HomeMy WebLinkAboutFlorida Department of Law Enforcement - Edward Byrne Memorial Grant Monitoring - 2017-JAGC-SEMI-1-F9-031 - 2017 09 07 Florida Department of Busk'#ess Support Rick Scott, Govemor
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Con-imissioner (850)617-1250
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September 7, 2017
Honorable Charles Lacey
Mayor
City of Winter Springs
1126 East State Road 434
Winter Springs, FL 32708
Subject: Edward Byrne Memorial Justice Assistance Grant (JAG Subaward) Monitoring
Dear Mayor Lacey:
This letter reports the results of the recent desk monitoring for the Edward Byrne Memorial
Justice Assistance Grant (JAG), grant number 2017-JAGC-SEMI-1-F9-031 completed via
correspondence questionnaire. Our grant manager, Krista Sanders, reviewed the questionnaire
and accompanying documentation submitted by your agency.
Although the monitoring revealed your agency is operating grant activities in compliance with
state and federal rules, regulations and standard conditions; there is one recommendation being
provided that should be addressed to prevent future areas of non-compliance.
We wish to thank you and members of your agency for your continuing efforts with the JAG
grant program.
Please contact your grant manager, Krista Sanders or Senior Management Analyst Supervisor,
Rona Kay Cradit, at (850) 617-1250 with any questions or for additional information or
assistance.
Sincerely,
Petrina Tuttle Herring
Bureau Chief
PTH/ar
cc: Lieutenant Nicholas Romano, Project Director, Winter Springs Police Department
Enclosure
Sewice - lntegrity - Respect - Quality
Justice Assistance Grant - County-wide
Desk Monitoring Report
Contract No: 2017-JAGC-SEMI-1-F9-031
Project Director: Nicholas J. Romano
Telephone No: 407-327-7998
Subgrantee: City of Winter Springs
Project Title: ELECTRONIC CONTROL DEVICES (TASER) UPGRADE
Other Person(s) Contacted:
Monitoring Date: 03/22/2017
Project Monitored By: Krista M Sanders
Report Number: 1
Date Written Report Complete: 08/24/2017
Date of Approval:
Approved By: ,..,
Report Summary:
category : Administration
1. Does the agency maintain a grant file? Y
2. Are all organization officials in SIMON current and correct?
3. Are project staff aware of and familiar with the Standard Conditions section of the approved contract? C Y
4. Arej
roect staff familiar with the USDOJ/OJP Financial Guide?
p Y
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5. Does the financial officer/project director understand that only costs incurred between the beginning and
ending dates of the contract are eligible for reimbursement and that an invoice must have been paid
prior tothe expenditure being reported to theFDUB
6. Does the project staff understand the procedure for requesting a grant adjustment and the due date for
adjustment requests?
7. If subgrantee has delegated signature authority for submitting grant adjustments in SIMON, do they
have written documentation of this in their file?
8. Does project staff understand the reporting requirements? Is project staff aware of the reporting process
and which roles may submit transactions inS|MON?
9. Have audits been submitted as required by the grant agreement for this and prior years?
10. If yes, are there any findings and recommendations that require response by the subrecipient or
implementing agency and/or follow-up by the Office of Criminal Justice Grants?
Category : Civil Rights
1. Is the subgrant recipient in compliance with the Equal Employment Opportunity(EEO) Plan
2. Did the subgrantee provide any documentation related to civil rights compliance?
3. |athe subgrantee incompliance with the civil rights requirements?
Monitoring Find i /Re dati
Findings:
Recommendations: The City ofWinter Springs iecurrently incompliance with Office of
Civil Rights (OCR) requirements. Howovor, it is noted the City of
Winter Springs does not have a Limited English Proficiency(LEP)
P|an, policies or procedures in place to provide services to non-
English speaking persons; and does not provide civil rights training to
employees/participants.All recipients and eubnaoipiente of federal
funding must comply with the provisions of the Omnibus Crime
Control and Safe EUmeta Act of 1968. It is advised that the City of
Winter Springs develop awritten LEP Plan and provide training 0u
staff oncivil rights requirements. For additional information, please
see aubawardStandard Condition, Section 11#144wvp*]ep.gov . or
www.ojp.usdoj.gov/obouVoor/aoaistanoa.htn
4. Is the implementing agency in compliance with the Equal Employment Opportunity(EEO)Plan
requirement?
5. Did the implementing agency provide any documentation related to civil rights compliance?
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6. Is the implementing agency in compliance with the civil rights requirements?
7. Does the agency utilize the Florida Law Enforcement Basic Abilities Test(LE BAT)score to help rank,
order, or otherwise select among candidates for any law enforcement office position?
category : Cam fiance Issues
1. Does project staff understand and are all complying with the records retention requirements? Y
2. For state agencies, is there a Certification Regarding Lobbying on file, and is the agency complying with
the stipulations of that certification?
3. Is the subgrantee's SAM registration current and does the agency verify each vendor/provider being
paid from the grant is not suspended or debarred from receiving federal funds?
4. If travel expenses are being charged to the grant, does the subgrantee/implementing agency have a
written travel policy? If not, are they using the state policy?
5. Does the agency have a Conflict of Interest Certification on file?
6. Did review of the agency's procurement procedures during monitoring result in identification of any
potential or actual conflicts of interest?
ICate gory : Performance
1. Have quarterly performance reports been submitted as required by the grant agreement?
2. Is the grant program accomplishing activities in accordance with the subaward agreement?
ICate gory : Financial Management
1. Are all agencies receiving funds actively involved in the activities described in the grant? Y
2. Do project staff know how to access financial reports in SIMON to confirm financial status?
3. Are system controls adequate to account for the receipt, obligation, and expenditure of project funds,
and are financial records at the subgrantee, implementing agency, and service provider, if applicable,
consistent with each other?
4. Is the project expending funds at a rate that will allow for total expenditure of project funds within the
grant period?
5. Have Project Expenditure Reports been submitted as required by the grant agreement?
6. Does backup documentation support expenditures reflected in the PER selected for review?
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7. Did the PER reviewed include only costs incurred during the approved contract period?
8. Did the per reviewed only include invoices paid prior to submittal to FDLE for reimbursement?
9. If budget is based on unit cost, did available documentation support the number of units reported on the
PER submitted for reimbursement?
10. Did the agency review proposed grant expenditures and line items to assure supplanting would not
occur and local/state funds were not already allocated for the same items or purpose?
ICate gory : Purchasing
1. Does recipient have sole source documentation on file and does it meet the requirements? Y
2. Does recipient have written purchasing procedures?
3. Does documentation of procurement indicate these procedures were followed?
4. Did the procurement process for the purchase of grant funded items comply with federal procurement
standards?
Category : OCO/Expenses
1. Have expense and/or OCO items outlined in the current approved budget been ordered/received? Y
2. Is equipment purchased with grant dollars being used as described in the contract?
3. Are property management records being maintained in accordance with contract requirements and is all
grant funded property being insured in the same method as all other agency property?
4. Are there any items that qualify under the BJA's controlled or prohibited expenditure list?
5. If yes, are all requests, documentation, and approvals from the agency, OCJG, and BJA on file? —F
6. If grant funds are used for bulletproof vests, does the implementing agency have a written Mandatory
Wear policy in effect?
7. Have the type of vests funded by the grant been tested and found to comply with applicable National
Institute of Justice ballistic or stab standards and are the vests American-made?
8. If grant funds are used for body worn cameras, has the implementing agency provided a body worn
camera policy and is the certification on file?
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category - Salaries and Benefits
1. Does recipient have a current Policies and Procedures manual or clearly defined staff rules including a N/A
written overtime policy, a written leave and fringe benefits policy, and written job descriptions, as
applicable?
2. If Salaries and Benefits are included in the budget, was documentation provided to support that a net
increase in staff resulted due to the grant funds? If funds are used to retain positions that would have
been laid off but for the availability of federal funds, documentation must substantiate the certification
that these positions have been cut only because of a funding shortfall affecting the entire unit of
government.
3. Has a completed Personnel Tracking worksheet been submitted to the Office of Criminal Justice
Grants?
4. Do all personnel paid by the project, including personnel only receiving overtime, have timesheets that
document that all hours charged to the project were worked on the project?
5. Have semi-annual certifications for all personnel who are assigned to work solely on the grant been
completed and submitted toOCJQ?
Category : Contractual Services
1. If contractual services are included in the approved budget, has the executed contract been reviewed
bythe FDLE?
2. Are effective dates of the contract consistent with the grant period?
3. Are all parties to the contract clearly identified and consistent with the grant agreement?
4. Were all subcontracted activities identified in the approved grant agreement?
5. Are USDOJ compliance requirements passed through by contract provisions and are the subgrant
standard conditions included by reference?This would include resolution of disputes, reporting, patents,
rights in data and copyrights, examination of records, clean air and water, EEO, and termination of
contract.
6. Has the grant manager confirmed that the contractor(s)are not included on the federal government's
Excluded Parties List?
Category - Treatment
1. Were copies of any required current State of Florida License(s)for the treatment agency and treatment N/A
agency staff available for review and consistent with information provided in the approved contract?
2. Was a copy of the most recent Monitoring Report from the State of Florida licensing agency provided for
review, along with a copy of the treatment provider's response to identified deficiencies, if applicable?
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3. If services to clients were provided, were they provided only to clients meeting the selection/eligibility N/A
criteria as per the subgrant?
Category ; Multi'urisdictional Task Forces
1. If this subgrant funds a multijurisdictional task force, have all required project staff attended the required N/A
training?
Category Project Generated Income PGI
1. Have PGI reports been submitted as required by the grant agreement? N/A
2. Has the subgrantee requested approval to expend earned PGI on all projects with a remaining PGI N/A
balance?
3. Are system controls adequate to account for the receipt, obligation and expenditure of PGI? N/A
4. Does backup documentation support earnings and expenditures reflected in the PGI Earnings and N/A
Expenditures Report selected for review?
Category ,, Confidential Funds
1. Is documentation of confidential funds adequate for the amount of expenditures made? N/A
2. Does project staff understand that the amount of confidential funds reported on expenditure reports N/A
must represent only the amount spent?
3. Do financial records of confidential funds show adequate separation of accountability? N/A
4. Does the implementing agency's management of confidential funds meet the requirements outlined in N/A
the Office of Justice Programs Financial Guide?
Category ; Meth Labs
1. For projects including the investigation and closure of Methamphetamine Labs, has the subgrantee/ N/A
implementing agency provided documentation of compliance with the Federal, State, and local
environmental health and safety laws and regulations applicable to the investigation and closure of such
labs?
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