Transcript Grant Reporting Schedule

Neighborhood Recovery Initiative
Grant Application and Reporting
Webinar presented by
Federal and State Grant Unit
Office of General Counsel
September 18, 2012
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Purpose of training
• Review the various aspects of the Interagency
Agreement
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Interagency agreement
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Cover page
Boiler contract
Exhibit A
Exhibit B
Certifications and other documents
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Step-by-step review process
• Grantee submits completed grant materials to ICJIA grant monitor no
later than October 3.
• Monitor reviews, makes requests for changes, and approves
• Monitor submits application to ICJIA Office of Fiscal Management
for review and approval.
• Legal review and approval.
• Agreement returned to grantee no later than October 17.
• Grantee signs and returns grant materials no later than October 24.
• Legal reviews and submits to Executive Director for signature
by October 30.
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Things to keep in mind
• Spell out acronyms upon first usage.
• Answer all questions. If a question does not apply to your program,
write N/A.
• In Exhibits A and B, describe your program in a way that would help
people who are unfamiliar with your program understand.
• Do not assume that the reviewer has an understanding of the
program.
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Cover page
• Provides basic information about the grant
and the grantee.
• Each Grantee needs a DUNS number, CCR Registration
and CAGE Code.
– DUNS numbers are acquired from Dun and Bradstreet, Inc., online at
www.dunandbradstreet.com, or by calling 1-866-705-5711.
– CCR and CAGE Code may be obtained at www.sam.gov.
– If your agency’s CCR registration is not available for public view,
you will be asked to provide a copy of your CCR registration.
• The default setting on the CCR registration is to hide it from public view.
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Cover page
• The Implementing Agency Authorized Official is the executive
director of the agency seeking the grant.
• The Program Financial Officer is the chief financial officer of the
agency seeking the grant.
• The Program Agency’s Mailing Address should be the address to
which all grant materials will be mailed.
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Cover page
• Fiscal Contact Person is the person completing the fiscal reports.
• Program Contact Person is the person responsible for submitting all
grant materials to ICJIA. This is the person with whom NRI grant
monitors will be working and contacting with any questions.
• Legislative District for both U.S. Congress and the Illinois General
Assembly are needed and may be obtained here with 9-digit ZIP code.
http://www.elections.il.gov/DistrictLocator/DistrictOfficialSearchByZip.
aspx
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Major components of Exhibit A
1.
2.
3.
4.
5.
6.
Summary of program
Summary of the organization
Statement of problem
Goals, objectives, and performance indicators
Program strategies
Implementation schedule
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Exhibit A
General Provisions
• Must be written in a nontechnical way that could be
understood by general public.
• All acronyms spelled out.
• No names should be used. Positions should be referred
to by title.
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Summary of program
Should briefly describe:
• What the agency does.
• What population they serve.
• What is proposed for the project and for what
purpose.
• What population will be targeted by the project.
• Why the project is needed.
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Summary of the organization
• Provide a brief description of your agency.
• Describe how the NRI-funded project fits into
your organization and whether it
complements other organization projects.
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Statement of problem
Should describe:
• The specific problem or unmet need being
experienced.
• How it is known the problem exists.
• Why the problem hasn’t been effectively
addressed with current resources.
• If an attempt to address the problem was made,
what happened?
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Goals, objectives,
and performance indicators
Program narrative must contain:
Goals: General or specific statement that reflects the
ultimate purpose of the project.
AND
Objectives (at least 2 suggested per goal): Specific tasks
or changes that must be accomplished to meet
the goal.
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Goals
A program goal is the end that you
want to achieve through the funded
project.
•To define a goal, identify what you want
to change by implementing the project.
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Example
DNA evidence is playing a role in an increasing
number of violent crime prosecutions in your
county but it’s hard to keep pace with rapid
advances in the science. You’re seeking
funding for three experienced assistant state’s
attorneys to form a specialized DNA
prosecution unit.
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Which is your goal?
Is the goal to:
a) Hire three prosecutors?
b) Or enhance the prosecution of
felony cases in which DNA plays an
important role in determining a
defendant’s guilt or innocence?
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Answer
b) Enhance the prosecution of
felony cases in which DNA plays
an important role in determining
the guilt or innocence of a
defendant.
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The program goal is to enhance the
prosecution of felony DNA cases.
Hiring the prosecutors is not the end
you want to achieve, it is the means
to that end.
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Objectives are:
•The action steps you will need to
take to implement the program.
•The benchmarks you set to measure
program performance
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Objectives
•Are measureable.
•Identify the target of program activity.
•Set a timeframe for completion.
•Provide an expected direction of change.
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Objectives must:
• Be measurable.
• Can you count it?
• Identify data that you can obtain and track.
• Do you have access to the data, or can you
reasonably obtain the data?
• How will you keep track of the data?
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Objectives must:
Identify program target, such as:
•Population group.
•Type of case or crime.
•Geographic area.
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Objectives must:
Set a timeframe for completion,
including short, mid-, and long-term
benchmarks.
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Objectives must:
Provide an expected direction of
change.
Do you want an increase or decrease
in each item you will count?
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Two kinds of objectives
•Process objectives
•Outcome objectives
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Process objectives
Process objectives are the steps
needed to implement the program.
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Process objectives
Examples:
•Hire three experienced felony
prosecutors by November 1, 2012.
•Provide prosecutors with advanced
DNA training by March 31, 2013.
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Outcome objectives
Outcome objectives measure program impact
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Outcome objectives
•Prosecute 10 felonies using DNA
evidence.
•Achieve an 80 percent conviction
rate on felony cases using DNA.
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Performance measures
Performance measures count
progress toward program objectives
or benchmarks.
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Performance measures
Performance measures are:
•Objective
•Relevant
•Able to indicate degrees of success
•Reliable
•Valid
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Performance measures
Process measures:
•Three prosecutors hired by October
15, 2012.
•Prosecutor advanced DNA training
completed April 15, 2013.
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Performance measures
Outcome measures:
•11 DNA felony cases prosecuted.
•91 percent conviction rate.
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Program strategies
Program strategies should describe what the program
will do to address the problem.
• What resources are being sought?
• How will program reach the target population?
• What activities will be performed to affect the target
population and the identified problem?
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Exhibit B
Budget/Budget Narrative
• Excel file completed by the grantee
• The budget lists, by category, the costs for goods and services.
• The budget narrative details, by category, how the goods and
services are necessary for the program and how the goods and
services are going to be used to support the program, along with
any necessary calculations.
• Items and figures in the budget and budget narrative MUST
match..
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Personnel services
• Maximum allowable salary:
– Formula = Annual salary ÷ 12 x # of months on the program
x percentage of time on the program.
– Formula = Hourly rate x # of hours per month x # of months
on the program.
• Budget Narrative:
– Describe the position’s responsibilities and how the position
will benefit the grant program.
– Reference fringe benefit worksheet.
– Attach job descriptions to the narrative.
• Please do not submit resumes.
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Equipment vs. Commodities
(How to tell which is which)
• Equipment usually has a useful life outside the grant period. Examples include:
• Computers.
• Office furniture.
• Interviewing materials.
• Commodities are usually consumed during the grant period. Examples include:
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Paper.
Pens.
Postage.
Printing and copying supplies.
Other similar office supplies.
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Pro-ration
• The pro-ration rate is used to determine the amount of a shared cost
that can be charged to a grant program.
• Agency cost are cost incurred and shared by the entire agency and
include:
– Rent.
– Utilities.
– Office equipment rental.
• Individual costs. When a staff member is not working on a program
100 percent of the time, the grant will pay for a portion of the cost
equal to the individual’s time on the program.
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Pro-ration rate formulas
• Agency costs are determined by the number of funded personnel
divided by total number of staff.
– Grant funds 2 individuals and the agency has a staff of 10 employees. The
pro-rated rate would be 20% (2 ÷ 10= .2 or 20%) or the number of hours that
funded personnel make up of total agency hours worked.
– If grantee has a different formula, please get pre-approval from legal prior to
submitting the grant for review.
• Individual costs are determined by the percentage of time
the funded person is working on the program.
– If a grant has personnel that is funded at 50%, the grant may pay for 50% of
his/her individual service cost.
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Equipment
• Budget
– List the item, quantity, and amounts paid by NRI funds.
• Budget Narrative
– Describe how the equipment item is necessary for the success
of the grant program.
– List how costs were calculated.
– Pro-rate if necessary.
– List the process used in selecting the equipment cost.
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Commodities
• Budget
– Separate commodities by use type.
– List unit cost on a monthly basis.
• Budget narrative
– Describe how the commodities are necessary
for the success of the grant program.
– Describe how the costs were calculated.
– Pro-rate if necessary.
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Travel budget
• List the travel according to purpose
– Separate travel funds are being used for multiple
purposes.
• Cost must be at the state rate or lower.
• Mileage can be reimbursed only when a personal
vehicle was used.
• Out-of-state travel will require prior Authority
approval.
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Travel narrative
• Budget narrative
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Itemize each travel expense by purpose and type.
Explain the need for the travel.
List the local travel costs on a monthly basis.
Per-diem.
• The state rate is used for both in-state ($28) and out-of-state ($32)
travel on a per day basis.
• Reimbursement for travel of less than a day shall be made
on a quarterly basis.
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Contractual
• Budget
– List type of contractual position or product.
– List the cost.
• If a portion is allocated to the grant program list the
percentage dedicated to grant program and rate used.
– Salaries for independent contractors can include
the fringes in total cost without a separate listing.
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Contractual budget narrative
• Describe the type of service or the product to be
contracted for and how it is necessary for the success
of the program.
• Describe how the costs were calculated.
• If only a portion of the costs are allocated to the grant
program describe how the prorated share was
determined.
– Example: Percent of square feet, ratio of employees.
– Salaries for independent contractors must include the
breakout for fringes if included in the salary.
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Certifications and other materials
• A copy of certificate of good standing from the Illinois
Secretary of State.
– Certified copy not required.
• IRS determination stating the agency’ status as 501(c)(3)
tax exempt entity.
• A completed W-9 form if the grantee has not previously
received funds from the state.
• Drug-Free Workplace Certification.
• Initial Cash Request & Fiscal Information Sheet.
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Grant reporting schedule
Deadlines:
• On or before January 15, 2013, for November through December
2012.
• On or before April 15, 2013, for January through March 2013.
• On or before July 15, 2013, for April through June 2013.
• On or before October 15, 2013, for July through September 2013.
• On or before November 15, 2013, for October 2013
• On or before December 15, 2013, for Final data and fiscal reports
and any refund of grant funds.
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Questions?
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