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How to Successfully Manage CJD Grants. 5 Steps to Successful Grant Management. Step 2. Understand Grants Monitoring. Step 1. Know the Basics. Step 3. Properly Close Out the Grant. Step 4. Follow the Rules and Regulations. Step 5. Use Sample Forms. Step 1. Know the Basics.

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5 steps to successful grant management
5 Steps to Successful Grant Management

Step 2. Understand Grants Monitoring

Step 1. Know the Basics

Step 3. Properly Close Out the Grant

Step 4. Follow the Rules and Regulations

Step 5. Use Sample Forms

communicating with cjd
Communicating with CJD

Email is Preferred

(firstname.lastname@governor.state.tx.us)

Include Grant Number in all Correspondence

CJD Main Number

(512) 463-1919

Notify CJD Immediately If You Get a Public Information Request

authorized official ao
Authorized Official (AO)

Appointed or authorized by the governing body.

financial officer fo
Financial Officer (FO)

Must be the chief financial officer for the grantee agency.

project director pd
Project Director (PD)

Responsible for the day-to-day operations of the project including programmatic reporting.

grant award and acceptance
Grant Award and Acceptance

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

payments
Payments

All funds must be paid through direct deposit.

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
egrants financial management
eGrants Financial Management
  • All Financial Status Reports must be submitted through eGrants.
  • For a step by step guide to creating and submitting FSRs see the eGrantsFinancial Management Guide.
programmatic reporting
Programmatic Reporting
  • Required by CJD
  • instructions for accessing the PPRI website http://cjd3.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:
grant adjustments
Grant Adjustments

Must be submitted through eGrants and Certified by the Authorized Official

10% of Cumulative Expenditures can be moved without CJD’s Prior Approval (except within Equipment and Indirect Costs)

personnel
Personnel
  • Time/Activity Reports
  • Case Numbers for Grant-Funded Law Enforcement and Prosecution Personnel
  • Volunteer Activities
  • Signed Timesheet
  • Salaries Consistent with Local Policy
  • Backfill of Existing Positions
  • Overtime
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Contracts in Writing

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

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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
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Related to the daily operation of the CJD grant

  • All costs MUST be Pro-Rated
  • Rent or Lease MUST include cost/sq. ft. and the number of square feet
  • Documentation (ex. receipts, invoices) MUST be maintained
  • Includes small equipment
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When allowed, the standard rate is 2% of CJD- funded direct costs (NOTE: this is NOT the CJD Award Amount)

  • Cognizant agency approval letter required for requests in excess of 2%
  • ALL rates are negotiable
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Cash or In-Kind

  • Held to Percentage in Approved Budget
  • Federal Funds CANNOT be used to meet match requirements
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Step 2: Understand Grants MonitoringRebecca Martinez, CFE, CGAP, CIADirector of CJD’s Grants Monitoring
what you need to know
What You Need to Know

Grants Monitoring Overview

Reviewing & Testing

Recurring Findings

Technical Assistance

Questions & Answers

grants monitoring overview
Grants Monitoring Overview

What is grants monitoring?

“The process of reviewing grant documentation to ensure that grant funds are used for authorized purposes.”

cjd monitoring consists of
CJD Monitoring Consists Of:
  • Desk reviews
  • Site reviews
  • Grantee contact visits (informal)
  • 1st year COG Checklist Analyses (site reviews and phone contact)
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, we provide a 2 week 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)
  • Based on risk factors, grantees are assigned a risk rank: 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.
cjd desk reviews
CJD Desk reviews
  • Notify grantee of upcoming desk review.
  • Gather and analyze grant documents from the grantee.
  • Call grantee and conduct a phone interview regarding issues noted.
  • Complete examination and issue a report.
  • Follow-up with grantee on issues.
cjd site reviews
CJD Site reviews
  • Site reviews are scheduled with the grantees. Dates, times, and locations are set.
  • A notification letter is sent to the grantee. It includes a list of documents to be examined.
  • Reviews are conducted at the grantee’s office. Reviews may last from 2 to 5 days, depending on the size and complexity of the grant.
  • Monitors continue the analysis of support documentation and calculating of expenses, back at CJD.
  • Written reports of the review are prepared and submitted to grantees for response.
fieldwork while on site
Fieldwork (while on-site)
  • Entrance conference.
  • Examine documents, select samples, test transactions, discuss issues with grantees. Make copies for analysis later. (Monitors time is very limited while on-site.)
  • Exit conference.
reviewing testing of support documents for budget categories
Reviewing & Testing (of support documents for budget 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: pre-approval, change orders
  • 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
  • Program Issues: specific to the unique program, program records
further analysis
Further Analysis
  • Monitors continue to examine and analyze documents back at the CJD office.
  • The further analysis of the grantee’s documents may result in additional findings. If this occurs, the grantee will be contacted to discuss the finding and may be able to clear the issue with supplemental documentation or information.
  • All findings will be presented in the report and the grantee will have an opportunity to respond.
reporting
Reporting
  • Issue Draft report (includes requirements, findings, and recommendations). Grantee has 15 days to respond with corrective action.
  • Receive grantee responses & corrective action.
  • Analyze responses. Issue Second draft report, if necessary. Reports will include the grantee’s responses.
  • Receive grantee responses & corrective action
  • Analyze responses. Issue Final report.
  • (If necessary) Receive grantee responses and corrective action.
  • Issue Closeout letter. Review is complete.
general administration recurring findings
General Administration(recurring findings)
  • Single Audit issues
  • FSR/PPRI reports submitted late
  • Program Income not reported (from seizures, forfeitures, other)
personnel recurring findings
Personnel (recurring 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 recurring findings
Contractual & Professional Services (recurring 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 recurring findings
Travel & Training (recurring findings)
  • Requisition or voucher documents not completed.
  • Support documents (receipts, invoices, etc.) not available.
  • Purchase of unallowable items (gifts, alcoholic beverages).
equipment recurring findings
Equipment (recurring 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 recurring findings
Construction (recurring findings)
  • Not pre-approved. Using grant funds for construction must be pre- approved by CJD.
supplies recurring findings
Supplies (recurring 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 recurring findings
Financial Accounting Systems (recurring 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.)
technical assistance
Technical Assistance
  • Monitors provide technical assistance to the grantees while on site (or over the phone, if it is a desk review).
  • This includes explaining governing directives and discussing possible recommended actions for compliance.
  • Monitors may also provide samples of documents to assist the grantee with compliance, such as sample personnel activity reports.
grantee contact visits
Grantee Contact Visits
  • Informal stop-in visits with grantees in the same geographic area where we are doing site reviews
  • Carried out if the monitor has time to stop-in; if the schedule is too tight, the monitor will forgo the visit
  • Monitor asks for the project director, talks to him/her about the grant, and asks if there are any questions about the grant
  • If time allows, grantee may offer a brief tour of the facility
  • Visit usually lasts about 30 minutes or less
  • No documentation is requested; although grantees may provide a brochure or a business card
  • Allows for CJD to more efficiently use state travel funds and for CJD to make contact with more grantees out in the field.
first year technical assistance checklists
First Year Technical Assistance Checklists
  • Completed by COG planner during site visit (or if a JAG Recovery grant, then possibly phone contact form instead)
  • Also, referred to in our Notification Letters to grantees before reviews, for their use
  • Purpose: Identifies grantee’s compliance issues
  • Completed checklists are forwarded by planners through eGrants to CJD
  • Issues analyzed by CJD Grants Monitoring
  • CJD may follow-up with a monitoring review
  • (In-depth training sessions on the checklists & phone contact form, tomorrow)
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
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
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.

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STEP 5

Use Sample Forms