Specialty Crop Block Grant Specialty Crop Block Grant Program Program

Grantee Informational Meeting Grantee Informational Meeting Fall 2010Fall 2010

North Carolina Department of Agriculture & Consumer North Carolina Department of Agriculture & Consumer ServicesServices

Steve Troxler, CommissionerSteve Troxler, Commissioner

Grantee Meeting TopicsGrantee Meeting Topics

Welcome and IntroductionsWelcome and Introductions Budget and Scope RevisionsBudget and Scope Revisions Contract and ExpendituresContract and Expenditures Review Special ProvisionsReview Special Provisions Requesting Funding and Requesting Funding and

ReimbursementsReimbursements Reporting RequirementsReporting Requirements Forms ReviewForms Review

Contract and ExpendituresContract and Expenditures

By November 30, the NCDA needs from you:By November 30, the NCDA needs from you: Conflict of Interest Policy Statement [Non-Profits]Conflict of Interest Policy Statement [Non-Profits] Sworn Statement of No Overdue Taxes [Non-Profits]Sworn Statement of No Overdue Taxes [Non-Profits]

Contract will be sent for your signing and Contract will be sent for your signing and acceptance of all the terms and conditions, acceptance of all the terms and conditions, and other grant related items. and other grant related items.

Expenditures prior to approved contracts are Expenditures prior to approved contracts are not reimbursablenot reimbursable

Special ProvisionsSpecial Provisions

Contract will contain a section entitled Contract will contain a section entitled “Special Provisions”“Special Provisions”

To assure transparency and complete To assure transparency and complete understanding we will present many of understanding we will present many of these provisions nowthese provisions now

Please review them completely as your Please review them completely as your contract arrivescontract arrives

Assurances and Assurances and CertificationsCertifications

Grantee certifies that it or its sub-grantees are not Grantee certifies that it or its sub-grantees are not disbarred, excluded or disqualified from receiving disbarred, excluded or disqualified from receiving financial assistancefinancial assistance

Certifies that it will provide a drug free workplaceCertifies that it will provide a drug free workplace Shall not use the funds for lobbying or political Shall not use the funds for lobbying or political

activities.activities.

In total, over twenty topics are discussed covering In total, over twenty topics are discussed covering workers, workplace safety, and the environmentworkers, workplace safety, and the environment

Fund UsageFund Usage

Funds must be used for activities described in Funds must be used for activities described in contractcontract

All travel expenses shall follow State requirements All travel expenses shall follow State requirements including per diem reimbursement ratesincluding per diem reimbursement rates

Keep us informed. Notify NCDA & CS of problems, Keep us informed. Notify NCDA & CS of problems, delays, or adverse situations in the grantdelays, or adverse situations in the grant

No funds to benefit persons in Congress or resident No funds to benefit persons in Congress or resident commissionerscommissioners

Results of the projects may be published by the Results of the projects may be published by the Federal Agency, the State Agency, or by sub-Federal Agency, the State Agency, or by sub-recipientrecipient

Travel Travel Per Diem ReimbursementsPer Diem Reimbursements

Salaries and WagesSalaries and Wages Time sheets must be provided for matching Time sheets must be provided for matching

purposes and for direct cost reimbursements. purposes and for direct cost reimbursements. Time sheets must be signed by both the Time sheets must be signed by both the

employee and the appropriate supervisor. employee and the appropriate supervisor. Payrolls or pay registers that reflect the hourly Payrolls or pay registers that reflect the hourly

rate of pay and the cost of fringe benefits must rate of pay and the cost of fringe benefits must be attached to all time sheetsbe attached to all time sheets

NCDA&CS time sheet and cover page must be NCDA&CS time sheet and cover page must be used to report grant program activities.used to report grant program activities.

The NCDA & CS time sheets should be The NCDA & CS time sheets should be prepared at least monthly and coincide with prepared at least monthly and coincide with one or more pay periods.one or more pay periods.

Prior Approval Needed Prior Approval Needed When…When…

Change in Key PersonnelChange in Key Personnel Change in Scope or ObjectivesChange in Scope or Objectives Extension of Grant AgreementExtension of Grant Agreement Budget RevisionsBudget Revisions

Change in Key PersonnelChange in Key Personnel

Leadership change for a period of more Leadership change for a period of more than 3 monthsthan 3 months

Notify NCDA & CS in writing describing Notify NCDA & CS in writing describing the situationthe situation

Change in Scope or Change in Scope or ObjectivesObjectives

Submit written justification to NCDA & Submit written justification to NCDA & CS with the revised scope or objectives. CS with the revised scope or objectives. If requesting to discontinue all or a If requesting to discontinue all or a portion of a project and add a new portion of a project and add a new project, include full project proposalproject, include full project proposal

NCDA & CS Project Coordinator will NCDA & CS Project Coordinator will review and submit to USDA.review and submit to USDA.

Approval is authorized after both levels Approval is authorized after both levels of government have signed the of government have signed the appropriate documents.appropriate documents.

Extension of Grant Extension of Grant AgreementAgreement

Written request and justification must be Written request and justification must be received no later than 60 days prior to the received no later than 60 days prior to the award expiration dateaward expiration date

Include in request: Include in request: Length of additional time required with Length of additional time required with

justificationjustification Summary of progress to dateSummary of progress to date Estimate of remaining fundsEstimate of remaining funds Projected timetable for completionProjected timetable for completion

NCDA & CS Program Coordinator and NCDA & CS Program Coordinator and Federal Agency ApprovalFederal Agency Approval

Budget RevisionsBudget Revisions

If cumulative budget change exceeds 20% of the If cumulative budget change exceeds 20% of the project’s total budgetproject’s total budget

Submit in writing: Description of the changeSubmit in writing: Description of the change Justification for the changeJustification for the change

NCDA & CS Program Coordinator and Federal NCDA & CS Program Coordinator and Federal Agency ApprovalAgency Approval

If a budget revision affects the project timeline, If a budget revision affects the project timeline, a revised timeline should be submitted along a revised timeline should be submitted along with the revised budget request.with the revised budget request.

Unallowable CostsUnallowable Costs(include but not limited to the following:)(include but not limited to the following:)

Costs outside the scope of the approved projectCosts outside the scope of the approved project Advertising/PR to promote a Governmental unitAdvertising/PR to promote a Governmental unit Alcohol [special exceptions for wine promotion]Alcohol [special exceptions for wine promotion] Bad debtsBad debts Capital Expenditures for general purposesCapital Expenditures for general purposes Capital expenditure above $5000 w/o approvalCapital expenditure above $5000 w/o approval Entertainment, contributions, fines, fund raisingEntertainment, contributions, fines, fund raising Personal use, investment council, lobbyingPersonal use, investment council, lobbying Indirect costsIndirect costs

Financial Management Financial Management Standards Standards

1.1. Provide accurate, current and complete Provide accurate, current and complete disclosure of funded activities in disclosure of funded activities in accordance with financial reporting accordance with financial reporting requirements of the program;requirements of the program;

2.2. Maintain records to adequately identify Maintain records to adequately identify the source and application of fundsthe source and application of funds: award : award letters, authorization statutes, obligations, letters, authorization statutes, obligations, unobligated balances, assets, liabilities, unobligated balances, assets, liabilities, expenditures and revenue;expenditures and revenue;

3.3. Maintain effective control and Maintain effective control and accountability for all grant and sub-grant accountability for all grant and sub-grant cash, real and personal property and other cash, real and personal property and other assetsassets..

4.4. Recipients must adequately safeguard Recipients must adequately safeguard property and ensure it is used solely for property and ensure it is used solely for authorized purposes;authorized purposes;

Financial Management Financial Management StandardsStandards

continuedcontinued1.1. Maintain comparisons of actual expenditures Maintain comparisons of actual expenditures

to budgeted expenditures for each grant;to budgeted expenditures for each grant;2.2. Follow applicable federal Office of Follow applicable federal Office of

Management and Budget (OMB) cost Management and Budget (OMB) cost principles, the SCBGP program regulations principles, the SCBGP program regulations and the terms of the grant agreements;and the terms of the grant agreements;

3.3. Support accounting records with source Support accounting records with source documentationdocumentation, e.g., approved requisitions and , e.g., approved requisitions and purchase orders, paid invoices, payrolls, time and purchase orders, paid invoices, payrolls, time and attendance records, contracts and award attendance records, contracts and award documents, etc.; anddocuments, etc.; and

4.4. Establish reasonable procedures to request Establish reasonable procedures to request funds as close as possible to the time they are funds as close as possible to the time they are needed to make payments for grant activities.needed to make payments for grant activities.

ProcurementProcurement

Follow same policies and procedures used for Follow same policies and procedures used for procurement with non-Federal funds and meet the procurement with non-Federal funds and meet the standards specified in 7 CFR Part 3016.36 and standards specified in 7 CFR Part 3016.36 and 3019.44.3019.44.

Maintain a system that ensures contractor Maintain a system that ensures contractor performanceperformance

Maintain written standards of conduct for employeesMaintain written standards of conduct for employees Provide open and free competitionProvide open and free competition Assure that small businesses, minority owned firms, Assure that small businesses, minority owned firms,

and women's business enterprises are usedand women's business enterprises are used Contracts over $10,000 must include a provision Contracts over $10,000 must include a provision

requiring the contractor to maintain and provide requiring the contractor to maintain and provide access to recordsaccess to records

ConsultantsConsultants

Work performed must be supported by records Work performed must be supported by records such as invoices, reports, or other documents such as invoices, reports, or other documents which show:which show:

Nature of the services providedNature of the services provided Relevance of the services to the project or programRelevance of the services to the project or program Rate and the dates and/or hours worked or basis for Rate and the dates and/or hours worked or basis for

determining the feedetermining the fee The NCDA&CS time sheet and time sheet cover page The NCDA&CS time sheet and time sheet cover page

shall be submitted for all hours worked relative to shall be submitted for all hours worked relative to this grant project, accompanying salary related this grant project, accompanying salary related expenditure documentation shall also submitted expenditure documentation shall also submitted along with the other time related documents.along with the other time related documents.

Special Purpose EquipmentSpecial Purpose Equipment

• Encouraged to purchase American-madeEncouraged to purchase American-made• Must complete NCDA&CS property control formMust complete NCDA&CS property control form• Title vests with grantee or purchaserTitle vests with grantee or purchaser• May retain, sell, or dispose equipment that is no May retain, sell, or dispose equipment that is no

longer needed if fair market value is less than longer needed if fair market value is less than $5,000$5,000. Documentation of the fair market value shall be . Documentation of the fair market value shall be submitted to the NCDA&CS prior to the disposition of special submitted to the NCDA&CS prior to the disposition of special purpose equipment and explain the disposition action to be taken.purpose equipment and explain the disposition action to be taken.

• Submit a written request to the State Agency for Submit a written request to the State Agency for disposition instructions if fair market value is disposition instructions if fair market value is $5,000 or more. $5,000 or more. Documentation of the fair market value Documentation of the fair market value shall be submitted to the NCDA&CS prior to the disposition of shall be submitted to the NCDA&CS prior to the disposition of special purpose equipment and explain the disposition action to special purpose equipment and explain the disposition action to be taken.be taken.

Sub awardsSub awards

Grantee retains overall responsibilityGrantee retains overall responsibility Requirements of the grantee shall be passed Requirements of the grantee shall be passed

down to any subgrantees. This includes:down to any subgrantees. This includes: Sub grantee monitoringSub grantee monitoring No award to any party which is debarred or No award to any party which is debarred or

suspended for participation in financial suspended for participation in financial assistance programsassistance programs

Make sub grantees aware of requirements Make sub grantees aware of requirements imposed upon them by Federal statute and imposed upon them by Federal statute and regulationregulation

Retention and access requirements for records Retention and access requirements for records reimbursement sub grantreimbursement sub grant

Requests for PaymentRequests for Payment

Payments of grant funds must be requested by the Payments of grant funds must be requested by the Grantee using NCDA & CS Form “Request for Grantee using NCDA & CS Form “Request for Payment and Request for Reimbursement”Payment and Request for Reimbursement”

Grantees may request funding advances sufficient Grantees may request funding advances sufficient to support 30 days of anticipated expensesto support 30 days of anticipated expenses

Requests for reimbursement require same form Requests for reimbursement require same form plus an Addendum documenting fund usageplus an Addendum documenting fund usage

Payment may be made electronically [w/in 30 Payment may be made electronically [w/in 30 days] to the bank account specified by the Grantee days] to the bank account specified by the Grantee or by check through the USPSor by check through the USPS

Any unobligated balance of cash at the end of this Any unobligated balance of cash at the end of this grant must immediately be refunded back to the grant must immediately be refunded back to the NCDA&CS. NCDA&CS.

Program IncomeProgram Income

If program income is earned as result of If program income is earned as result of being awarded SCBGP funds it will be:being awarded SCBGP funds it will be:

Reported on the Request for Reimbursement Reported on the Request for Reimbursement formform

On a case by case basis may be used to:On a case by case basis may be used to: Expand the project or program, orExpand the project or program, or Continue the project or program after the grant Continue the project or program after the grant

ends, or ends, or Return to the State with the Final ReportReturn to the State with the Final Report

Earned Interest Earned Interest

Grantees and subgrantees shall promptly, Grantees and subgrantees shall promptly, but at least quarterly, remit interest but at least quarterly, remit interest earned on advances to the NCDA & CS. earned on advances to the NCDA & CS. The grantee or subgrantee may keep The grantee or subgrantee may keep interest amounts up to $100 per year for interest amounts up to $100 per year for administrative expenses. administrative expenses.

Earned interest is to be reported on the Earned interest is to be reported on the Request for Reimbursement form.Request for Reimbursement form.

Performance Monitoring Performance Monitoring

Interim performance reports using the NCDA & CS Interim performance reports using the NCDA & CS Programmatic Reporting form, are due April 1 and Programmatic Reporting form, are due April 1 and October 1 until the award is completion. October 1 until the award is completion.

Annual Performance and Financial Report: The Annual Performance and Financial Report: The Programmatic Reporting form, the Financial Programmatic Reporting form, the Financial Reporting form and a short narrative of project Reporting form and a short narrative of project status, are due 45 days after the Grantee’s fiscal status, are due 45 days after the Grantee’s fiscal year end.year end.

If the Specialty Crop Block Grant Program allows If the Specialty Crop Block Grant Program allows for further grant funding, Grantee applications for further grant funding, Grantee applications must be accompanied by a current Interim must be accompanied by a current Interim Performance Report covering the current grant Performance Report covering the current grant efforts irrespective of the above noted due dates. efforts irrespective of the above noted due dates.

Interim, Annual, and Final Interim, Annual, and Final Report Report

Interim & Annual Interim & Annual ReportReport

content includes:content includes: Cover PageCover Page Project TitleProject Title Activities PerformedActivities Performed Problems and DelaysProblems and Delays Future Project PlansFuture Project Plans Funding Expended to Funding Expended to

DateDate Financial recapFinancial recap

Final ReportFinal Reportcontent includes:content includes:

Project TitleProject Title Project SummaryProject Summary Project ApproachProject Approach Goals and Outcomes Goals and Outcomes

AchievedAchieved BeneficiariesBeneficiaries Lessons LearnedLessons Learned Contact PersonContact Person Financial recapFinancial recap Additional Additional

InformationInformation

Financial Audit RequirementsFinancial Audit Requirements

The Grantee is accountable for The Grantee is accountable for conducting financial performance conducting financial performance reporting of the expenditures. reporting of the expenditures.

Refer to the web site Refer to the web site www.ncgrants.gov/NCGrants/forms for reporting requirements. .for reporting requirements. .

Refer to Refer to www.ncopenbook.gov for for info on transparency and info on transparency and accountability in NCaccountability in NC

Award CloseoutAward Closeout

The Final Report and appropriate The Final Report and appropriate Financial Status Reporting is required Financial Status Reporting is required within 45 days following the grant within 45 days following the grant agreement expiration date agreement expiration date

The grantee must immediately refund to The grantee must immediately refund to the State agency any balance of the State agency any balance of unobligated cash advanced, interest unobligated cash advanced, interest earned, and program income that is not earned, and program income that is not authorized to be retained.authorized to be retained.

Site VisitSite Visit

• Work performed under the SCBGP-FB is Work performed under the SCBGP-FB is subject to inspection and evaluation at subject to inspection and evaluation at all timeall time

Record RetentionRecord Retention

The State basic records retention policy requires The State basic records retention policy requires all grant records to be retained for a minimum of all grant records to be retained for a minimum of five years or until all audit exceptions have been five years or until all audit exceptions have been

resolved, whichever is longer.resolved, whichever is longer. Records shall not be destroyed, purged or Records shall not be destroyed, purged or

disposed of without the express written consent disposed of without the express written consent

of the NCDA&CS.of the NCDA&CS.

Acknowledgement of Acknowledgement of Support Support

All publicity and printed materials regarding All publicity and printed materials regarding projects or activities supported in whole or in projects or activities supported in whole or in part by this grant shall contain the following part by this grant shall contain the following language: language:

““This project received support from the NCDA & This project received support from the NCDA & CS as part of the Specialty Crop Block Grant CS as part of the Specialty Crop Block Grant Program.” Program.”

The The Got to be NCGot to be NC logo (a digital version of which logo (a digital version of which is available upon request from the NCDA & CS) is available upon request from the NCDA & CS) shall be displayed in all of the Grantee’s publicity shall be displayed in all of the Grantee’s publicity and printed materials relating to this grant.and printed materials relating to this grant.

Contacting UsContacting Us

Nathan HollemanNathan HollemanNCDA & CS Marketing NCDA & CS Marketing

DivisionDivision

1020 Mail Service Center1020 Mail Service Center

Raleigh, NC 27699-1020Raleigh, NC 27699-1020

919-707-3125919-707-3125

nathan.holleman@ncagrnathan.holleman@ncagr.gov.gov

Jeff CamdenJeff CamdenNCDA & CS Marketing NCDA & CS Marketing

DivisionDivision

1020 Mail Service Center1020 Mail Service Center

Raleigh, NC 27699-1020Raleigh, NC 27699-1020

919-707-3111 919-707-3111

jeff.camden@ncagr.govjeff.camden@ncagr.gov

Thank You!Thank You!

Forms mentioned are available on our Forms mentioned are available on our web page. web page. http://www.ncagr.gov/markets/scgrant/index.htm

We are here to help you be We are here to help you be successful, please keep us posted on successful, please keep us posted on your progress in advance of the your progress in advance of the required reporting dates.required reporting dates.

Questions?Questions?