Ohio Office of Criminal Justice Services Subgrant Orientation

1. Ohio Office of Criminal Justice Services Subgrant Orientation

2. Rickeya Franklin, Director 614-728-5466 RNFranklin@dps.state.oh.us Jacquetta Al-Mubaslat, Grants Planner (VAWA, FVPSA) 614-728-7291 Jal-Mubaslat@dps.state.oh.us Melissa Darby, Grants Planner (JAG, JAG LE, RSAT) 614-728-8740 MBDarby@dps.state.oh.us Grants Administration Section

3. Grant Coordinators by Region • Sherry Layton, Grants Coordinator (Region 1 & 4) • (614) 644-7733 • SRLayton@dps.state.oh.us • Ginger Parks, Grants Coordinator (Region 2) • (614) 466-1831 • VParks@dps.state.oh.us • Sharman Sayre, Grants Coordinator (Region 3) • (614) 728-4789 • SSayre@dps.state.oh.us

4. Grants Administration Updates • Executive Order 2010-09S • Order prohibits the use of any funds within the control of an executive agency to provide services which will be provided outside of the United States • Currently under review by new administration • Special Condition sign-off • Beginning with FY 2010 awards • FFATA reporting requirements • Beginning with FY 2011 grants • New grant system • OCJS CJ Weekly contact Oliver Corbin • ODCorbin@dps.state.oh.us

5. Agenda • I. Overview • II. Getting started • III. Financial management • IV. Financial Reporting • V. Performance Information & Monitoring • VI. Closeout

6. I. Overview

7. Pre-Award Conditions • In order to receive funding, all applicants must address the pre-award conditions pertaining to their application. Failure to provide this information will result in not receiving an award packet • Grant Forms (EEO, Fidelity Bonding, Faith-Based, Special Condition Documents) • Revised Budget including personnel changes

8. II. Getting Started

9. Subgrant Award Agreement • Award Date – Award must be signed and returned within 45 days of the date the award is signed and dated by the OCJS Executive Director • Subgrantee and Implementing Agency • Signature of authorized official • Roles and responsibilities • Contracts and consultants • Award amount and match requirements

10. Award Agreement, cont. • Award period • Listed on the award document - start and end dates • Date to obligate all funds and complete all programmatic activity • Cannot spend funds outside of this timeframe • Closeout deadline • Listed on the award document - 60 days after the end date • Date to expend all funds, pay all outstanding bills, and submit final paperwork

11. Terms of the Award • Approved application • Includes pre-award conditions • Request for proposal (RFP) • Special conditions • Standard federal subgrant conditions • Federal financial guide • http://www.ojp.usdoj.gov/financialguide

12. Signature Authority • Subgrantee signs all documents; or • Signature authority waiver • Person • Scope • fiscal reports, programmatic reports, or all aspects • Duration • Signature of subgrantee • Submit waiver with signed award agreement

13. Operational Guidelines • Operational within 60 days • Staff hired, funds obligated, activities begun • If not, letter must be submitted to OCJS • Reason for delay, steps taken, expected start date • Operational within 90 days • Submit second letter • OCJS may cancel award at 90 days

14. Non-compliance - Actions • Suspend payments • Cancel award • Suspend or cancel other OCJS funds Each project is an investment made by OCJS to assist Ohio in meeting federal program goals. OCJS is required to make good investments in our role as the State Administrative Agency.

15. III. Financial Management

16. Financial Management • All recipients are required to: • Establish & maintain a separate and adequate system of accounting and internal controls • Accurately account for both federal and matching funds • See Standard Federal Subgrant Conditions for specific requirements

17. Budget Tips • Monitor budget situation throughout subgrant • First quarter • Hire staff, order equipment • If an adjustment is needed, it is usually apparent by end of first quarter • Submit adjustment requests in a timely manner, preferably the first six months

18. Budget Adjustments • Prior approval required • Moving money between categories • Consultant rates exceeding $450 a day • Changes that affect the scope, regardless of amount involved • All personnel changes • All equipment purchases • Reallocating money within a category • Moving money into a category previously $0 always changes the scope

19. Budget Adj. Request Format Date (30 days before project end date) Dear Grants Administration Section: We would like to request a budget adjustment for grant number 2010-JG-D01-xxxx. Our printer recently broke and in order to generate forms to continue serving clients, we wish to reallocate the office supply funds in our grant to purchase a new printer at the cost of $x. If a printer is not purchased, we will be unable to serve the clients due to our inability to complete intake. The commissioners will provide other funds to purchase the printer if we cannot use grant funds to do so, however it will reduce our funding available for personnel, and we feel it would be better to reduce supply costs than personnel to best sustain the program. Here is the adjustment breakdown: We thank you for considering this request and we will not make the budget changes until approval is received in writing. Signed: Subgrantee’s Authorized Official or other person authorized by signature waiver

20. Other Adjustments • Prior approval required • Change in project location • Change in scope and objectives • Extension of project period – not routinely granted • Extension of liquidation period (closeout deadline) • Notify OCJS of change • Project director • Change of contact information • Address, phone number, and email • Person filling a prior approved position

21. Adjustment Approval • Request by project • In writing - faxed submissions accepted • Signed by authorized official • Due at least 30 days prior to end date • Provide detailed justification • Approval by OCJS • Review of project compliance • Review of justification and submission date • Allow two weeks for processing • OCJS decision made in writing

22. Adjustments: Monitoring • If prior approval not obtained • OCJS will determine if an adjustment changed the scope during monitoring • Adjustment could be denied and funds returned to OCJS • If not certain whether adjustment will result in change in scope, seek prior approval to be sure

23. IV. Financial Reporting

24. Quarterly Subgrant Report (QSR) • Submit QSR to Grant Coordinator • Fiscal and programmatic information reported • ARRA grants • Back-up documentation every quarter • All other grants • Summary sheet every quarter • Based on the report, Grant Coordinators • Approve payments & make monitoring recommendations

25. Quarterly Subgrant Report (QSR) Due Dates • Reporting Periods: • 1st quarter = January 1st – March 31st due April 30th • 2nd quarter = April 1st – June 30th due July 31st • 3rd quarter = July 1st – September 30th due October 31st • 4th quarter = October 1st – December 31st due January 31st • Send one signed copy via fax

26. ARRA Quarterly Subgrant Report (QSR) Due Dates • Due 10 days after the revised quarter end dates • 1st quarter = January 1st – March 15th due March 25th • 2nd quarter = March 16th – June 15th due June 25th • 3rd quarter = June 16th – September 15th due September 25th • 4th quarter = September 16th – December 15th due December 25th • Send one signedcopy via fax

27. Use the correct subgrant number Separate report for each grant award Period ending date = quarter end date Subgrantee name must exactly match award agreement Check final report flag on last report submitted Report Overview: Top Section

28. Report Overview: Expenditures

29. QSR Requirements • Report actual expenditures as of the quarter’s end date • Expenses incurred must equal the actual dollar amounts shown • Maintain support documentation • For both federal and matching funds • Money may not be spent in a category not included in the approved budget

30. Payment Information • If you are currently not in OAKS, the statewide accounting system you will need to submit: • W-9 form http://www.irs.gov/pub/irs-pdf/fw9.pdf • Vendor form (OBM-5657) http://ohiosharedservices.ohio.gov/Vendors.aspx?Page=2 • In order to receive an EFT reimbursement payment you will need to submit: • EFT direct deposit form (OBM – 1234) • http://ohiosharedservices.ohio.gov/Vendors.aspx?Page=2

31. Payment Advance • Initial payments • Submit QSR • Period ending date = date of submission • Must fill out the entire report • $0 Expenditures usually reported at beginning • Maximum 15% of OCJS (Federal) funds • Due to federal minimum cash on hand requirements • Justification required • Letter explaining need for advance payment for a particular cost and how funds will be used immediately upon receipt

32. SAMPLE – Initial Payment Request 15% of OCJS

33. Payments on Expenditures • Quarterly payments • Report actual expenditures on QSR • Reimbursement provided • Minimum cash on hand maintained • Additional payment requests can be submitted during quarter if necessary

34. SAMPLE – 1st Quarter Report

35. SAMPLE – 2nd Quarter Report

36. Project Income • Supplement project • Spend along with grant funds awarded • Must be spent on costs federally allowable • Reduce project costs • Spend in lieu of grant funds awarded • Return to OCJS • Refund project income to OCJS • Project income included in section O of QSR • Fiscally separate from federal and match funds, though programmatically linked

37. How to Avoid Common Errors • Report the expenditures for total budget • Federal and match • Columns I + J = K • Report correct prior year to date (YTD) figures • Unpaid obligations – only use on 4th quarter report • Use correct period ending date • Use correct grant number • Obtain appropriate signature

38. Suggestions for QSR • Spend match proportionately to federal funds to ensure matching requirement will be met • Proofread report prior to submission • Call for assistance in completing reports • ARRA grants • Back-up documentation every quarter • All other grants • Summary sheet every quarter

39. Payment Timetable • Four to five weeks processing time • Grants Administration Section • Within one week of receipt date, the payment is approved and the acknowledgement is faxed to the project director; or • Fiscal Section/State Accounting • Two to four weeks • QSRs with backup documentation not matching or needing correction will take longer

40. Incorrect Reports • Revised report will be required • OCJS cannot make the changes • Liability issue for audit • Requires new signature – takes time and delays the payment • Will raise red flags for monitoring/audit • All revised reports must be hard copies

41. Policy and Research Section • Robert Swisher, Director • (614) 644-8230 • rswisher@dps.state.oh.us • Monica Ellis (Researcher, Prevention) • (614) 466-0310 • mlellis@dps.state.oh.us • Sharon Schnelle (Researcher, Corrections) • (614) 466-0346 • smschnelle@dps.state.oh.us • Lisa Shoaf (Researcher, Statistical Analysis Center Director) • (614) 466-5997 • lshoaf@dps.state.oh.us • Chrystal Pounds-Alexander (Program Director, FVPC) • (614) 466-0306 • ccalexander@dps.state.oh.us

42. V. Performance Information & Monitoring

43. Purpose & Benefits • Purpose • Compliance oversight • Assist with funding recommendations • Identify areas for technical assistance • Benefits • Promotes interaction between OCJS and the Implementing Agency • Performance Reports generate useful data

44. Bureau of Justice Assistance (BJA) PMT Reporting • All recipients of OJP administered grant funds must report quarterly performance info • Reports are due on the 15th following end of quarter • After logging in, verify that your total award amount and purpose areas are correct • Error? Contact your grant coordinator

45. Bureau of Justice Assistance (BJA) PMT Reporting (cont.) • Activity areas (Direct Service, Training, Personnel, Equipment/Supplies, etc.) • https://www.bjaperformancetools.org • Instructions/Guides: http://www.ocjs.ohio.gov/grant_forms.stm#tog under ARRA Reporting. • Instructions for PMT entry and ARRA JAG Recipients User Guide

46. Task Force Reporting Requirements • New OCJS performance report • Semi-annually in 2011 • Gather specific info: • Illegal drugs and pharmaceutical drug diversion (type, amount seized/diverted, street value) • Indictments • Firearms confiscated • Trainings/presentations offered

47. On-Site Programmatic Monitoring • Tell your story • Project progress • Adhering to approved grant application? • Meeting objectives? • Following timeline? • Collaboration board? • Technical assistance • Necessary follow-up

48. Federal ARRA Reporting Requirements • Jobs Report—capturesdata on positions created/retained with funding • Vendor Spreadsheet * Refer to handout for reporting timelines

49. Federal ARRA Reporting Requirements (cont.) • What OCJS does with the reports: • Review, convert data, and submit to state hub. • Data in hub used by Governor’s Office, OBM and others to view Ohio’s performance • State hub submits to BJA • BJA compiles grant program data and additional data they are required to collect and submits them to the national database

50. Fiscal Monitoring