2012 WC Compliance

WebinarApril 23, 2014

MO Department of Public Safety

Eric Shepherd, Program ManagerP: (573) 751-5997E: eric.shepherd@dps.mo.gov

Heather Haslag, Assistant Program Manager P: (573) 751-1318E: Heather.Haslag@dps.mo.gov

Main Phone: (573) 751-4905

Fax Number: (573) 522-1908

Address:MO Department of Public SafetyAttn: CJ/LEPO Box 7491101 Riverside DriveJefferson City, MO 65102

MO DEPARTMENT OF PUBLIC SAFETYCRIMINAL JUSTICE/LAW ENFORCEMENT UNIT

CONTACT INFORMATION

OUTLINE FOR TODAY

1. General Grant Information2. Budget Costs3. Administrative & Financial Guidelines4. Civil Rights Compliance5. Reporting Requirement6. Monitoring7. WebGrants 8. Questions?

GENERAL GRANT

INFORMATION

BACKGROUND• According to the Innocence Project, over 25% of wrongful

convictions overturned by DNA evidence in the U.S. have involved some form of false confession

• Missouri mandated the recording of custodial interrogations under Section 590.700 RSMo in 2009

• Agencies struggle with the cost of the recording equipment

• Provides an avenue of funding to be used to purchase recording equipment to implement programs to record custodial interrogations

FUNDING

• Awarded to Missouri by the U.S. Department of Justice (DOJ), Office of Justice Programs (OJP)

• One-time funding source provided through federal Byrne/JAG program

• FY 2012 = $55,000 award– 90% program = $49,500– 10% admin = $5,500– interest bearing account

GENERAL GRANT GUIDELINES

• Contract Period: April 1, 2014 to December 31, 2014 – 8 Month Project Period

• Local Match Requirement: 0%

• Eligible Budget Category:– Personnel & Personnel Benefits– Personnel Overtime & Personnel Overtime Benefits– Travel/Training– Equipment– Supplies/Operations– Contractual

SOURCE OF INFORMATION• DPS Website: www.dps.mo.gov/dir/programs/cjle/jag.asp

– WC Compliance Training– DPS Financial & Administrative Guidelines

• WebGrants: https://dpswebgrants.dps.mo.gov– Opportunity (Funding Opportunity)– Solicitation– Certified Assurances

• 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/

BUDGET COSTS

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

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!

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

TRAVEL/TRAINING COSTS cont’d• 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.

Note the change in state website!

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

EQUIPMENT COSTS• Must adhere to most restrictive procurement policy

• Equipment must be tagged and identifiable for its source of funds (where feasible)– “Purchased with 2012 JAG/WC Funds”– Contract Number (e.g. 2012-JAG-WC-001)

• Must maintain an inventory control listing– Item Description– Source of Property (General Revenue, 2012 WC Grant)– Manufacturer’s Serial Number and/or Model Number– Acquisition Date– Total Cost– Location, Use, and Condition of Property– Disposition Date– Disposition Method (e.g. trash, sale, trade)

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

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

ADMINISTRATIVE AND

FINANCIAL GUIDELINES

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.

FUNDS

• Contractors must report actual cash expenditures and any program income/interest that was earned

• Expenditures will be reported through as a “Claim”

• Funds must be obligated within the contract period and expended within 60 days following the contract period end date– Contract Period: April 1, 2014 to December 31, 2014– 60 days following: March 1, 2015

• 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 (e.g. purchase order date)

• Funds are expended when payment is made.

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

PROCUREMENTAll 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 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 purchases to a single

vendor in 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 does not constitute prior approval; must obtain separately

State Procurement Policy:• Purchases to a single vendor costing less than $3,000 may be purchased with prudence on the open

market• Purchases to a single vendor costing between $3,000 but less than $25,000 must be competitively bid,

but need not be solicited by mail or advertisement• Purchases to a single vendor 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

CONTRACT RECORDS• Establish and maintain accurate financial records and an adequate accounting

system.

• Records must be retained for a period of 5 years starting from the date of submission of the Status Report or from the date of submission of the audit for the contract period covered, whichever comes later.

• Records must be retained beyond a 5 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.

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 5 years after final disposition of property

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!

AUDIT REQUIREMENTS cont’d

• Since the grant was not awarded as a result of an application, grantees must submit to DPS no later than Friday, May 16, 2014:– Last Audited Period– Date Last Audited Completed– Name of Auditor/Company– Federal Amount Expended (during last audited period)– State Amount Expended (during last audited period)

• 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

PRINTING AND PUBLICITY

• BJA and DPS encourage recipients of federal funding to share success stories of their project– Award of funding– Major cases/investigations– Improvements in services provided as a result of equipment purchases

• Agencies are required to disclose of the source of their funding with language such:

Funding for this project made available by the Edward Byrne Memorial Justice Assistance Grant (JAG), which is administered by

the U.S. Department of Justice, Bureau of Justice Assistance and the State of Missouri, Department of Public Safety

CIVIL RIGHTS COMPLIANCE

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

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)

EQUAL EMPLOYMENT OPPORTUNITY PLAN (EEOP)

• U.S. Department of Justice (DOJ), Office of Justice Programs (OJP) & COPS• 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 for Civil Rights (OCR)– EEOP and Certification Form are both effective for 2 years

• Should be prepared by the recipient of the federal funding (county, city, state department)

• http://www.ojp.usdoj.gov/about/ocr/eeop.htm– Sample policies available for your perusal

Not the same as an EEO4, which is required by the U.S. Equal Employment Opportunity Commission.

EEOP cont’d

“EEOP” – COVER PAGE

Date-stamped when prepared

SAMPLE COVER

SHEET

“EEOP” – PAGE 2SAMPLE

Pass-thru awards from state agency will ask

for the State Granting Agency’s information

• Must list every active award from DOJ monies

• Must properly identify whether the award was direct from DOJ or a pass-thru from a state agency

Direct awards from DOJ will ask for the DOJ Grant Manager

“EEOP CERTIFICATION FORM”SAMPLE

• Must complete this form for every active award from DOJ monies

• Completed form includes the header and one of the sections (but not all three)

• Emailed to OCR per the instruction page

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

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 for Civil Rights (OCR)

Missouri Department of Public SafetyAttn: Director of Public SafetyPO Box 7491101 Riverside DriveJefferson City, MO 65102

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

• Individuals with hearing impairment• Individuals whose primary language is not English

• 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 policies, go to http://www.ojp.usdoj.gov/about/ocr/lep.htm

REPORTING REQUIREMENT

REPORTING REQUIREMENT - CLAIM• Must report actual expenditures for reimbursement• Submitted via the “Claims” component of WebGrants

• Funds must be obligated no later than December 31, 2014• Funds must be expended no later than March 1, 2015

• 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– JAG/WC Prefix Payment Code = PG029

CLAIM REPORT SCHEDULEClaim ID Number Reporting Period Due Date

001 04/01/2014 – 04/30/2014 5/12/14

002 05/01/2014 – 05/31/2014 6/10/14

003 06/01/2014 – 06/30/2014 7/10/14

004 07/01/2014 – 07/31/2014 8/11/14

005 08/01/2014 – 08/31/2014 9/10/14

006 09/01/2014 – 09/30/2014 10/10/14

007 10/01/2014 – 10/31/2014 11/10/14

008 11/01/2014 – 11/30/2014 12/10/14

009 12/01/2014 – 12/31/2014 1/12/15

010 (if applicable) 01/01/2015 – 01/31/2015 2/10/15

011 (if applicable) 02/01/2015 – 02/28/2015 3/10/15

MONITORING

MONITORING• CJ/LE will conduct monitoring of the project to ensure

compliance with state and federal 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 to the agency’s office to review policies,

receipts, and other records

• 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 the cancellation of the contract and/or action to recoup any funds disbursed to the agency

MONITORING CHECKLIST – STATE STATUTES FOR LE AGENCIES

• Section 43.505 RSMo - Monthly Uniform Crime Reporting (UCRs)– DPS will verify with MSHP on monthly compliance

• Section 590.650 RSMo - Annual Racial Profiling Reporting– DPS will verify with the Attorney General’s Office on annual compliance

• Section 513.653 RSMo - Annual Federal Forfeiture Report– DPS will verify internally on annual compliance, where applicable

• Section 590.700 RSMo - Recording of Custodial Interrogations– Must present DPS with a copy of the department’s written policy

• Section 577.005 RSMo - Forwarding Intoxication-Related Offenses– Must present DPS with a copy of the department’s written policy

MONITORING CHECKLISTThe following items will be reviewed and/or discussed:

• FISCAL– Invoices/receipts from vendor (submitted with Claim Report)

– Proof of Payment (submitted with Claim Report)

– Bid/quote records, where applicable– Sole source letters, where applicable (submitted as Correspondence)

• PROGRAMMATIC– Inventory control listing for equipment– Tags/labels on equipment– Local procurement/purchasing policy– Internal controls

MONITORING CHECKLIST – FEDERAL CIVIL RIGHTS

• Equal Employment Opportunity Plan (EEOP)– Is your agency required to prepare an EEOP?– If your agency is not required to prepare an EEOP, has your agency

completed Section A of the Certification Form and submitted such form to OCR?

– 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 but is not required to submit the EEOP to OCR, has your agency completed Section B of the Certification Form and submitted such form to OCR?

– 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 submit the EEOP to OCR, has your agency also completed Section C of the Certification Form and submitted such form to OCR?

MONITORING CHECKLIST – FEDERAL CIVIL RIGHTS cont’d

• 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?

• 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?

MONITORING CHECKLIST – FEDERAL CIVIL RIGHTS cont’d

• 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, resources for hearing impaired individuals, 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

(e.g. video and/or trainer; at the time of hire, annually, bi-annually, etc)?

MONITORING CHECKLIST – STATE CIVIL RIGHTS

• Section 213.055 RSMo – Unlawful Employment PracticesFor 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 AccommodationsFor 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?

WEBGRANTShttps://www.dpsgrants.dps.mo.gov

WEBGRANTS HOME SCREEN

Returning Users or Organizations:enter UserID and Password

For New Organizations only!

DEMO SCREENSHOT

WEBGRANTS - MAIN MENU

• Grantee Instructions: general instructions and navigational aids• My Profile: maintain contact information, reset password, & add users• Funding Opportunities: displays posted program funding opportunities • My Applications: displays previously created applications for the user’s organization• My Grants: displays awarded grants for a user’s organization

DEMO SCREENSHOT

‘MY PROFILE’ MODULE1. Maintain profile and contact information

2. Maintain organization’s information– Do not change the Applicant Agency name though

3. Add additional registered users– Add only if individual is not already a registered user

– Notify DPS to add if individual is already a user associated with a different grant– Notify DPS via the “Correspondence” component of WebGrants if you add a new

individual; must use the Change of Information Form

4. Remove registered users– Notify DPS via the “Correspondence” component of WebGrants if you need an

individual removed; must use the Change of Information Form– Do not delete a registered user yourself; the individual is not automatically

removed from the General Information form as a grantee contact or from the Distribution List

CLARIFICATION OF ALERTS & NOTIFICATIONS

• Two types of notifications:– Automated alerts triggered on application and grant phases (e.g. status change,

submission, negotiation, approval, not approved)– Mass distribution list emails from DPS staff (e.g. reminders, updates, training

notices)

• Alerts/Notifications are sent from dpswebgrants@dps.mo.gov– Add to safe sender list or a contact list to avoid being treated as junk/spam– Do not overlook these alerts as they can contain important and time-sensitive

information

• While the record is in the “My Grants” module, the Primary Contact and Additional Grantee Contacts, as applicable, receive system-generated alerts

STATUS OVERVIEWMy Applications:• Submitted – application has been submitted by the grantee• Under Review – application has been assigned for review• Correcting – application is being edited by the grantee• Approved – application has been approved, following any necessary revisions by the grantee• Awarded – award of contract documents being signed by grantee and grantor

My Applications – Archived Applications:• Editing – application was initiated but never submitted prior to the close of the funding

opportunity• Withdrawn – application has been withdrawn from consideration by the grantor (upon

request) or grantee

My Grants:• Underway – application officially becomes a grant• Suspended – grant has been “frozen” due to delinquent reporting and/or inappropriate

activities

My Grants – Closed Grants:• Closed – grant has been closed by grantor

WC GRANT COMPONENTS1. General Information2. Contact Information3. Budget4. Claims5. Correspondence6. Contract Adjustments7. Contract Adjustment

Notices8. Site Visits9. Award Documents –

Final10. Award Documents –

Need Signatures11. Attachments12. Closeout13. Opportunity14. Application

DEMO SCREENSHOT

DEMO SCREENSHOT

COMPONENT #1: GENERAL INFORMATION

GENERAL INFORMATION• Contains information relating to your contract• Identifies your Primary Grantee Contact and Additional Contacts• Identifies your DPS Internal Contact (a.k.a. Additional Internal Contacts)

If someone is a registered user with your organization but is not listed here, contact DPS via the “Correspondence” component!

They are not receiving alerts!

Check this form now…and after any change of informations!!

DEMO SCREENSHOT

COMPONENT #2: CONTACT INFORMATIONDEMO SCREENSHOT

CONTACT INFORMATION• Copy of the “Contact Information” form completed by DPS

from information provided by the granteeDEMO SCREENSHOT

CONTACT INFORMATION cont’d• If changes need to be

made to the Contact Information component any time during the contract period, need to submit a Change of Information Form to your Internal Contact via the “Correspondence” component of WebGrants, within a timely manner.

• DPS will make the changes based on your email and let you know when such has been completed.

COMPONENT #3: BUDGETDEMO SCREENSHOT

BUDGET• Copy of the “Budget” form completed by DPS based on

information provided by the granteeDEMO SCREENSHOT

If you would like to revise

the budget, you must submit a

budget revision request via the

Contract Adjustment

component no later than

November 30, 2014.

COMPONENT #4: CLAIMSDEMO SCREENSHOT

CLAIMS

• Must submit a claim report for each month of the contract period until your grant is closed

• Claim reports can be negotiated by DPS if determined revisions are necessary

• If DPS adjusts the claim (or has to make adjustments that do not affect the overall reimbursement amount), a comment will be displayed in the Feedback feature - - check this!

• If you determine that revisions are necessary once the report has been submitted, contact your DPS Internal Contact to unlock the specified report

CLAIMS COMPONENTS

There are 5 components to the Claim:

1. General Information: used to identify the reporting period and the type of report

2. Reimbursement: used to identify the Federal Share per budget line; the totals are aggregate totals from the ‘Detail of Expenditure’ form

3. Detail of Expenditure: used to identify the pay check number, pay date, payee, description, total cost, percent of funding requested, and amount claimed to grant for reimbursement per cost activity

4. Program Income: used to identify any monies earned and/or expended as a result of the grant-funded project

5. Attachments: used to upload copies of documentation to support the expenditures

CLAIMS SCREEN

To create a new claim, click “Add”

Created claims will be listed below

CLAIMS – FORM #1 - GENERAL INFORMATION

1. In the Claim Type drop-down box, select “Monthly”2. In the Report Period boxes, enter the date range for the month

• This date range does not limit you to claim expenses only for this period!!

3. Leave the Invoice Number box blank – not a state agency4. For the Is This Your Final Report? field, select the radio button for Yes or No5. Click “Save” when complete6. Review for accuracy7. Click “Return to Components” when complete

CLAIMS – FORM #2 - REIMBURSEMENT1. Complete the columns

based on your totals from the Detail of Expenditure form (form #3)

– Expenses This Period – total to be claimed for reimbursement for the reporting period

2. Click “Save” when complete

3. Review for accuracy

4. Click “Mark as Complete”

5. Click “Return to Components” when complete

The Budget Category, Details, and Contract Budget pull directly from the “current” version of

the Budget form.

CLAIMS – FORM #3 – DETAIL OF EXPENDITURE

1. Download the Detail of Expenditure form from the Instructions

2. Complete the form as appropriate

3. Save the form on your computer

4. Navigate back to this WebGrants component

5. Select the blue hyperlink under the “Attachment” column

6. Browse for the file on your computer

7. Enter a Description8. Click “Save”9. Click “Mark as

Complete”

CLAIMS – FORM #3 - DETAIL OF EXPENDITURE

(example)

• Pay Date: enter the date of expenditure

• Check #: enter the check number, where available. If payroll is direct deposited, enter DD. If the expenditure is paid via electronic transfer, enter EFT.

• Payee: enter to whom the check was paid or the expenditure made

• Description: enter a brief description of the expenditure, with any identifying information

• Gross Pay/Actual Amount: enter the full total of the expense

• % of Funding Requested: enter the percentage of funding for which reimbursement is requested

• Budget Categories: enter the amount to be claimed under the appropriate budget category

CLAIMS – FORM #3 – DETAIL OF EXPENDITURE cont’d

• Do not alter the format, borders, page orientation, margins, etc of this form!– Do a print preview before you attach to ensure the sheet(s) will print on 1

page.

• Multiple tabs have been created to allow for extra rows– Do not add rows to add more room.– Do not delete rows and make the form smaller either.

• Do not change the formulas that have been set-up for the “Page Totals”– Use the lower right-hand corner Page Total to ensure your Reimbursement

figures equal your Detail of Expenditure figures.

CLAIMS – FORM #4 – PROGRAM INCOME

1. Complete the form as applicable

– Balance Prior to Reporting Period: total amount or account balance of program income as of the close of business the day before the reporting period

– Earned This Reporting Period: program income earned during the reporting period (or interest earned on program income in an interest-bearing account)

– Expended This Reporting Period: program income (or interest earned) spent during the reporting period

2. Click “Save”

3. Click the green arrow to attach documentation of expenses, as applicable

4. Click “Mark as Complete”

CLAIMS – FORM #5 – ATTACHMENTSTo attach supporting documentation:

1. Click “Add”2. Browse for the document

on your computer3. Enter a short, but

meaningful, description4. Click “Save”

To delete supporting documentation:

5. Click the blue hyperlink under “Description”

6. Click “Delete”7. Click “OK” to the dialog

box

When finished or if you have no supporting documentation to provide:

8. Click “Mark as Complete”

Required Attachments:1) Copy of Invoice/Receipts for all costs

• Training: must be supported by a “Certificate of Attendance” or a letter or memo if a certificate was not presented to the attendee(s).

• Equipment: must be supported by a copy of the invoice or receipt from the vendor. Quotes, packing slips, and statements will not be accepted.

2) Copy of Check to Vendor for all costs

CLAIMS – PREVIEW/PRINT/SUBMIT

• Multiple individuals can work on the claim – but they cannot be in the same form at the same time!

• A form can still be edited even if it is “marked complete”.• The claim cannot be submitted until each form is “marked complete”.• A confirmation screen will appear and a confirmation email will be sent to all grantee contacts

once the Claim is submitted.

COMPONENT #5: CORRESPONDENCEDEMO SCREENSHOT

CORRESPONDENCE• For use in communicating to DPS matters of:

– Adding/deleting additional registered users• Must complete Change of Information Form and attach to email.

– Changes to the “Contact Information” form• Must complete Change of Information Form and attach to email.

– Requesting sole source procurement approval• Send rationale for sole source procurement and a copy of the sole source certification/letter from

the vendor, where applicable.• Remember, approval during the application does not constitute prior approval for sole source

procurements.

– Submitting a copy of the organization’s audit• Organization that have expended $500,000 or more in federal funds within the organization’s fiscal

year are required by grant guidelines to receive an independent audit and to submit a copy of such audit to DPS.

– Notifying of changes in your budget that would not require a revision• Change in where training will be hosted

CORRESPONDENCE SCREEN

To create a new email, click “Add”

Created emails will be listed below

DEMO SCREENSHOT

SENDING A CORRESPONDENCE1. Select “Add”

2. In the “To” drop-down list, select the individual(s) you wish to send the email to (hold CTRL on your keyboard and click with your mouse to select multiple names)

3. In the “CC” line, enter the email address of any additional contact(s)4. Type your message in the “Message” box5. In the “Attachments” field, browse for the attachment(s), as applicable6. Click “Send” when completed

DEMO SCREENSHOT

REPLYING TO A CORRESPONDENCE1. Select the email in the “Subject” column; a copy of the email will pre-populate2. Select “Reply”

3. In the “To” drop-down list, select the individual(s) you wish to send the email to (hold CTRL on your keyboard and click with your mouse to select multiple names)

4. In the “CC” line, enter the email address of any additional contact(s)5. Place your cursor at the start of the “Message” box and type your reply message6. In the “Attachments” field, browse for the attachment(s), as applicable7. Click “Send” when completed

Do not click “Reply” in your email client;

it will reply the message to the

identified sender (dpswebgrants@dps.mo.gov).

DEMO SCREENSHOT

COMPONENT #6: CONTRACT ADJUSTMENTDEMO SCREENSHOT

CONTRACT ADJUSTMENTS - TYPES

1. Program Revisions (should not occur)

• Change in legal name of your applicant agency• Change in project site or service area• Other changes that may affect the approved program

2. Budget Revisions• Need to add a line item that doesn’t exist in your current budget• Want to purchase a larger quantity of an item than what is

approved in your current budget• Increase in more than 10% of a budget line cost• Removal of a line to reallocate funds to other lines (not even

necessary)

CONTRACT ADJUSTMENTS - STEPS

1. You will add, complete, and submit the Contract Adjustment via WebGrants2. DPS will review the Contract Adjustment (will negotiate back if necessary)3. DPS will negotiate (unlock) the Budget form if the Contract Adjustment is

allowable4. You will then need to log in to WebGrants and make the necessary changes

to your Budget and re-submit the revised Budget form for final approval5. DPS will review the entire revision, generate a Contract Adjustment Notice,

and submit to the Deputy Director of DPS for final approval6. Once approved, DPS will upload a scanned copy of the signed Contract

Adjustment Notice into WebGrants, change the status of the Contract Adjustment to “Approved”, and mark the revised Budget as the “Current Version”

Should be submitted at least 30 days prior to the proposed change! Must be submitted no later than November 30, 2014!

CONTRACT ADJUSTMENTS SCREEN

DEMO SCREENSHOT

To create a new

Contract Adjustment, click “Add”

Created Contract Adjustments will be listed below

CONTRACT ADJUSTMENTS – FORM #1 – GENERAL INFORMATION

1. In the Contract Amendment Type drop-down box, select “Budget Revision” or “Program Revision”

2. Click “Save” when complete3. Review for accuracy4. Click “Return to Components” when complete

DEMO SCREENSHOT

CONTRACT ADJUSTMENTS – FORM #2 – JUSTIFICATION

1. Explain the proposed change and why you are requesting a budget revision

2. Click “Save” when complete

3. Review for accuracy

4. Click “Mark as Complete”

Avoid providing dollar amounts; focus on the highlights of the changes and the reason for the changes.

DEMO SCREENSHOT

CONTRACT ADJUSTMENTS – FORM #3 – BUDGET

1. Enter the “Current Budget” and “Revised Amount” for the Equipment category and for the Federal/State and Local Match Share sections

2. Click “Save” when complete

3. Review for accuracy

4. Click “Mark as Complete”

NOTE: There may or may not be a net change as a result of the

revision.

DEMO SCREENSHOT

CONTRACT ADJUSTMENTS – FORM #4 – CONFIRMATION

1. Enter the Name and Title of the Authorized Official, as identified on the “Contact Information” form

2. Click “Save” when complete3. Review for accuracy4. Click “Mark as Complete”

DEMO SCREENSHOT

CONTRACT ADJUSTMENTS – FORM #5 – ATTACHMENTS

Possible attachment (not even required):• Vendor quote

To attach supporting documentation:

1. Click “Add”2. Browse for the document

on your computer3. Enter a short, but

meaningful, description4. Click “Save”

To delete supporting documentation:

5. Click the blue hyperlink under “Description”

6. Click “Delete”7. Click “OK” to the dialog

box

When finished or if you have no supporting documentation to provide:

8. Click “Mark as Complete”

DEMO SCREENSHOT

CONTRACT ADJUSTMENTS – PREVIEW/PRINT/SUBMIT

• Multiple individuals can work on the contact adjustment – but they cannot be in the same form at the same time!

• A form can still be edited even if it is “marked complete”.• The contract adjustment cannot be submitted until each form is “marked complete”.

DEMO SCREENSHOT

COMPONENT #7: CONTRACT ADJUSTMENT NOTICES

DEMO SCREENSHOT

CONTRACT ADJUSTMENT NOTICES

• Final signed Contract Adjustment Notices will be uploaded here for your grant records

DEMO SCREENSHOT

COMPONENT #8: SITE VISITSDEMO SCREENSHOT

SITE VISITS

• The site visit monitoring report will be displayed once the status is “approved”

• Click the blue hyperlink in the ID column to open the site visit report

DEMO SCREENSHOT

COMPONENT #9: AWARD DOCUMENTS - FINAL

DEMO SCREENSHOT

AWARD DOCUMENTS – FINAL• Contains the signed, final award of contract documents• Click the blue hyperlink in the File Name column to open the file

DEMO SCREENSHOT

COMPONENT #10: AWARD DOCUMENTS – NEED SIGNATURES

DEMO SCREENSHOT

AWARD DOCUMENTS – NEED SIGNATURES• Contains the award of contract documents to be signed by

the Authorized Official and the Project Director• Once obtained, signed, and returned, disregard this

component

DEMO SCREENSHOT

COMPONENT #11: ATTACHMENTSDEMO SCREENSHOT

ATTACHMENTS• Allows the grantee or DPS staff to attach files to the grant

record in WebGrants

NOTE: DPS staff do not get notified when a file is attached to this component! Can use for own purpose but should not use to communicate to

DPS!!!

DEMO SCREENSHOT

COMPONENT #12: CLOSEOUTDEMO SCREENSHOT

CLOSEOUT• Will be completed by DPS staff when the Status Report has been

submitted and approved and the grant is ready to be “closed”• Grantees will receive an alert notifying of the grant status change

DEMO SCREENSHOT

COMPONENT #13: OPPORTUNITYDEMO SCREENSHOT

OPPORTUNITY• Copy of Funding Opportunity posted in WebGrants

DEMO SCREENSHOT

COMPONENT #14: APPLICATIONDEMO SCREENSHOT

APPLICATION• Copy of the approved application

Will not include changes that occur with the grant throughout the lifecycle of the grant (e.g. budget revisions). This is a static copy at the time the record changed from an application to a grant.

DEMO SCREENSHOT

QUESTIONS?