2012 WC Compliance Webinar

1. 2012 WC Compliance Webinar April 23, 2014 MO Department of Public Safety

2. MO DEPARTMENT OF PUBLIC SAFETYCRIMINAL JUSTICE/LAW ENFORCEMENT UNITCONTACT INFORMATION Eric Shepherd, Program Manager P: (573) 751-5997 E: eric.shepherd@dps.mo.gov Heather Haslag, Assistant Program Manager P: (573) 751-1318 E: Heather.Haslag@dps.mo.gov • Main Phone: (573) 751-4905 • Fax Number: (573) 522-1908 • Address: • MO Department of Public Safety • Attn: CJ/LE • PO Box 749 • 1101 Riverside Drive • Jefferson City, MO 65102

3. OUTLINE FOR TODAY • General Grant Information • Budget Costs • Administrative & Financial Guidelines • Civil Rights Compliance • Reporting Requirement • Monitoring • WebGrants • Questions?

4. GENERAL GRANT INFORMATION

5. 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

6. 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

7. 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

8. 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/

9. BUDGET COSTS

10. 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

11. 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!

12. 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

13. TRAVEL/TRAINING COSTS cont’d Note the change in state website! • 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.

14. 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

15. 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)

16. 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

17. 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

18. ADMINISTRATIVE AND FINANCIAL GUIDELINES

19. 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.

20. 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.

21. 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

22. PROCUREMENT All 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

23. 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.

24. 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 inexcess 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

25. 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!

26. 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

27. 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

28. CIVIL RIGHTS COMPLIANCE

29. 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

30. 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)

31. 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.

32. EEOP cont’d

33. “EEOP” – COVER PAGE SAMPLE COVER SHEET Date-stamped when prepared

34. “EEOP” – PAGE 2 SAMPLE • 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 Pass-thru awards from state agency will ask for the State Granting Agency’s information

35. “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

36. 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

37. 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 Safety Attn: Director of Public Safety PO Box 749 1101 Riverside Drive Jefferson City, MO 65102

38. 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

39. REPORTING REQUIREMENT

40. 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

41. CLAIM REPORT SCHEDULE

42. MONITORING

43. 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

44. 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

45. MONITORING CHECKLIST The 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

46. 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?

47. 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?

48. 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)?

49. MONITORING CHECKLIST – STATE CIVIL RIGHTS • Section 213.055 RSMo – Unlawful Employment Practices For 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 Accommodations For 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?

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