections and Privacy Certificate Requirements • Many 2009 grants have/had special conditions withholding funds pending resolution of these issues. • Why? Language in your grant application indicated that the project intended to use OJJDP funds to conduct research and, in some cases included research which impacts human subjects’ protections. • We continue to work with grantees to resolve these conditions, while ensuring statutory protections.

6. Human Subjects’ Protections • OJJDP and recipients of its funds are required to comply with DOJ regulations at 28 CFR Part 46 (Protection of Human Subjects). These regulations, often referred to as the "Common Rule," generally require that projects using federal monies for research involving human subjects are reviewed and approved by an Institutional Review Board (IRB) prior to the expenditure of federal funds for that research. • The IRB review ensures that human subjects are adequately protected from unreasonable risks and properly informed of the potential harms and benefits from their participation in research.

7. Confidentiality and Privacy Protections Federal law (42 U.S.C. § 3789g) and DOJ regulations (28 CFR Part 22) provide for the protection of the privacy and well being of individuals who are participants in OJJDP-funded research. Specifically, they: • Protect the privacy of individuals by limiting the use of private, identifiable information for research or statistical purposes. • Protect private information provided by individuals from use in any judicial, legal, or administrative process without the individual's prior consent.

8. Improve the scientific quality of OJJDP research programs by minimizing the subject's concerns over the use of the data. • Clarify for researchers the limitations on the use of privately identifiable information for only research or statistical purposes. • Ensure that our understanding and knowledge of the broad juvenile and criminal justice system will continue to advance by providing individual privacy protections. • Provide specific requirements on data access and security, limitations on the transfer of the data, and specifications for final disposition of the information.

9. What is “research?” “a systematic investigation, including research development, testing, and evaluation, designed to develop or contribute to generalizable knowledge.” 28 C.F.R. § 46.102(d). Includes original research (new surveys, evaluation, data collection), as well as use of existing (secondary) data sources.

10. What is not “research?” • Using aggregate, non identifiable program data to report OJJDP performance measures data (required of all grantees) • Using program data to conduct internal assessment/evaluation for the purpose of improving your program services

11. Questions about Human Subjects, privacy or confidentiality? • Ask your OJJDP Program Manager, or contact: Janet Chiancone, Research Coordinator (202) 353-9258 or janet.chiancone@usdoj.gov

12. Semi-Annual Progress Reports Reporting PeriodDelinquent After July 1 – December 31 January 30 January 1 – June 30 July 30 • Reports should include progress made toward each goal and objective as submitted in application. • Reports must also include separate attachment containing data on mandatory performance measures submitted into an online reporting tool called the Data Collection and Technical Assistance Tool (DCTAT). • Note: Final Report is cumulative covering accomplishments over entire project period.

13. Progress Report Requirements The reporting requirements are designed to provide the grantor agency with sufficient information to monitor grant implementation and goal achievement. Specifically, the report should cover: 1) Status of each goal carried over from previous reporting period. • Status of each goal during the reporting period. • Corrective action planned to resolve implementation.

14. Progress Report Requirements (continued) 4) If appropriate, identify changes that are needed in the implementation plan. 5) Technical assistance the grantor agency might provide. 6) Indicate the results of the project achieved both during the reporting period and cumulative to date, based on the required performance measures.

15. Performance Measures Reporting • Collect mandatory indicators based on your program type • Submit data on-line to the Data Collection and Technical Assistance Tool (DCTAT): www.ojjdp-dctat.org/ • Create a Performance Data Report in DCTAT • Upload Performance Data Report to GMS as a component of your Progress Report for that reporting period.

16. Quarterly Financial Reports Federal Financial Report – SF425 Reporting PeriodDelinquent After January 1 ‐ March 31 April 30 April 1 ‐ June 30 July 30 July 1 ‐ September 30 October 30 October 1 ‐ December 31 January 30 Submit online through GMS: https://grants.ojp.usdoj.gov/ Financial Form User’s Guide: http://www.ojp.gov/training/pdfs/gms_userguide.pdf

17. Federal Financial Report

18. Reporting Overview: Program, Performance Measures & Finance • Progress Reports • Due twice a year • Submitted on-line through GMS • Performance Measures • Submitted on-line through Data Collection and Technical Assistance Tool (DCTAT) website • DCTAT Performance Report should be uploaded into GMS Progress Report • SF 425/Federal Financial Form (FFR) • Due four times a year • Submitted on-line through GMS

19. Assistance with Report Submission • Online Progress Report submission in the Grant Management System: contact the GMS Helpdesk (888) 549-9901, option 3 • Online Data Collection and Technical Assistance Tool (DCTAT): contact DCTAT Helpdesk (866) 487-0512 • Online Federal Financial Form submission: contact the Office of the Chief Financial Officer Helpdesk (800) 458-0786

20. Budget and Expenditure Tracking • Know your budget and draw down history • Request a reconciliation on a monthly or quarterly basis from your business/finance office • Review the Office of Justice Program Financial Guide and bookmark it on your internet browser • http://www.ojp.usdoj.gov/financialguide/ • Check any proposed budget changes with your OJJDP Program Manager first • Budget modifications of more than 10% of award amount between budget categories must be formally approved by your Program Manager through the grant adjustment process in GMS

21. For your organization, do you know the answers? • How do program and finance reconcile accounts each month/quarter to make sure actual spending and financial reports match up? • How will program/finance decide if a budget modification or No-Cost Extension is necessary? • How will program staff ensure that expenses are allowable?

22. Relationship between Program and Finance • Why is it important? • Reconciliation between budgeting, spending and reporting • Knowing when program changes necessitate budget modifications • Monitoring the rate of drawdowns • Knowing in advance if a No-Cost Extension is necessary

23. Common Audit Exceptions • Poor record keeping • Unallowable costs/activities • Missing time & attendance reports • Failure to follow procurement standards • Lack of internal controls • Failure to obtain prior approval when required • Incorrect indirect cost rate • Poor cash management – excessive draws, infrequent draws

24. OJP Food & Beverage Policy • Food and/or beverage expenses provided by recipients are allowable subject to conditions stated below: Food and/or beverages are provided to participants at training sessions, meetings, or conferences that are allowable activities under the particular OJP program guidelines. Expenses incurred for food and/or beverages and provided at training sessions, meetings, or conferences must satisfy the following three tests: Test 1-The cost of the food and/or beverages provided is considered to be reasonable. Test 2-The food and/or beverages provided are subject of a work-related event. Test 3-The food and/or beverages provided are not related directly to amusement and/or social events. (Any event where alcohol is being served is considered a social event; and, therefore, costs associated with that event are not allowable).

25. Grants Management System Submitting Your Progress Report Requesting a Grant Adjustment Grant Closeout GMS On-line Trainings

26. Submitting Progress Reports in GMS • Address the Progress Report Requirements • Attach copy of DCTAT report • Must be approved by OJJDP Program Manager • May be “change requested” if additional information is needed • Failure to submit will put an immediate, automatic “hold” on funding

27. Changes to Grant Award • Grant Adjustment Notices (GANS) • Initiated by grantee in GMS to request change: - Project Period - Signing Authority - Key Personnel - Budget Modification - Organization Address/Name • Must be approved by OJJDP Program Manager

28. Grant Closeout Grantees: • Must submit the final progress report, final financial report and the closeout in GMS before the 90th day after their grant end date. • May request a no-cost extension via a “Change Project Period” Grant Adjustment Notice in GMS if they have funds remaining and wish to continue program activities 45 days or more in advance of the grant end date.

29. GMS On-line Training Tool • GMS Overview • Overview of the overall functionality of GMS. • Grant Adjustment Notices (GANs) • Leads you through the steps in the process of creating, saving, and submitting each of the different types of Grant Adjustment Notices. • Progress Reporting • Shows you how to create and submit progress reports and respond to change requests. • Closeouts • Instructs you how to create a closeout package and submit it before the 90th day after the grant end date. • You can access the training by going to http://www.ojp.usdoj.gov/gmscbt/

30. GMS Cyber Café Hours April 6th and 7th 10:00 AM – 12:00 PM 1:00 PM – 3:00 PM

31. Section II Managing Your Program • Staffing • Marketing • Communications • Sustainability

32. Staffing • Be sure to submit Grant Adjustments to update your Point of Contact or Authorized Representative • Recruiting • Hiring • Submit résumés of key personnel to OJJDP for approval • Transitioning • Any changes in key staff also require approval by OJJDP • Official award file should be kept

33. Marketing • Stakeholder identification (partnering) • Advisory Group briefings • Celebrate successes with participants • Share success with community • Outreach/Sharing with nearby grantees, State representation • Invitations to participate in programming/events • Seek ways to collaborate • Distribute marketing materials, etc. • Leverage resources

34. Communications • Communicate successes to internal stakeholders • Share reports/marketing materials • Create internal listserv/website, etc. • Outreach to external stakeholders • Seek opportunities to collaborate, share resources and expand participation

35. Sustainability • Begin planning on DAY 1 • Build partnerships and collaborate with key leaders and stakeholders • Use your data collection efforts to your advantage • Stay on top of other external private and public funding sources • i.e. State Juvenile Justice Specialist http://ojjdp.ncjrs.org/statecontacts/resourcelist.asp • Sign up for JuvJust listserv (on OJJDP website)

36. Section III Support for Your Program • OJJDP Grant Monitoring • Training and Technical Assistance

37. Grant Monitoring • Grant monitoring and oversight is an integrated process of programmatic, financial and administrative management that occurs throughout the grant lifecycle from award through the close-out of grant activity.

38. Your Program Manager is your “point” person for any problems or issues with your award. Email your Program Manager when you need guidance about a change in project scope, are having trouble reaching your goals and objectives, want to discuss a budget change or think that you may need a no-cost extension, etc. The sooner you communicate a need for assistance the sooner your issue can be resolved. The Program Manager may not be able to answer your question immediately but he/she will be able to direct you to someone who can and/or will be able to research your question and get back to you. Working with your Program Manager

39. Components of Grant Monitoring • Telephone Communication • Email Correspondence • Desk Monitoring (Desk Review) • Review of Compliance with Reporting Requirements( Semi-annual Progress Reports and Quarterly Financial Reports) • Grant Adjustment Requests • On-site Monitoring (Site Visits) • Connect grantee with Technical Assistance (Programmatic, training and recommendations regarding solutions to challenging issues)

40. Site Visits: When to expect one and what is expected • Your Program Manager might conduct a site visit of your grant during the grant project period. • Sometimes your project will be visited due to a particular issue but other times it will be the result of a random sampling.

41. What happens on a Site Visit? The extensiveness of a site visit will vary but generally they include: • A discussion of programmatic issues including recent progress reports and if the projects implementation is on schedule. • If any technical assistance is needed and how OJJDP can help if necessary. • Administrative and financial issues including but not limited to reporting requirements and if expenditures are in line with approved budget. • A visit to the program activities funded by OJJDP. • Other related issues or concerns of both Program Manager or grantee.

42. Review and Approval Process Disclaimer Use of OJJDP Logo Producing and Publishing Documents

43. Customer Service • Program Managers at OJJDP strive to be responsive to requests from the grantees that they manage. • Often it is better to document your request in a email to your Program Manager. • Please be sure to note your award number in all emails and voicemails.

44. Training and Technical Assistance • Technical Assistance (TA) refers to the communication of knowledge, skills, and know-how by means of expert advisory personnel, the conduct of training activities and conferences, and the preparation and dissemination of technical publications.

45. Training & Technical Assistance • National Training and Technical Assistance Center (NTTAC) (www.nttac.org) • Strategic planning • Community/youth needs assessment development • Program development and implementation • Conflict resolution/mediation • Evaluation • Team Building • CSR, Inc. (www.ojjdp-dctat.org) • Data Collection Technical Assistance Tool • Performance Measures

46. Questions?