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Capital Area Council of Governments Grant Management Training Workshop. Conducted by Michelle Casanova, Assistant Director, Community and Economic Development Erica Linneman Criminal Justice Planner. CAPCOG/CJD Overview. CAPCOG Contacts CJD Contacts

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capital area council of governments grant management training workshop

Capital Area Council of GovernmentsGrant Management Training Workshop

Conducted byMichelle Casanova,Assistant Director, Community and Economic Development

Erica LinnemanCriminal Justice Planner

capcog cjd overview
CAPCOG/CJD Overview
  • CAPCOG Contacts
  • CJD Contacts
  • New CJD Training Requirements Recurring Findings
capcog contacts
CAPCOG Contacts
  • Include Grant Number and Project Name in all Correspondence
  • Mailing Address:6800 Burleson RoadBuilding 310, Suite 165Austin, TX 78744
  • CAPCOG Website: www.capcog.org
cjd contacts
CJD Contacts

Governor’s Office, CJD

  • Email is preferred(first name.last [email protected])
  • 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 [email protected]
slide5

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

general administration
General Administration

Recurring CJD Grant Management Findings

  • Single Audit issues
  • FSR/PPRI reports submitted late
  • Program Income not reported (from seizures, forfeitures, other)
personnel
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.
contractual professional services
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.
travel training
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).
equipment
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.
construction
Construction

Recurring CJD Grant Management Findings

  • At this time, construction costs are not an allowable line item for grants through CJD.
supplies
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.
financial accounting systems
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.)
applying for grants through the governor s office cjd
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)

authorized official ao
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).
financial officer fo
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.
project director pd
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.
grant award and acceptance
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
grant award and acceptance1
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.

grant award and acceptance2
Grant Award and Acceptance

Failure to accept your award within 45 days could result in forfeiture of grant funding.

things to do immediately
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
federal rules and regulations
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)
state rules and regulations
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
state and federal fund sources
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.

egrants financial management
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.
payments
Payments

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

links to vendor set up form
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
personnel1
Personnel
  • Time/Activity Reports
  • Case Numbers for Grant-Funded Law Enforcement and Prosecution Personnel
  • Volunteer Activities
  • Signed Timesheet
  • Salaries Consistent with Local Policy
  • Overtime
slide31

Contracts in Writing

  • Consistent with Texas Contract Law
  • Contract Monitoring Documentation
  • Compliance with Agency Procurement Guidelines
  • Invoices for Contract Deliverables
  • CJD-Prescribed Procurement Questionnaire
slide32

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 .

slide33

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
slide35

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
slide36

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%
slide37

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
grant adjustments
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)

grant reporting
Grant Reporting
  • There are two types of reporting required for CJD grants :
    • Programmatic
    • Financial
programmatic reporting
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:
financial status reports fsr
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
vendor financial hold
Vendor (Financial) Hold

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

cjd technical assistance and monitoring
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)
annual cjd monitoring tasks
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.
risk factors and risk rank
Risk factors and risk rank
  • Funding:The more money awarded, the higher the risk of misspent funds ($10,000 vs. $1,000,000).
  • No. of grants: The greater the number of grants awarded, the higher the exposure to non-compliance of requirements. (1 grant vs. 7 grants)
  • Risk Rank: Based on risk factors, grantees are ranked: high risk, medium risk, or low risk.
monitoring plan
Monitoring Plan
  • A Monitoring Plan is developed from the risk assessment report.
  • Grantees in each level (high risk, medium risk, low risk) are reviewed.
  • Grantees are scheduled for review on a rotation basis.
capcog technical assistance and monitoring
CAPCOG Technical Assistance and Monitoring
  • CAPCOG Technical Assistance:
    • Grant workshop and grant management training.
    • Grant application assistance and preview.
  • CJD Monitoring:
    • 1st year COG Checklist Analyses (site reviews and phone contact)
monitoring checklist categories
Monitoring Checklist Categories
  • General Grant Administration: FSR, program income, Single Audit
  • Personnel: payroll, personnel activity reports, timesheets
  • Contractual Services: contracts, contract monitoring, procurement questionnaire
  • Travel: invoices, receipts, training certificates
  • Equipment Inventory: inventory list, physical observation, procurement questionnaire
  • Construction: Not Applicable
  • Supplies: invoices, receipts
  • Indirect Costs: 2% limit, cost allocation plan
  • In-Kind or Cash Match: what is used as match, how much has been provided, volunteer timesheets
  • Fund-Specific Program Issues: specific to the unique program, program records
more assistance
More Assistance
  • Technical Assistance Checklist available at:

https://cjdonline.governor.state.tx.us

Then go to Updates, then Grants Monitoring Tools, then Checklist (and Coversheet and Phone Contact Form for the COG planners.)

  • Examples of governing directives can be found on the link to Grants Resources on eGrants, including:
    • Guide to Grants
    • Texas Administrative Code (TAC)
    • Uniform Grant Management Standards (UGMS)
    • Office of Justice Programs Financial Guide
    • Financial Management Guide
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