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SEMINAR ON FINANCIAL MANAGEMENT

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Title: SEMINAR ON FINANCIAL MANAGEMENT


1
SEMINAR ON FINANCIAL MANAGEMENT
  • OJJDPs
  • Tribal Youth Program

2
No Question is a Dumb Question
3
Office of the Chief Financial OfficerOrganization
Structure
Marcia K. Paull
Administrative Officer
Special Assistant
Chief Financial Officer
Larry Hailes
Frank Ramos
Deputy Comptroller
Admin. Assistant
Admin. Assistant
Deputy Comptroller
Grants Financial Management
Finance and Accounting
Angel (Jerry) Conty
Joanne Suttington
Assistant Deputy Comptroller
Assistant Deputy Comptroller
Quality Control Team
Admin. Assistant
Special Assistant
Admin. Assistant
Grants Financial Management
Finance and Accounting
Financial Reports
Accts Receivable
Accounts Payable
Customer Service
Financial Services Branch I
Financial Services Branch II
Branch
Branch
Branch
Branch
Team B
Team A
Team C
Team D
4
Financial Management Systems
FINANCIAL MANAGEMENT SEMINAR
In summary, a Financial Management System must be
able to record and report on the
  • Receipt
  • Obligation and
  • Expenditures of grant funds

5
FINANCIAL MANAGEMENT SEMINAR
Conditions of Award
  • 1. The recipient agrees to comply with the
    financial and administrative requirements set
    forth in the current edition of OJP's "Financial
    Guide."

The United States Department of Justice Office
of Justice Programs Office if the Comptroller
Financial Guide
6
FINANCIAL MANAGEMENT SEMINAR
Conditions of Award
  • 2. The recipient agrees to comply with the
    organizational audit requirements of OMB Circular
    A-133, Audits of State, Local Governments and
    Non-Profit Organizations, as further described in
    OJP's Financial Guide, Chapter 19.
  • Note There is a different special condition
    for individuals and for-profit commercial
    organizations.

7
FINANCIAL MANAGEMENT SEMINAR
Conditions of Award
  • 3. The recipient acknowledges that failure to
    submit an acceptable Equal Employment Opportunity
    Plan (if recipient is required to submit one
    pursuant to 28 CFR Section 42.302), that is
    approved by the Office of Civil Rights, is a
    violation of its Certified Assurance and may
    result in funds from the award being frozen,
    until such time as the recipient is in
    compliance.

8
FINANCIAL MANAGEMENT SEMINAR
Conditions of Award
  • New Changes to Anti-Lobbying Act
  • 4. Recipient understands and agrees that it
    cannot use any federal funds, either directly or
    indirectly, in support of the enactment, repeal,
    modification or adoption of any law, regulation
    or policy, at any level of government, without
    the express prior written approval of OJP.

9
FINANCIAL MANAGEMENT SEMINAR
Conditions of Award
  • 5. The applicant budget is pending approval.
    The recipient may not obligate, expend, or
    drawdown any grant funds until the Office of
    Justice Programs, Office of the Chief Financial
    Officer, has issued a clearance of the
    application budget, and a Grant Adjustment Notice
    has been issued removing this special condition.

10
FINANCIAL MANAGEMENT SEMINAR
AVAILABILITY OF FUNDS
  • Obligation Period (grantee books)
  • EX Award period 10/1/05 - 9/30/07
  • Award date 12/1/05 (Federal books)
  • Expenditure Period
  • EX 10/1/05 - 12/14/07

11
FINANCIAL MANAGEMENT SEMINAR
Payment of Grant Funds
  • PAPRS
  • Need Help?
  • OJP - OCFO Customer Service Center
  • 1-800-458-0786

12
Phone-Activated Paperless
Request System
PAPRS
(by using a phone to connect to
PAPRS)
PAPRS Responds to each request with
-Approved -Denied -Recd for review

810
CVS Drugs
Grantee
- OJP at Seventh St.-
13
TOP TEN TIPS
PAPRS PROCESS
  • 1. Have signed returned
    award document?
  • 2. Have current SF-269A on file?

14
TOP TEN TIPS
PAPRS PROCESS
  • 3. Have met all special conditions?
  • 4. Have submitted an ACH Enrollment Form?

15
TOP TEN TIPS
PAPRS PROCESS
  • 5. Have OJP vendor number?
  • 6. Have a PIN number?

16
TOP TEN TIPS
PAPRS PROCESS
  • 7. Have a Grant ID number?
  • 8. Double checked dates for duplicate
    request?

17
TOP TEN TIPS
PAPRS PROCESS
  • 9. Know the amount you are requesting.
  • 10. Pay attention to system responses.

18
LODGING RATES AT PER-DIEM
  • All OJP funded contracts for events that include
    30 or more participants (both Federal and
    non-Federal) lodging costs for any number of
    attendees requiring lodging must not exceed
    Federal per diem rate for lodging.
  • Conferences that include less than 30 people are
    exempt from this requirement.

19
LODGING RATES AT PER-DIEM
  • The web-site address for obtaining the current
    rates is www.gsa.gov.
  • OJP Financial Guide provides further
    clarification of this requirement at
    www.ojp.usdoj.gov/oc/.

20
What is the Food Beverage Policy?
  • Applicability of FB Policy?
  • Applicable to assist award recipients,
    contractors, and Federal employees (OCFO policy
    statement)
  • For events that include
  • Meetings
  • Conferences
  • Training

21
What is the Food Beverage Policy?
  • Appropriate Meetings
  • Formal agenda/event
  • Mandatory attendance
  • Provide topical matters of general interest

22
What is the Food Beverage Policy?
  • Appropriate Working Lunch
  • Several hours of substantive information provided
    before and after lunch
  • Formal agenda/working lunch agenda
  • Program or speaker providing important
    information
  • Mandatory attendance
  • No viewing of exhibits (such as at a
    convention)

23
What is the Food Beverage Policy?
  • Appropriate Working Dinner
  • Several hours of substantive information provided
    before and after dinner
  • Formal agenda/working agenda
  • Program or speaker providing important
    information
  • Mandatory attendance
  • Event can not end after dinner

24
What is the Food Beverage Policy?
  • Three Tests Rule
  • Incidental to work-related event
  • Cost is reasonable
  • Not for amusement or social event
  • (no receptions)

25
What is the Food Beverage Policy?
  • Examples of appropriate Break Foods
  • coffee/tea
  • soda/juices
  • cookies
  • fruit

26
What is the Food Beverage Policy?
  • No matter what is allowable
  • NOT mandatory
  • FIRST project manager should decide whether they
    want to use project for such costs

27
What is the Food Beverage Policy?
  • Top Ten Tips for Food Beverage
  • Provide a speaker at a lunch or dinner
  • Support the event with a formal agenda
  • The event must be mandatory for all participants
  • Do not pay for bar charges using registration
    fees (i.e. program income)7
  • Do not make alcohol available at the event

28
What is the Food Beverage Policy?
  • Top Ten Tips for Food Beverage
  • 6. Provide appropriate break foods
  • 7. Surrounding events must provide several
  • hours of substantive information
  • 8. Do not end events with a meal and/or
  • break
  • 9. Costs must be reasonable
  • As a participant, reduce per diem
  • appropriately

29
FINANCIAL MANAGEMENT SEMINAR
GRANT ADJUSTMENTS
  • 10 Deviation from Total Award (does not
    apply to grants 100K or less)
  • Change in Scope of Project
  • Change in Project Period (no cost extension)

30
FINANCIAL MANAGEMENT SEMINAR
GRANT ADJUSTMENTS
  • Retire Special Conditions
  • Change of Project Director
  • Prior Approval
  • Change in grantee address

31
Old GAN Form
32
Grant Adjustment Notice (GANs)
Standard grant adjustment types
GMS Grant Adjustment types
  • Grantee
  • Sole Source Approval
  • Program Office Approvals
  • Budget Modifications
  • Change Grantee Authorized Signing Official
  • Change Grantee Contact Name or Alternate Contact
  • Change Grantee Name
  • Mailing Address Change
  • Change Project Period
  • Change Project Scope
  • Program Office
  • Removal of Special Conditions Related to
    Programmatic Requirements
  • Removal of Special Conditions Related to
    Programmatic Requirements Withholding Funds
  • Budget Modifications
  • Change Project Period
  • Change Project Scope
  • OC
  • Removal of Special Conditions Related to
    Financial Clearance
  • Standardize
  • Combine
  • Eliminate

33
Grantee Initiated GANs
34
Grant Manager Initiated GANs
35
Financial Analyst Initiated GANs
36
GMS Home Page
CLICK HERE
37
Applicant Sign In Page
Enter the User ID and Password
38
GMS Home Page
The Grantee will click on the Grant Adjustment
link
39
All Active GANs
Click on this link to create a new GAN
40
Change Grantee Authorized Signing Official
These are the details that will be changed
41
Grant Adjustments Type
  • Choose the adjustment to be made by clicking on
    the drop-down arrow
  • A list of Adjustment Types will be displayed
  • Choose the GAN type by clicking on the
    appropriate type

42
Select Award
Place a check mark in the Award requiring a
change
Click Select
43
Change Information
  • Current information is displayed on the left
    side, while the right side displays the
    placeholders where the new and updated
    information must be entered.
  • 2. Grantee must enter justification for change
    of signing official prior to saving or submitting
    GAN request

44
Choosing the Document
  • User must click on Browse to find the attachment
  • The Choose File dialogue windows opens
  • Choose the file by highlighting it
  • Click Open

45
The Attached Supporting Documents
  • To attach the file to the GAN, user must click
    on Attach File.

46
The Attached Supporting Documents
  • Grantee will be given the opportunity to add
    another document
  • Up to 5 documents may be added to the GAN

47
Final Document Change
  • The form is now complete and the supporting
    document/s have all been attached.
  • Once this has been checked, click on Submit.

48
Final Action Query
49
Completed GAN Notification All Active GANs
50
Change Grantee Name
51
Change Grantee Name
Grantee highlights and clicks on the desired
change action
52
Change Grantee Name
A Notification box will appear, advising the
grantee of the implications of the action
53
Change Grantee Name
Grantee must click on the Select button to
continue
54
Change Grantee Name
A list of all Grants that will be affected by the
change will show on the right side of the GAN
document
55
Change Grantee Name
Click the Save button if you wish to return to
the GAN before submitting.
Once the Submit button has been clicked, no
further editing may be done.
Justification for the Grantee Name Change is
required before the grantee may proceed
56
Change Grantee Name
An Action Notification dialogue query box will
appear confirming the action.
57
Completed GAN Notification All Active GANs
58
FINANCIAL MANAGEMENT SEMINAR
SF 269A Financial Status Report
59
Web-based SF 269A Reporting
FINANCIAL MANAGEMENT SEMINAR
  • Effective October 27, 2007, Quarterly Financial
    Status Reports are submitted through the Grants
    Management System (GMS) at https//grants.ojp.usdo
    j.gov.
  • The on-line SF-269A requires the same reporting
    information as the paper version.
  • No more faxing. No more mailing.

60
On Line SF 269A Reporting
FINANCIAL MANAGEMENT SEMINAR
CLICK HERE
61
2006-XX-XX-1234
Smallville Police Department 123 Main
Street Nicetown, USA 12356
123456789
01/01/06
12/31/06
04/01/06
06/30/06
62
11,020
3,000
14,020
1,000
520
1,520
10,500
2,000
12,500
4,000
1,000
3,000
15,500
50,000
34,500
0
0
0.00
0
0
0
0
0
0
63
11,020
3,000
14,020
1,000
520
1,520
10,500
2,000
12,500
4,000
1,000
3,000
15,500
50,000
34,500
64
11,020
3,000
14,020
1,000
520
1,520
10,500
2,000
12,500
4,000
1,000
3,000
15,500
50,000
34,500
0
0
0.00
0
0
0
0
0
0
65
(No Transcript)
66
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67
Mr.
John
Doe
Director
999
555
1234
68
(No Transcript)
69
Reporting Requirements
FINANCIAL MANAGEMENT SEMINAR
  • Remember
  • SF-269A - Quarterly - delinquent after 15th May,
    and the 14th of Aug, Nov, and Feb.
  • Problems with SF269? Contact
  • OCFO Customer Service Center
  • 1-(800) 458-0786 or (202) 305-3388
  • TDD (For Hearing Impaired) (202) 616-3867
  • Email ask.ocfo_at_usdoj.gov
  • Fax (202) 353-9279

70
Reporting Requirements
FINANCIAL MANAGEMENT SEMINAR
  • Check the special conditions on your Award
    Document or the Solicitation, to determine due
    dates for Progress Reports
  • If Progress Reports are delinquent, future
    awards, fund drawdowns, and grant adjustment
    notices may not be processed
  • Applicants that apply for Federal funding
    utilizing GMS should submit their progress
    reports on-line through this system

71
Reporting Requirements
FINANCIAL MANAGEMENT SEMINAR
  • The Grant Management System (GMS) has the
    capability for grantees to report their grant
    process through an online Categorical Assistance
    Progress Report or online Performance Report.
  • Features include
  • Data for form is filled in with information
    already in GMS
  • Grantees can attach documents as part of their
    report
  • E-mail notifications occur to remind grantees to
    submit report
  • OJP grant managers can review and send back
    incomplete reports to grantees

72
Reporting Requirements
FINANCIAL MANAGEMENT SEMINAR
  • Questions concerning GMS may be addressed to the
    GMS Help Desk at
  • 1-(800) 549-9901
  • Contact program manager for Reporting
    Requirements

73
FINANCIAL MANAGEMENT SEMINAR
MONITORING DISCUSSION
MONITORING
74
FINANCIAL MANAGEMENT SEMINAR
Monitoring Divisions Mission
  • Ensure stewardship over Federal funds awarded by
  • On-Site financial reviews
  • OCFO-Based financial reviews
  • Resolution of audit reports
  • Technical assistance to grantees

75
TEN TOP MONITORING FINDINGS (FY2006)
FINANCIAL MANAGEMENT SEMINAR
  • 1. Grant expenditures questioned
  • 2. Accounting procedures needed improvement
  • 3. Financial Status Reports were not timely
    submitted
  • 4. Amounts reported on FSRs were not supported by
    adequate accounting records
  • 5. Payroll procedures needed improvement

76
TEN TOP MONITORING FINDINGS (FY2006)
FINANCIAL MANAGEMENT SEMINAR
  • 6. Single Audit Report packages were not timely
    submitted
  • 7. Inventory procedures needed improvement
  • 8. Inadequate subrecipient monitoring
  • 9. Procurement procedures needed improvement
  • 10. Unauthorized budget modifications (in excess
    of 10 limit)

77
FINANCIAL MANAGEMENT SEMINAR
Financial Guide
The United States Department of Justice Office
of Justice Programs Office if the Comptroller
Financial Guide
http//www.ojp.usdoj.gov/oc
78
Electronic Access for the OJP Financial Guide via
Internet
FINANCIAL MANAGEMENT SEMINAR
OJP Home Page http//www.ojp.usdoj.gov/oc
Click on the Financial Guide to review guide
79
OCFO Financial Questionsvia Internet
FINANCIAL MANAGEMENT SEMINAR
OCFO e-mail Address ask.ocfo_at_usdoj.gov
80
OCFO Financial Questionsvia Telephone
FINANCIAL MANAGEMENT SEMINAR
OCFO Customer Service Center Monday through
Friday 830 a.m. - 600 p.m. est. 1-(800)
458-0786 or (202) 305-3388 TDD (For Hearing
Impaired) (202) 616-3867 FAX (202) 353-9279
81
HOW TO ACCESS GRANT
Catalogue of Federal Domestic Assistance (CFDA)
  • Over 1,500 Programs
  • Represents 400b
  • 52 Agencies
  • Search by Keyword
  • http//www.cfda.gov

82
HOW TO ACCESS GRANT
  • For more information
  • (202) 708-5126
  • FEDERAL DOMESTIC ASSISTANCE
  • CATALOG STAFF
  • 307 - 7th Street, S.W.
  • Room 101
  • WASHINGTON, D.C. 20407

83
HOW TO ACCESS GRANT
  • To access CFDA on-line
  • GSA Home Page Publications
  • http//www.cfda.gov

84
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