Justice and Mental Health Collaboration Program Grant Management and Budget Webinar U.S. Department of Justice Bureau of Justice Assistance Office of Justice Programs The Council of State Governments Justice Center CSR, Incorporated
Welcome and Introductions • Cynthea Kimmelman-DeVries, Deputy Program Director, Behavioral Health, the Council of State Governments Justice Center • Maria Fryer, Justice Systems and Corrections Policy Advisor: Substance Abuse and Mental Health, Bureau of Justice Assistance, U.S. Department of Justice • NiKisha Love, Lead State Policy Advisor for Justice and Mental Health Collaboration Program, Bureau of Justice Assistance, U.S. Department of Justice • Vanessa West, Senior Research Associate, CSR Incorporated • Michael Williams, Staff Accountant/Trainer, Office of Justice Programs, Office of the Chief Financial Officer • Sarah Wurzburg, Grantee Technical Assistance Manager, Behavioral Health, the Council of State Governments Justice Center
Agenda for Today’s Presentation Getting Started and Maintaining Federal Registrations Budget Categories, Budget Narrative, Budget Detail Worksheet Budget Clearance Issues Using GMS and Contacting Your Program Manager
Technical Assistance Provided to JMHCP Grantees: How Can Your TA Provider Help? BJA Performance Management: Performance Measure to Action Questions and Answers Contact Information for DOJ Agencies and Subcontractors 3
Purpose The goal of this presentation is to review budget development and budget management information beneficial to applicants and award recipients. It provides practical resources for successful grant program implementation.
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Successful implementation depends on: Ø Current federal registrations Ø An approved budget Ø Proactively resolving program/budget issues Ø Engaging available resources when needed Ø Managing budget adjustment requests
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Getting Started and Maintaining Federal Registrations
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Getting Started and Maintaining Although there are several steps to begin an application, two federal registrations: Applicant agencies need to ensure that step 1 and 2 remain current throughout the life of the grant since they have budget implications that can impact program implementation:
Organization Applicant Registration STEP 1: Obtain a DUNS Number A DUNS number is a unique nine-character number used to identify your organization. The federal government uses the DUNS number to track how federal money is allocated http://fedgov.dnb.com/webform/displayHomePage.do
STEP 2: Register with SAM
SAM registration: System for Award Management (SAM) is the primary registrant database for the U.S. Federal Government. https://www.sam.gov/portal/SAM/##11Grantee Name, City, and State Should Reconcile
STEP 3: Create a Username and Password STEP 4: EBiz POC Authorizes Roles STEP 5: Track Role Status
To apply for funding: each program solicitation will specify which system should be used for that program, and will contain detailed technical instructions on how to register with the system and apply.
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Budget Categories, Budget Narrative, Budget Detail Worksheet
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Budget Guidance for Program Applicants Building a Better Budget
“Prediction is very difficult, especially if it’s about the future” -Yogi Berra
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Planning a Successful Program Budget Ø Ø Ø Ø Ø
Who, What, Where, When, Why & How? Budget Categories Budget Narrative. Budget Detail Worksheet Type of Match and source identified.
Use Standard Budget Categories and Format PERSONNEL FRINGE BENEFITS
INDIRECT
OTHER
BUDGET
CONTRACTUAL
TRAVEL
EQUIPMENT
SUPPLIES
A. Personnel • List each position by title and name of employee, if available. • Show the annual salary rate and the percentage of time to be devoted to the project. • Compensation paid for employees engaged in grant activities must be consistent with that paid for similar work within the applicant organization. Name/Position
Computation
Cost
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B. Fringe Benefits • Fringe benefits should be based on actual known costs or an established formula. • Fringe benefits are for the personnel listed in budget category (A) and only for the percentage of time devoted to the project.
Name/Position
Computation
Cost
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C. Travel • Itemize travel expenses of project personnel by purpose (e.g., staff to training, field interviews, advisory group meeting, etc.). • Show the basis of computation (e.g., six people to 3-day training at $X airfare, $X lodging, $X subsistence). • Meals associated with travel should be listed separately. • Identify the location of travel, if known. • Indicate source of travel Policy applied, applicant or Federal Travel Regulations. Purpose of Travel Location Item Computation Cost 14
D. Equipment • List non-expendable items that are to be purchased. Non-expendable equipment is tangible property having a useful life of more than two years and an acquisition cost of $5,000 or more per unit. • Applicants should analyze the cost benefits of purchasing versus leasing equipment, especially high cost items and those subject to rapid technical advances. Note: An organization’s own capitalization policy may be used for items costing less than $5,000.
Item
Computation
Cost 15
E. Supplies • List items by type (office supplies, postage, training materials, copying paper, etc.) and show the basis for computation. • Generally, supplies include any materials that are expendable or consumed during the course of the project. Supply Items
Computation
Cost
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F. Construction • As a rule, normally construction costs are not allowable. • In some cases, minor repairs or renovations may be allowable. • Check with the program office before budgeting funds in this category. Purpose
Description of Work
Cost
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G. Consultants/Contracts • Indicate whether you will follow your organization’s formal, written procurement policy or the Federal Acquisition Regulations. Consultant Fees: • For each consultant enter the name, if known, service to be provided, hourly or daily fee (8-hour day), and estimated time on the project. Consultant fees in excess of $650 per day require additional justification and prior approval from OJP. Computation
Cost
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G. Consultants/Contracts (continued) Contracts: • Provide a description of the product or service to be procured by contract and an estimate of the cost. • Applicants are required to promote free and open competition in awarding contracts. • A separate justification must be provided for Sole Source contracts in excess of the Simplified Acquisition Threshold (currently $150,000). Item
Cost
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G. Subawards/Subrecipients (continued) Subawards: • A subaward is not a contract. • The purpose of a subaward is for carrying out a portion of a Federal award and creates a Federal assistance relationship. • The legal agreement can be drafted in any form to include an agreement that the pass-through entity considers a contract. • The subaward agreement must clearly identify the Federal award information, compliance requirements and any special conditions. Item
Cost 20
H. Other Costs • List items by major type and the basis of the computation (e.g., rent, reproduction, telephone, janitorial or security services, and investigative or confidential funds). • For example, provide the square footage and the cost per square foot for rent, or provide a monthly rental cost and how many months to rent. Description
Computation
Cost
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I. Indirect Costs • Indirect costs are allowed when the applicant has a Federally approved indirect cost rate. A copy of the current approved rate must be attached (fully executed, negotiated agreement). • If an applicant has never received a negotiated indirect cost rate the applicant may elect to charge a “De Minimis” rate of 10% of modified total direct costs (MTDC). • Costs must be consistently charged as either direct or indirect – (not both). Description
Computation
Cost 22
Match
JMHCP is an 80/20 split: 80% federal and 20% match
Award Amount % of Federal share Adjusted Project Cost
= Adjusted Project Cost
x Recipient’s = Required Share Match
Ex: Federal Amount = $80,000 80/20 Match $80,000 = $100,000 Adjusted Project Cost 80% $100,000 X 20% = $20,000 Required match
1 200,000 ÷ 80% = 250,000 250,000×20% = −50,000 200,000 2 75,000÷ 80% = 93,750 93,750×20% = −18,750 75,000
3 300,000÷ 80% = 375,000 375,000×20% = −75,000 300,000
Budget Narrative • The Budget Narrative should be as clear and detailed as possible. • It should tell why the funding is essential to implementing your program. Ø Purpose Ø Process Ø Outcome
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Budget Clearance Issues
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Ten Top Reasons Budgets Don’t Clear 1. The budget detail worksheet is missing 2. The budget detail worksheet computations are incorrect 3. The required match percentage has not been met nor source identified, if applicable 4. Unallowable costs are included in the budget detail worksheet 5. Required cost breakdown by categories has not been included
Ten Top Reasons Budgets Don’t Clear 6. Incomplete budget narrative 7.
Financial Management and Internal Control Questionnaire form (FMICQ) has not been submitted (all OJP applicants)
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Prior budget did not clear (applies to supplemental awards)
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A current Federally approved indirect cost rate negotiated agreement has not been submitted
10. Responses to the initial budget financial review memo were insufficient
Supplanting • DOJ funds must be used to supplement existing funds for program activities and may not replace (supplant) non-federal funds that have been appropriated for the same purpose. • Federal funds must be used to increase the amount of funding that otherwise would be budgeted for stated purposes in the absence of DOJ funding.
Supplanting EXAMPLE: Personnel and fringe are most often involved in potential supplanting Funds are appropriate for a stated purpose and Federal funds are awarded for that same purpose. The agency then replaces its funds with Federal funds, thereby reducing the total amount available for the stated purpose. The result is supplanting.
Changes to the Award GRANT ADJUSTMENTS NOTICE Ø 10% Deviation from Total Award $$ (does not apply to grants $150K or less) Ø Change in Scope of Project Ø Change in Project Period (no cost extension) Ø Retire Special Conditions
Changes to the Award GRANT ADJUSTMENTS NOTICE Ø Ø Ø Ø Ø
Charge to indirect cost amount (up or down) Change of authorized signing official Change in mailing address Change in organization name Prior Approval of grant costs
Pass-through Entity Responsibilities • Must have established written policies and procedures for subrecipient monitoring. • Evaluate each subrecipient’s risk for non-compliance with Federal statutes, regulations and term and conditions of the subaward. • Advise of any supplemental requirements imposed by the pass-through entity. • Report subawards of 25K or more in the Federal Funding Accountabiltiy and Transparency Act (FFATA) Subaward Reporting System (FSRS) within 30 days of making a subaward.
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Reporting Requirements REPORT FFR/SF-425
SYSTEM Grants Management System (GMS)
Federal Financial Report
Progress Reports
Grants Management System (GMS)
Program/Project Activity Reports
Performance Measures
Performance Measurement Tool (PMT) Grants Management System (GMS)
Grant Closeouts • Award recipients have 90 days after the end date of the award to close out the award. • If not closed by recipient within 90 days the awarding agency will perform an administrative closeout on the 91st day. • Recipients will receive (4) reminder notifications in GMS to closeout their grant.
Grant Closeouts The 5 Closeout Requirements: Ø Final Progress Report Ø Final Federal Financial Report (FFR) Ø Special Condition Compliance Ø Financial Reconciliation Ø Programmatic Requirements Certification
Guidance for Award Recipients: Grantees
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Your application has gone through the review process and you have just been approved for an award. The next step in this process is award notification. • GMS automatically issues the notifications at 9:00 p.m. ET on the award date. The email notification includes detailed instructions on how to access and view the award documents and how to accept the award in GMS. • You have 45 days from the award date to accept the OJP award document or the award may be rescinded. • To accept an award from OJP or, you must log into GMS and designate a Financial Point of Contact (FPOC). You can find instructions for designating 38 a FPOC in the GMS User Guide.
Immediate Post Award Actions • Carefully Read All Special Conditions • Make note of programmatic and financial withholdings • Any questions should be directed to Program Manager or Policy Advisor • Should not incur or expend funds prior to start date without prior approval • Become familiar with the DOJ Grants Financial Guide: http://ojp.gov/financialguide/DOJ/pdfs/2015_DOJ_FinancialGuide.pdf • Both the General and Financial Point of Contact need to complete a financial training within the first 120 days of grant: https://grants.ojp.usdoj.gov/gmsexternal/gmsHelp/index.html
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Communication: Getting to the Right People, the Right System, Submitting What is Needed Ø Ø Ø Ø Ø
GMS TTA Provider BJA Program Managers BJA Policy Advisors Other Helplines and Resources
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Using GMS and Contacting Your Program Manager
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Using Grants Management System (GMS) Grants Management System (GMS) is a web-based, data-driven computer application that provides support for the application, award, and management of grants at OJP. It consists of the following modules: PRE-AWARD Ø Applications Ø Award Processing Ø Peer Review POST-AWARD Ø Grant Adjustment Notice (GAN) Ø Financial Reporting Ø Progress Reporting Ø Monitoring Ø Closeouts
The GMS User Guide. Who do I contact for assistance in using the Grants Management System? Contact the GMS Help Desk from 7 a.m. to 9 p.m. (Eastern Time). Phone: 1-888-549-9901 (choose option 3) E-mail: GMS.HelpDesk@usdoj.gov
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Grant Adjustment Notices (GANs) Available in GMS 1. 2. 3. 4. 5.
Program Office Approval Change in Scope of Work Budget Modification Point of Contact Change Change of Project Period (NCE)
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Activities or Special Conditions That Need Additional BJA Approval • Publication approval • Conferences, Trainings and Other Meetings • See 41 CFR § 300-3.1; 2 CFR § 200.432
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BJA Programs Office: Contacting your Program (State Policy Advisor) Manager Ø Budgets Ø Reports (programmatic: quarterly or semi-annual reports) Ø GANs Ø Closeouts (mentioned earlier) Programs Office: Primary contacts are Nikisha Love and Veronica Munson, who can be consulted on all fiscal, budget, and reporting matters having to do with your grant. 45
BJA Policy Office • BJA’s Mission: to provide leadership and services in grant administration and criminal justice policy development to support local, state, and tribal justice strategies to achieve safer communities. • The justice system policy division of BJA overseas the justice and mental health portfolio and guides justice and mental health policy that supports evidence based practices • Answers programmatic and policy questions related to justice and mental health.
https://www.bja.gov/
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BJA Policy Office • • • • • • • •
Policy Leadership Focus on What Works/Evidence-Based Approaches (RNR) Grant Making Technical Assistance Curriculum Development and Delivery Moving the Field Forward with Translation of Research Public/Private Partnerships National Resource Centers to assist
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Technical Assistance Provided to JMHCP Grantees: How Can Your TA Provider Help?
Who is the TTA Provider for The Justice and Mental Health Collaboration Program? The Council of State Governments Justice Center (CSG Justice Center) • A non-profit that has been contracted by BJA to provide training and technical assistance (TTA) to all grantees to help them achieve the goals and objectives of their grants. • Each grantee is assigned a technical assistance (TA) coordinator who will work with award recipients over the duration of the grant program. 49
National nonprofit, nonpartisan membership association of state government officials Represents all three branches of state government Provides practical advice informed by the best available evidence
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Technical Assistance Activities Monthly phone calls Site Visits
Peer Learning Opportunities
Resource Sharing
Webinars Expert Trainings Council of State Governments Justice Center | 51
Grantee Orientation and National Events
How can your Technical Assistance (TA) Provider Help? Planning and implementation of your grant, and other “content” questions: Contact CSG Justice Center and your TTA coordinator. They can answer questions about: • Planning& Implementation Guide • Getting Started and Identifying Goals • Defining or Refining Your Target Population • Identifying Evidence-Based Services and Support • Effective Planning and Support Services • Data Collection, Performance Measurement, and Program Evaluation • Sustainability • Supporting Resources 53
BJA Performance Management: Performance Measure to Action
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BJA Performance Measurement Tool (PMT): Data Collection
PMT Reporting Schedule üQuarterly: § You are required to enter data for program performance measures in the PMT every 3 months. § You have 30 days after the end of the reporting period to enter the data. § You are encouraged to create a report for your records after each quarter’s data entry.
üSemiannually: § You are required to answer seven narrative questions for the previous 6 months of activity (January–June and July–December) in the PMT. You must submit a report from the PMT to BJA as an attachment to your Progress Report through the GMS.
üCloseout: § You are required to answer the narrative questions for the previous months of activity since your last PMT report submission to the GMS. 57
§ You are required to submit a PMT Final Report to BJA as an attachment to the Final Progress Report through the GMS.
PMT Reporting Schedule
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PMT Due Date
Upload to GMS? When?
Reporting Period
Type of Data Required
January 1–March 31
Program Performance Measures
April 30
No
April 1–June 30
Program Performance Measures and Narrative
July 30
Yes July 30
July 1–September 30
Program Performance Measures
October 30
No
October 1–December 31
Program Performance Measures and Narrative
January 30
Yes January 30
Questions and Answers
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Question and Answer Session • Please type your question into the Q&A box at the lower right hand corner of the screen.
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References • Grants Management System (GMS)
• GMS: https://grants.ojp.usdoj.gov • GMS Helpdesk: 888-549-9901 (option 3) • OCFO Customer Service: 888-549-9901 (option 2)
• Performance Measurement Tool (PMT)
• PMT Web Site: https://www.bjaperformancetools.org • Webinar trainings, performance measure grids/questionnaires, user guides, FAQs, and helpful links • PMT Help Desk: • Monday–Friday 8:30 a.m.–5:30 p.m. EST • E-mail: bjapmt@csrincorporated.com
• Federal Reporting.gov Helpdesk:
• 1-877-508-7386 or email: Support@FederalReporting.gov
• Indirect Cost References:
• https://ojp.gov/funding/Apply/Resources/IndirectCosts.pdf • https://ojp.gov/financialguide/DOJ/Appendices/glossary.htm#c 61
Bureau of Justice Assistance Maria Fryer Maria.Fryer@usdoj.gov 202-514-2000 Veronica Munson Veronica.Munson@usdoj.gov 202-514-9537 Nikisha Love Nikisha.Love@usdoj.gov 202-616-8241 Office of Justice Programs Michael Williams Michael.Williams4@ojp.usdoj.gov
The Council of State Governments Justice Center Sarah Wurzburg swurzburg@csg.org 646-383-5765 Cynthea Kimmelman-DeVries Ckimmelman-devries@csg.org 646-383-5757 CSR, Inc. Vanessa Cunningham West Vanessa.C.West@usdoj.gov 202-307-1441 62
Thank You! The webinar recording and PowerPoint presentation will be available on http://csgjusticecenter.org/mental-health/ within a few days. This material was developed by the presenters for this webinar. Presentations are not externally reviewed for form or content and as such, the statements within reflect the views of the authors and should not be considered the official position of the Bureau of Justice Assistance, Justice Center, the members of the Council of State Governments, or funding agencies supporting the work.
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