grant management workshopresources.ca.gov/cnralegacyfiles/grants/wp-content/...payment of previous...

GRANT MANAGEMENT

WORKSHOPHow to process payments and

other tasks for project managers

Diane

Brad

Melissa

Craig

Larelle

Evelyn

Polly

Stacey

Your TeamCarol

Cristelle

Jocelyn Teresa

Agenda

◦Payments

◦Amendments

◦Quarterly Reports

◦Closeout

◦Post-Closeout

Using what is learned here today should:

◦Assist grantee’s preparation of payment requests

◦Speed up the processing time

◦Prepare grantee for an audit

◦Help the grantee know what to expect throughout the life of the project

BEFORE SUBMITTING PAYMENT REQUESTS

Grant Agreement◦No funds can be expended until the grant agreement is fully executed

◦Work with your Grants Administrator to finalize your Grant Agreement

◦Requires 3 signatures: Individual authorized in your resolution, Agency, and our accounting department

Project Types

◦Development – reimbursing for eligible costs incurred and paid

◦Acquisition – advancing funds into escrow, as well as reimbursing for eligible costs incurred and paid

Check your Grant AgreementTo be eligible, costs must be:

◦ Incurred within the Project Performance Period

◦ Compliant with requisite Special Provisions

◦ Identified in the Project Scope (Exhibit A)

◦ Listed on Cost Estimate (Exhibit A1)

No cost may be incurred outside of the project performance period.

December 1

Special Provisions of the Grant Agreement

Special Provision Examples: Development

◦NO FUNDS WILL BE RELEASED until the Grantee has:• site control• an executed Operations and Maintenance Agreement

◦NO CONSTRUCTION FUNDS WILL BE RELEASED until the Grantee has:• the requisite funding signage (http://resources.ca.gov/grants/logo-art/)

• final designs reviewed by grants administrator

Signage Requirements

1. A funding acknowledgment sign is required during construction

2. A sign must be posted upon completion. (1 & 2 can be the same if sign is durable)

Additional Museum Program Special Provision Examples◦Match ◦Secretary of the Interior’s Standards for the Treatment of Historic Properties

Basic Match RequirementsFor Museum Program Only◦ 1:1 match requirement

• No more than 50% can be in-kind• Expend at the same rate or faster than the grant funds

◦All in-kind match must be for eligible costs per grant requirements

◦Cash match can also be used for technology components of projects

◦Match is to be expended within the project performance period. • Exception: Planning documents from as early as

August 15, 2016 may be used as match.

Special Provision Examples: Acquisition

◦NO FUNDS WILL BE ADVANCED INTO ESCROW until:

•CA Dept. of General Services (DGS) has reviewed the appraisal and confirmed the Fair Market Value (FMV)

•DGS has been paid by the Grantee for their review

Project Scope/ Deliverables/Timeline

Cost Estimate:Development projects• 25% cap on

non-construction

• 10% cap on contingency

• Restrictions on use of contingency funds

◦ Non-Construction• Project Management• Personnel or Employee Services• Contracted Services• Community Engagement• Permitting• Environmental Compliance• Design/planning

◦ Construction• Signs and Interpretive Aids• Construction Management• Labor• Equipment• Supplies and Materials• Contracted Services

◦ Match (for museum grants)• Same as Grant items• Technology (for cash match)

Eligible Costs

Eligible Costs-Acquisition◦ Fair Market Value of Property

◦Appraisal, title, escrow, recording fees, and boundary line adjustments

◦Direct staff and consultant costs capped at $10,000 per escrow

◦Department of General Services (DGS) review fees are paid directly by the Grantee, and are eligible for reimbursement from the grant

Ineligible Costs◦Overhead/Indirect Costs◦Costs not included in the scope/cost estimate◦Non-Construction Costs exceeding the 25% cap◦Ongoing Operation and Maintenance Costs◦ Programming ◦Consumables: Food, Doggie Waste Bags, etc.

◦ Staff Training/Education◦Ceremonies, receptions, or entertainment◦Costs without proper backup documentation◦ Trees larger than 15 gallons◦Active Transportation or Active Recreation ◦Acquisition NOT purchased at fair market value

PAYMENT REQUEST PACKAGEPayment Request Form

Payment Tracking Spreadsheet Itemized List of Project Expenditures

Grantee Labor CostsEquipment Costs Form

Match Certification Form

Sample Forms

The most up to date forms can be downloaded from our website:

http://resources.ca.gov/grants/project-administration-forms/

Payment Package Instructions/ Checklist

Payment Request FormAccurate, complete and signed by authorized representative

Payment Tracking Spreadsheet

Clearly identifies which line items each invoice represents (with a separate column for each Payment Request). Aids in tracking eligible costs.

Payment Tracking Sheet for Museum Program

Error Messages

Itemized List of Project ExpendituresContractors, consultants, supplies, miscellaneous expenditures such as photocopies, mileage, etc.

Back up to this form includes:• Evidence of expense

(invoices or receipts)• Evidence of

payment• For mileage:

mileage log and rate

Evidence of Expense Examples

◦Invoices from contractors◦Receipts for materials ◦Mileage: log and rate

Evidence of Payment Examples◦ Copy of both sides of a posted

check (and breakdown if check is for multiple invoices)

◦ Copy of bank statement with cleared checks and/or EFTs highlighted

◦ Contractor invoice showing payment of previous invoice

◦ Credit card Statement, original credit card receipt, documentation that the credit card was paid.

◦ Copy of Electronic Funds Transfer (EFT) or Wire Transfer from a Bank

◦ Pre-paid card Statement showing credit remaining after particular project charge e.g., pre-paid photo copier card

◦ For purchase of real property: copy of Final Buyer’s Closing Statement

Grantee Labor Costs Form

Evidence of Expense• Time sheets • Hourly Rate Computation

Chart • Payroll stubs or payroll

service printout Evidence of Payment / Payment Documentation• CFOs signature on the

certification on the Grantee Labor Cost Form OR

• Payroll stubs or payroll service printout OR

• Signed acknowledgement from employees regarding receipt of paychecks for a specific time-period

OVERHEAD CHARGES MAY NOT BE INCLUDED.

Hourly Rate Computation Chart

Equipment Costs Form Back up to this form includes:• Evidence of

Expense, e.g., equipment time logs, including dates and hours of use

• Evidence of hourly/daily rates for said equipment

Advancing Funds into Escrow◦ Payment Request Form◦ Letter requesting funds be deposited to escrow:

• Grantee/Grant Information• Dollar amount of disbursement requested• Title Company/Escrow account information• Statement that all funds have been secured and have been

or will be deposited into escrow at or about the same date as the requested grant funds

◦ Payee Data Record for the escrow company

Match Certification Formfor Museum Program Only

• Save up and submit at the same time as a payment request

• Do not need to submit back-up, but should keep these documents in own files

HELPFUL HINTS◦Organize documentation and make clarifying notes.◦Request reimbursement for the eligible cost and Agency will deduct the 10% retention.◦Ensure numbers match and that they are accurately calculated.

PAYMENT PROCESS

Approving Payment Requests ◦All payment requests reviewed by two Resources staff to ensure:

• Accurate – calculations and totals are correct• Eligible – line items comply with approved Cost Estimate• Complete – All forms and back up are included

◦ Retention• 10% of each payment is withheld until the project is complete and closeout

documents are received.

Note on Timeframe: Once the approved payment request has been submitted to accounting, the Grantee should receive the check within 6-8 weeks.

AMENDMENTS

What if something changes?◦Costs, schedule, scope◦Contact your grants administrator BEFORE moving forward with the change◦Informal or formal amendment

QUARTERLY REPORTS

Quarterly ReportsA BRIEF status update is to be submitted to your Grants Administrator at the beginning of each quarter regarding progress made in the previous quarter.

CLOSEOUT

Final PaymentsRetention will not be released until all special provisions have been met and all closeout documents submitted. This includes: ◦ Summary of Expenditures

from all Project Funding Sources◦ Certification of Completion

Form◦ Notice of Completion (if

applicable)◦ Recorded Deed Restriction

◦ Evidence of Compliance with Signage (if not yet received)◦ For acquisitions only, also

required are:• Buyer's Closing Statement• Copy of the Grant Deed• Policy of Title Insurance

Closeout Visit◦Agency staff will visit the project to ensure all scope items are in place.◦This must occur before the release of the retention.

POST-CLOSEOUT

Preparing for an audit

Monitoring and Reporting◦ Within the time of the land tenure indicated in the grant

agreement, Agency staff may check in on the project via written communication or drop-in visits. ◦ For Urban Greening Program Only: Select Grantees will be

required to submit GHG and other data for three years after the project is complete.

Questions?Contact your grants administrator directly

http://resources.ca.gov/grants/

California Natural Resources Agency –Bonds and Grants Unit1416 Ninth Street, Suite 1311 Sacramento, CA 95814(916) 653-2812

THANK YOU!