Residential Substance Abuse Treatment (RSAT) Program 2013 Compliance Training

1. Residential Substance Abuse Treatment (RSAT) Program2013 Compliance Training Missouri Department of Public Safety July 8, 2013

2. MO DEPARTMENT OF PUBLIC SAFETYCRIMINAL JUSTICE/LAW ENFORCEMENT UNITCONTACT INFORMATION Eric Shepherd, Program Manager (573) 751-5997 eric.shepherd@dps.mo.gov Heather Haslag, Program Specialist (573) 751-1318 heather.haslag@dps.mo.gov Sarah Verhoff, Program Representative (573) 526-1928 sarah.verhoff@dps.mo.gov Main Phone:(573) 751-4905 Fax Number 1:(573) 522-1908 Fax Number 2: (573) 751-5399 MO Department of Public Safety Attn: CJ/LE PO Box 749 301 W. High Street, Room 870 Jefferson City, MO 65102

3. 2013 GRANT POINT-OF-CONTACTS“INTERNAL CONTACT” Unless noted otherwise, all grant reports and correspondence will be reviewed and processed by your designated Internal Contact. All questions and concerns should be directed to your Internal Contact as well! Monitoring will be conducted by the Internal Contact. • MO Dept. of Corrections, DORS – Heather Haslag • St. Louis County, Justice Services – Heather Haslag

4. OUTLINE FOR TODAY • General Grant Information • Budget Costs • Administrative & Financial Guidelines • Civil Rights Compliance • Reporting Requirements • Monitoring • WebGrants • Questions?

5. GENERAL GRANT INFORMATION

6. BACKGROUND Residential Substance Abuse Treatment Grant (RSAT) • Created by the Violent Crime Control and Law Enforcement Act of 1994 (Public Law 103-322) • Authorized by 42 U.S.C. 3796-1(3) • Awarded to Missouri by the U.S. Department of Justice (DOJ), Office of Justice Programs (OJP), Bureau of Justice Assistance (BJA) • CFDA # 16.593 • Goal of the program is to break the cycle of drugs and violence by reducing the demand for, use, and trafficking of illegal drugs. • Funding may be used to implement: • Residential Substance Abuse Treatment • Jail-Based • Aftercare

7. FUNDING • At least 10% of the total state allocation shall be made available to local (and tribal) correctional and detention facilities – provided such facilities exist – for either residential substance abuse treatment programs or jail-based substance abuse treatment programs. • A state may use RSAT funds to provide treatment to offenders for a period not to exceed one year after release for aftercare services. • No more than 10% of the total award may be used for treatment of those released from a state facility.

8. GENERAL GRANT GUIDELINES • Contract Period: July 1, 2013 to June 30, 2014 (12 months) • Local Match Requirement: 25% of Total Project Costs • Cash Match • In-Kind Match • Eligible Budget Categories: • Personnel & Personnel Benefits • Personnel Overtime & Personnel Overtime Benefits • Volunteer Match • Travel/Training • Equipment • Supplies/Operations • Contractual

9. SOURCE OF INFORMATION • DPS Website: www.dps.mo.gov • Solicitation • Financial & Administrative Guidelines • Travel Policy • WebGrants: https://dpswebgrants.dps.mo.gov • Opportunity (Funding Opportunity) • Solicitation • Office of Justice Programs (OJP) Financial Guide: http://www.ojp.usdoj.gov/financialguide/index.htm • Office of Management and Budget (OMB) Circulars: http://www.whitehouse.gov/omb/circulars_default • Missouri State Statutes: http://www.moga.mo.gov/

10. BUDGET COSTS

11. PERSONNEL COSTS • Personnel costs must be supported with official payroll records and time/attendance reports. • Agency should obtain documents to support all fringe benefits claimed for reimbursement and maintain such documents in the grant files • Time/attendance records should document all paid hours (including leave, overtime, etc) and should ideally be signed by the employee and authorizing supervisor • If personnel costs (i.e. overtime) are paid from multiple funding sources, be sure to report hours clearly. • Section 285.530.1 RSMo indicates that an agency will not knowingly employ, hire for employment, or continue to employ an unauthorized alien to perform work within the State of Missouri • Federal law requires every employer hiring an individual for employment in the United States to verify his or her identity and employment authorization through completion of Form I-9, Employment Eligibility Verification • http://www.uscis.gov/portal/site/uscis

12. TRAVEL/TRAINING COSTS • Funds will not be reimbursed prior to the actual travel. • Must submit a copy of the training certificate for travel/training costs to be reimbursed. If a training certificate is not provided, must create a memo. • Should have pre-budgeted for travel expenses based on the location of the travel/training. Either: • Submit a budget revision prior to travel if you foresee incurring an expense that isn’t approved in the budget • Don’t claim an expense that isn’t approved in the budget • Some travel costs may be unpredictable – use “Miscellaneous” as a line item for shuttles, taxis, parking, toll bridges, etc. Must be tied to a specific training! • Travel must be by the most practical and direct route! • All costs should be reasonable and prudence should be used when making travel arrangements!

13. TRAVEL/TRAINING COSTS cont’d • Airfare/Baggage • reimbursable costs include the airline ticket, baggage fees, and travel agency processing fees • other applicable fees are subject to review • does not allow for airport parking or transportation to/from the airport • Rental Car • reimbursable for the cost of the rental car • Fuel • reimbursable for the fuel for a rental car and/or fuel for a vehicle to and from the airport or training location

14. TRAVEL/TRAINING COSTS cont’d Note the change in state website! • Mileage • reimbursable based on the state’s mileage allowance • http://content.oa.mo.gov/travel-portal • rate based on cost to operate the vehicle based on fuel and wear and tear (cannot request fuel and mileage reimbursement) • Lodging • reimbursable based on the federal GSA rates as determined for the destination • http://www.gsa.gov/portal/category/21287 • the GSA rate is for the base nightly rate (not inclusive of taxes) • where possible should request the hotel to honor the GSA rate since travel is federally funded • does not allow for hotel parking, room service, internet, telephone calls, maid tips, etc.

15. TRAVEL/TRAINING COSTS cont’d • Meals • reimbursable based on the most restrictive travel policy – local or state • State travel policy allows for per diem rate based on the state CONUS rates as determined for the destination and for the particular meal (i.e. breakfast, lunch, or dinner) • State travel policy states individuals may claim the applicable per diem rate for each eligible meal while in travel status. • Travel status begins when you leave your residence or domicile to travel on business. • Travel status ends when you return to your residence or domicile. • You are not in travel status if any part of your trip involves a commute. When your official domicile and residence are different, the travel status begins and ends based on whichever is less. • When overnight lodging is not needed, it must be documented that the individual was in travel status for 12 or more hours. • State travel policy states when attending a meeting or conference, an individual may claim the applicable meal per diem for those meal times where such meal is not provided by the training host. • http://content.oa.mo.gov/travel-portal • receipts are no longer required (unless required by your local travel policy); still need to maintain record of meals being requested for audit/monitoring purposes

16. EQUIPMENT COSTS • Equipment is generally defined as a non-expendable personal property having a useful life of more than one year an acquisition cost of $1,000 or more per unit • All equipment must be compatible with the current statewide system • Must adhere to most restrictive procurement policy • Must submit a copy of the invoice/receipt for equipment costs to be reimbursed • Equipment must be tagged and identifiable for its source of funds (e.g. contract number) • Must maintain an inventory control listing, at a minimum, to include the following: • Item Description • Source of Property (e.g. GR, RSAT Grant) • Manufacturer’s Serial Number and/or Model Number • Acquisition Date • Total Cost & State Funded Cost • Location, Use, and Condition of Property • Disposition Date • Disposition Method

17. SUPPLIES/OPERATIONS COSTS • Includes expendable property and operating costs • Costs must be directly attributable to the approved project • Must adhere to most restrictive procurement policy • Printed materials must acknowledge the funding source

18. CONTRACTUAL COSTS • Includes contractual expenses and consultant fees • All contractual and consultant services shall be supported by written contracts stating the services to be performed, rate of compensation, and length of time over which the services will be performed, as applicable • Copy of all written contracts must be made available to DPS staff • Must adhere to most restrictive procurement policy

19. ADMINISTRATIVE AND FINANCIAL GUIDELINES

20. PROJECT IMPLEMENTATION STATUS • If a project is not operational within 60 days of the contract start date, the Contractor must report to DPS, via the “Correspondence” component of WebGrants, the steps taken to initiate the project, the reasons for delay, and the expected start date. • If a project is not operational within 90 days of the contract start date, the Contractor must submit a second statement to DPS, via the “Correspondence” component of WebGrants, explaining the implementation delay. • Upon receipt of the second statement, DPS may decide whether to continue with the project or to terminate the contract.

21. FUNDS • Contractors must verify, on a monthly basis, actual cash expenditures and request reimbursement • Request for reimbursement will be handled via a “Claim” report • Funds must be obligated within the contract period and expended within 60 days following the contract period end date • Funds are obligated when a legal liability to pay a determinable sum for services or goods is incurred and will require payment during the same or future period • When a purchase order is issued, funds are considered obligated • Travel expenses will only be allowed for events, training, and other activities held during the contract period • Funds are expended when payment is made.

22. PROCUREMENT All Contractors must adhere to the procurement standards contained in “Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments”, 28 CFR, Part 66 General Grant Guidelines: • All procurement transactions whether negotiated or competitively bid and without regard to dollar value shall be conducted in a manner so as to provide maximum open and free competition • All quotations and the rationale behind the selection of a source of supply must be retained, attached to the purchase order copy, and placed in the accounting files • When only one bid or positive proposal is received, it is deemed to be sole source procurement • Grant guidelines require prior approval from DPS for sole source procurement on amounts of $3,000 and more • Request for approval shall be submitted via the “Correspondence” component of WebGrants with the rationale and a copy of the sole source certification letter from the vendor, if available • Approval of the grant application does not constitute prior approval; must obtain separately State Procurement Policy: • Items costing less than $3,000 may be purchased with prudence on the open market • Items costing between $3,000 but less than $25,000 must be competitively bid, but need not be solicited by mail or advertisement • Items costing $25,000 or over shall be advertised for bid in at least two daily newspapers of general circulation in such places as are most likely to reach prospective bidders at least five days before bids for such purchases are to be opened

23. CONTRACT RECORDS • Establish and maintain accurate financial records and an adequate accounting system • Records must be retained for a period of 3 years starting from the date of submission of the final Claim Report or from the date of submission of the audit for the contract period covered, whichever comes later. • Records must be retained beyond a 3 year period if an audit is in progress and/or the findings of a completed audit have not been resolved. • Must adhere to local policy if local retention period is longer than those stated herein. • Financial records must be kept in an orderly manner and be available for audit purposes • Responsible for protecting records against fire, theft, or other possible damages.

24. PROPERTY RECORDS & DISPOSITION • Required to maintain property management records • Records shall contain copies of the purchase order and invoice • Control system shall be in effect to ensure adequate safeguards to prevent loss, damage, or theft to the property. • Any loss, damage, or theft of non-expendable property shall be investigated, fully documented, and made part of the grant file. • Adequate maintenance procedures shall be established to keep the property in good condition. • May dispose of the personal non-expendable property when original or replacement equipment acquired under an award is no longer needed for the original project • Items with a current per unit fair market value of less than $5,000 may be retained, sold, or otherwise disposed of with no further obligation to DPS • Items with a current per unit fair market value in excess of $5,000 may be retained or sold but the DPS shall have a right to an amount calculated by multiplying the current market value or proceeds from the sale by DPS’ share of the equipment • Records for non-expendable property acquired with grant funds shall be retained for 3 years after final disposition of property.

25. AUDIT REQUIREMENTS • Comply with OMB Circular A-133 “Audits of States, Local Governments, and Non-Profit Institutions” • Audit is required if the agency expends $500,000 or more in federal funds within the organization’s fiscal year from any federal source • Audit must be performed organization-wide by an independent firm • Audit must be conducted with reasonable frequency, usually annually, but not less frequently than every two years • Doesn’t mean that the audit can include every other year though! • Must submit a copy of such audit to DPS via the “Correspondence” component of WebGrants, where possible • Can mail a copy to DPS if unable to scan the audit report

26. INTERNAL CONTROLS • Agency must track, account for, and report on all funds separately from all other funds • Grant funds may be used in conjunction with other funding as necessary to complete projects but tracking and reporting must be separate • Agency should ensure appropriate internal controls exist for the programmatic and financial aspects of the project

27. PRINTING AND PUBLICITY • BJA and DPS encourage recipients of federal funding to share success stories of their project • Award of funding • Improvements in services provided as a result of equipment purchases • Educational training • Agencies are required to disclose of the source of their funding with language such: Funding for this project made available by the Residential Substance Abuse Treatment Grant, which is administered by the U.S. Department of Justice, Bureau of Justice Assistance and the State of Missouri, Department of Public Safety

28. CIVIL RIGHTS COMPLIANCE

29. STATE CIVIL RIGHTS LAWS • Section 213.055 RSMo– Unlawful Employment Practices • Contractor may not discriminate on the basis of race, color, religion, national origin, sex, ancestry, age, or disability in its employment practices (e.g. hiring, compensation, conditions, or privileges) • Section 213.065 RSMo– Discrimination in Public Accommodations • Contractor may not discriminate on the basis of race, color, religion, national origin, sex, ancestry, or disability in the use and enjoyment of any place of public accommodation • It is unlawful to refuse, withhold from, or deny any of the accommodations, advantages, facilities, services, or privileges made available in any place of public accommodations

30. FEDERAL CIVIL RIGHTS LAWS • Civil Rights Act of 1964 (42 U.S.C. § 2000d) • Rehabilitation Act of 1973 (29 U.S.C. § 794) • Title IX of the Education Amendments of 1972 (20 U.S.C. § § 1681, 1683, and 1685-86) • Age Discrimination Act of 1975 (42 U.S.C. § § 6101-07) • Americans with Disabilities Act of 1990 (42 U.S.C. § § 12131-34) • U.S. Department of Justice Regulations – Non-Discrimination; Equal Employment Opportunity; Policies and Procedures (28 C.F.R. pt 42) • U.S. Department of Justice Regulations – Equal Treatment for Faith Based Organizations (28 C.F.R. pt 38) • Executive Order 13279 (equal protection of the laws for faith-based and community organizations)

31. EQUAL EMPLOYMENT OPPORTUNITY PLAN (EEOP) • U.S. Department of Justice, Office of Justice Programs • 28 C.F.R. 42.301 – 42.308 • A workforce report completed to ensure recipients of federal funding are providing equal employment opportunities to men and women regardless of sex, race, or national origin. • Effective for a 2-year period, commencing with the date of the approval letter from the Office of Civil Rights (OCR) • Should be prepared by the recipient of the federal funding (county, city, state department) • http://www.ojp.usdoj.gov/about/ocr/eeop.htm Not the same as an EEO4, which is required by the U.S. Equal Employment Opportunity Commission.

32. EEOP cont’d SAMPLE COVER SHEET Date-stamped when prepared

33. EEOP cont’d Is the agency a state or local government agency, employ 50 or more individuals, AND a recipient of a single award of $25,000 or more? NO YES Must prepare EEOP Short Form Must complete Section A of the Certification Form and send to OCR for exemption of preparing an EEOP Did the agency receive a single award of $500,000 or more? NO YES Must complete Section B of the Certification Form and send to OCR for exemption of submission Must send EEOP Short Form to OCR

34. NON-DISCRIMINATION • Contractor may not discriminate on the basis of race, color, national origin, religion, sex, or disability in its employment practices or in the delivery of services • If the Contractor has 50 or more employees and receives DOJ funding of $25,000 or more: • the Contractor must have written policies or procedures in place to notify program participants and employees on how to file complaints alleging discrimination • the Contractor must designate a person(s) to coordinate complaints alleging discrimination

35. FINDINGS OF DISCRIMINATION • Contractor must notify DPS of any findings of discrimination within 30 days of the court judgment • Submit the Court Judgment with a cover letter, which identifies your DPS-assigned contract number, as indicated on the Award of Contract • DPS must forward to the Office of Civil Rights (OCR) Missouri Department of Public Safety Attn: Director of Public Safety PO Box 749 301 W. High Street, Room 870 Jefferson City, MO 65102

36. LIMITED ENGLISH PROFICIENCY (LEP) • Contractor must take steps to provide meaningful access to its programs and activities to persons with LEP • Oral Interpretation • Written Interpretation • Recommended (but not yet required by law) that the Contractor develop a written policy on providing language access services to LEP persons • For more information on LEP, planning tools, or a sample law enforcement policy, go to http://www.ojp.usdoj.gov/about/ocr/lep.htm

37. REPORTING REQUIREMENTS

38. REPORTING REQUIREMENT #1 - CLAIM • Must report actual expenditures for reimbursement • Funds must be obligated no later than June 30, 2014 • Funds must be expended no later than August 29, 2014 • Can claim an amount over the total budgeted line item • Allowed up to a 10% increase in a single budget line without a budget revision • Exceeding the 10% increase will be subject to review by DPS • Not receiving additional monies but rather “borrowing” it from elsewhere in the budget • Increases in excess of 10% within a particular budget line require a budget revision through the “Contract Adjustment” component of WebGrants • Will be reviewed, negotiated, and approved by your designated Internal Contact • Payments made around the 25th of each month via EFT • State Vendor Portal: https://vendorservices.mo.gov • RSAT Prefix Payment Code = PG029

39. RSAT CLAIM REPORT SCHEDULE

40. REPORTING REQUIREMENT #2 – PMT REPORTS • Performance Measurement Tool (PMT) system was implemented by the Bureau of Justice Assistance (BJA) in FY2009 • Submitted at www.bjaperformancetools.org • Collects financial and statistical data as a means to present to Congress each year when fiscal year monies are requested • Each agency has been provided a User ID and Password that applies to all users from the agency • Reminder alerts will be sent from WebGrants approximately 2 weeks prior to deadline • Will be reviewed by Heather Haslag

41. RSAT PMT SCHEDULE Guide available at http://www.dps.mo.gov/dir/programs/cjle/rsat.asp

42. MONITORING

43. MONITORING • CJ/LE will conduct monitoring of the project to ensure compliance with state laws, regulations, and guidelines • Desk Monitoring – tracking telephone and email communication, as well as reviewing all grant documents, reports, and correspondence • Site Monitoring – a visit the agency’s office(s) to review policies, payroll records & receipts, and other documents • CJ/LE will take appropriate action if determined the Contractor is acting inappropriately, misusing money, and/or not meeting reporting requirements • Such action may result in delay of reimbursement of funds and/or cancellation of the contract

44. MONITORING CHECKLIST - FISCAL • Personnel • payroll records to support salary and fringe benefits • time and attendance records • Travel/Training • receipts and travel vouchers • Equipment • Invoices/receipts from vendor (submitted with claim report) • bid records and/or sole source letters, where applicable • Supplies/Operations • receipts/invoices • bid records and/or sole source letters, where applicable • Contractual • receipts/invoices • bid records and/or sole source letters, where applicable • contractual agreements, where applicable

45. MONITORING CHECKLIST - PROGRAMMATIC • Residential Programs: • Program Schedule extend 6 to 12 months? • Separation of population? • Focus on the substance abuse problems of the inmate? • Develop the inmate’s cognitive, behavioral, social, vocational, and other skills? • Require urinalysis and/or other proven reliable forms of testing? • Limit participation to inmates with 6 to 12 months remaining in confinement? • Jail-Based Programs: • Program schedule extend at least 3 months? • Focus on the substance abuse problems of the inmate? • Develop the inmate’s cognitive, behavioral, social, vocational, and other skills? • Separation of population, where possible? • Aftercare Programs: • Involve coordination between the correctional treatment program and other social service and rehabilitation programs, such as education and job training, parole supervision, halfway houses, self-helps, and peer group programs?

46. MONITORING CHECKLIST – PROGRAMMATIC • Personnel files for grant-funded staff • Training plan for grant-funded staff • Personnel manual; standard operating procedures • Local travel policy • Local procurement/purchasing policy • Inventory control listing for equipment • Tags/labels on equipment • Internal controls

47. MONITORING CHECKLIST – STATE STATUTES If the project agency is a law enforcement agency: • Section 43.505 RSMo - Monthly Uniform Crime Reporting (UCRs) • Section 590.650 RSMo - Annual Racial Profiling Reporting • Section 513.653 RSMo - Annual Federal Forfeiture Report • Section 590.700 RSMo - Recording of Custodial Interrogations • Section 577.005 RSMo - Forwarding Intoxication-Related Offenses

48. MONITORING CHECKLIST – FEDERAL CIVIL RIGHTS • EEOP • Is your agency required to prepare an EEOP? • If your agency is not required to prepare an EEOP, has your agency submitted Section A of the Certification Form? • If your agency is required to prepare an EEOP, has your agency prepared an EEOP Short Form? • If your agency is required to prepare an EEOP and is required to submit a copy to OCR, has your agency submitted the EEOP Short Form to OCR? • If your agency is required to prepare an EEOP but is not required to submit the EEOP Short Form to OCR, has your agency submitted Section B of the Certification Form to OCR? • Non-Discrimination Policies and Procedures • How does your agency notify program beneficiaries that it will not discriminate in the delivery of services (e.g. posters, inclusion in brochures, or other program materials)? • How does your agency notify employees that it will not discriminate in employment (e.g. posters, dissemination of relevant orders or policies, inclusion in recruitment materials)? • Does your agency have written policies and procedures informing program beneficiaries and employees how to file a complaint if they feel like they’ve been discriminated against? • Has your agency designated a person(s) to coordinate complaints of discrimination?

49. MONITORING CHECKLIST – CIVIL RIGHTS cont’d • Forwarding of Findings of Discrimination • Does your agency have court findings of discrimination within the contract period? • If so, has your agency compiled with the requirement to forward findings of discrimination to DPS, if applicable? • Access to services for LEP individuals • How does your agency make meaningful access to persons with limited English proficiency (e.g. direct foreign language communication by fluent bilingual staff, interpretation conducted in-person or via telephone by qualified interpreters, translation by qualified translators, etc.)? • Does your agency have written policies or procedures on LEP services? • Civil Rights Training • Does your agency provide civil rights training to its employees (e.g. cultural diversity, racial profiling, sexual harassment, etc.)? • How often does your agency provide civil rights training to its employees?

50. MONITORING CHECKLIST – STATE CIVIL RIGHTS • Section 213.055 RSMo– Unlawful Employment Practices For example: • Does your organization’s job announcements/applications include an “Equal Opportunity Employer” statement? • Does your organization display the required labor law posters? • Does your organization maintain a written policy on non-discrimination and/or non-harassment in the workplace? • Does your organization maintain a written policy to notify employees on how to file complaints alleging discrimination? • Section 213.065 RSMo– Discrimination in Public Accommodations For example: • Does your organization display the required labor law posters (e.g. Discrimination in Housing and Discrimination in Accommodations)? • Does your organization notify its citizens or program participants that it will not discriminate in the delivery of its services (e.g. brochures, posters, website, mission statement)? • Does your organization ensure its facilities are ADA accessible? • Does your organization maintain a written policy on ADA? • Does your organization maintain a written policy to notify employees and/or citizens on how to file complaints alleging discrimination in public accommodations?