Grants Management Grantee Responsibilities and Reporting Procedures

Grants Management Grantee responsibilities

Presentation title Copy of the grant agreement Copy of the budgets, purchase requisitions, purchase orders Copy of allthird partycontracts , Subcontracts (fiscal agent, lease, license to use agreement) File Copy of approved notice of obligations from ALTSD Management Copy of reports submitted Copy of the reimbursement request and supporting documents **You should have a copy of the application request you submitted for thatcorresponding appropriation. 20XX 2

Presentation title PROJECT DESCRIPTION, AMOUNT OF GRANT AND REVERSION DATE This articledescribes the intent of the law, the appropriation amount and the expiration date. Article I LIMITATION ON DEPARTMENT S OBLIGATION TO MAKE GRANT DISBURSEMENT TOGRANTEE This article discusses the ability to make payment and the requirement to submit aNotice of Obligation. Discusses third party obligations Article II Grant NOTICE PROVISIONS AND GRANTEE AND DEPARTMENT DESIGNATEDREPRESENTATIVES Contact information for grantee anddepartment. Agreement Articles Article III REVERSION DATE, TERM, EARLY TERMINATION This article identifies the reversion and the requirement to expend funds on or before that date regardless of a third partycontract Article IV EARLY TERMINATION This article discusses that the department can terminate theagreement once the project is completed, funds were expended in full, violation of terms,mishandling of publicfunds Article V SUSPENSION OF NEW OR FURTHER OBLIGATIONS - This article discusses thedepartmentsability to direct the grantee to cease entering intoan obligation. Article VI 20XX 3

Article VII AMENDMENT both parties must execute any changes to the grant agreement if deemed appropriate by agency. Article VIII REPORTS discusses the paper reporting, paperless reporting (CPMS) and the final report and requests for additional information and retention period. Article IX REQUEST FOR PAYMENT PROCEDURES AND DEADLINES process for requesting reimbursement, supporting documentation and deadlines. Article X PROJECT CONDITIONS AND RESTRICTIONS; REPRESENTATIONS AND WARRANTIES funds must be spent in accordance with state laws, implemented in accordance with NM Public Works Act, must not be in violation of the Anti-Donation Clause , project cannot be converted to another use, EEO, Grantee has the ability to receive and expend funds, authorized signatory, agreement does not conflict with grantees obligations, grantee has reviewed and agrees with project description, amount and expiration date and is consistent with the appropriating law, grantee shall abide with all state laws including; conflict of interest, governmental conduct, whistleblower act, language to be included in all contracts and subcontracts regarding lobbying. Articles continued Article XI - STRICT ACCOUNTABILITY OF RECEIPTS AND DISBURSEMENTS; PROJECT RECORDS Maintain files for 6 years after the project has been completed Article XII - IMPROPERLY REIMBURSED FUNDS department has the ability to request funds paid to the grantee under fraud, mismanagement, misrepresentation, misuse, or violation of law 20XX 4

Presentation title Article XIII LIABILITY NM Tort Claims Act (other party s acts or omissions) Article XIV SCOPE OF AGREEMENT What is written in the agreement shall be what governs the use regardless of any other conversations between grantee and department Article XV REQUIRED NON-APPROPRIATIONS CLAUSE IN CONTRACTS FUNDED IN WHOLE OR PART BY FUNDS MADE AVAILABLE UNDER THIS AGREEMENT contingent upon the legislature to authorize and appropriate Article XVI REQUIRED TERMINATION CLAUSE IN CONTRACTS FUNDED IN WHOLE OR PART BY FUNDS MADE AVAILABLE UNDER THIS AGREEMENT - termination clause in all contracts in case department cancels the grant you have the ability to cancel the contract and pay out the liability for goods and or services received to that point. Articles continued Article XVII COMPLIANCE WITH UNIFORM FUNDING CRITERIA - EO 2013-006 Article XVIII SEVERANCE TAX BOND AND GENERAL OBLIGATION BOND PROJECT CLAUSES - subject to the State Board of Finance rules and regulations including the Bond Project Disbursement Rule http://www.nmdfa.state.nm.us/uploads/FileLinks/e9943484096d40d 49e26f46f50a93748/2_61_6_NEW_disbursement_rule.pdf 20XX 5

Important Articles Article II Notice of Obligation Article I Grant Deadlines Submit copy of third party obligation to ALTSD upon execution Project ID and amount of appropriation Project Description identifies the language in the law (intent) (contract, cost estimate, quote, contract, purchase order) Appropriation reversion date good and services received by Department can issue Notice of obligation or request additional documents to justify the expense Arts in Public Places 1% transferred to Cultural Affairs Department Notice of obligations will not be issued if ALTSD does not feel the expenditure will occur before reversion Notice of obligation will be effective on the date issued by ALTSD. 20XX 6

Article VIII- Reports CPMS is a web CPMS is a web- -based system used for reporting and based system used for reporting and monitoring of capital outlay appropriations appropriations willbe used by the Legislative Finance Committee (LFC) agency needs to begin reporting once funding is appropriated localentity needs to begin reporting once a grant agreement has been executed on the progress of project. Local entity must report progress each month following the full execution of the grant agreement through the CPMS database. You are no longer required to submit paper reports monitoring of capital outlay CPMS can be accessed through the DFA website at the following link:http://cpms.dfa.state.nm.us For login and password you must contact DFA/Capital Outlay Bureau 20XX Presentation title 7

Article X Project Conditions, Restrictions, Warranties A. The following general conditions and restrictions are applicable to the Project: The Project must be implemented in accordance with the New Mexico Public Works Minimum Works Act, Section 13-4-10 through 13-4-17 NMSA 1978, as applicable. The Grantee shall not for a period of 10 years from the date of this agreement convert any property acquired, built, renovated, repaired, designed or developed with the Project s funds to uses other than those specified in the Project Description without the Department's and the Board of Finance s express, advance, written approval, which may include a requirement to reimburse the State for the cost of the project, transfer proceeds from the disposition of property to the State, or otherwise provide consideration to the State. B. The Grantee hereby represents and warrants the following: The Grantee has the legal authority to receive and expend the Project s funds This Agreement has been duly authorized by the Grantee, the person executing this Agreement has authority to do so, and, once executed by the Grantee, this Agreement shall constitute a binding obligation of the Grantee, enforceable according to its terms. This Agreement and the Grantee's obligations hereunder do not conflict with any law or ordinance or resolution applicable to the Grantee, the Grantee's charter (if applicable), or any judgment or decree to which the Grantee is subject. The Grantee has independently confirmed that the Project Description, including, but not limited to, the amount and Reversion Date, is consistent with the underlying appropriation in law. The Grantee s governing body has duly adopted or passed as an official act a resolution, motion, or similar action authorizing the person identified as the official representative of the Grantee to sign the Agreement and to sign Requests for Payment. The Grantee shall abide by New Mexico laws regarding conflicts of interest, governmental conduct and whistleblower protection. The Grantee specifically agrees that no officer or employee of the local jurisdiction or its designees or agents, no member of the governing body, and no other public official of the locality who exercises any function or responsibility with respect to this Grant, during their tenure or for one year thereafter, shall have any interest, direct or indirect, in any contract or subcontract, or the proceeds thereof, for work to be performed or goods to be received, pursuant to this Grant. Further, Grantee shall require all of its contractors to incorporate in all subcontracts the language set forth in this paragraph prohibiting conflicts of interest. No funds have been paid or will be paid, by or on behalf of the Grantee, to any person for influencing or attempting to influence an officer or employee of this or any agency or body in connection with the awarding of any Third Party Obligation and that the Grantee shall require certifying language prohibiting lobbying to be included in the award documents for all subawards, including subcontracts, loans and cooperative agreements. All subrecipients shall be required to certify accordingly. 20XX 8

Article IX - Reimbursements Ensure that expenditures are only for the intended purpose (scope of work) Contact ALTSD if you have questions if an item to be purchased or constructed is an allowable expense. Expenditures must be complete and items received on or before the reversion date to qualify for reimbursement Remember that reimbursements are only for items approved under the issued Notice of Obligation (NOO) ALTSD will provide written denial for items that are not allowed. *See list of supporting documentation needed for reimbursement 20XX 9

Supporting Documents Construction Vehicles Equipment Original Exhibit 1 form Original Exhibit 1 form Original Exhibit 1 form Copy of the detailed invoice Copy of the detailed invoice Copy of the buyer s agreement Copy of the cancelled check Copy of the cancelled check Copy of the invoice Copy of the certificate of title origin Odometer disclosure statement Copy of the cancelled check 20XX Presentation title 10

Close out Official notification Exhibit I final report note final closeout in the project phase section - add a small description of the work completed and indicate your wishes to revert funds if there is a remaining balance. Formal letter from the grantee requesting the close out - Ensure you include the Project ID and Project Title. Also, add a small description of the work completed and indicate your wishes to revert funds if there is a remaining balance. ALTSD will provide the Grantee a close out letter noting the amounts expended and any reversion amounts. Article XI Strict Accountability of Receipts and Disbursements B. For a period of six (6) years following the Project's completion, the Grantee shall maintain all Project related records, including, but not limited to, all financial records, requests for proposals, invitations to bid, selection and award criteria, contracts and subcontracts, advertisements, minutes of pertinent meetings, as well as records sufficient to fully account for the amount and disposition of the total funds from all sources budgeted for the Project, the purpose for which such funds were used, and such other records as the Department shall prescribe. 20XX Presentation title 11

Questions????? 20XX Presentation title 12

Barbara J. Romero, Capital Outlay Bureau Chief 505-365-3660 barbara.romero@state.nm.us Elizabeth Chavez, Capital Outlay Coordinator 505-365-3804 elizabeth.Chavez@state.nm.us Ernest Adam Saavedra, Financial Coordinator 505-490-3367 ernest.Saavedra@state.nm.us Contact information 20XX Presentation title 13