MANAGING YOUR TIG EFFECTIVELY: GRANTEE DOCUMENTATION AND REPORTING REQUIREMENTS

David Bonebrake, Glenn Rawdon, Jane RibadeneyraLegal Services Corporation

Payment Requests

LSC typically makes between four to six payments to TIG grantees. Grantees request payments by submitting timely milestone reports on the completion of their grant milestones.

Each payment request contains one or more milestones on which the grantee must report.

Milestones can contain multiple requirements the grantee must meet.

We cannot approve your payment request until all requirements for all milestones have been met and have been properly reported.

Payment Request Reporting

Begin by letting us know you completed the milestone. Assuming the milestone has in fact been completed, start your report with "We completed the milestone. It was completed on X Date. It was done by Person A, B, and C.“ Then, tell us how you did it.

Make sure you address all requirements set forth in the milestone. Many ,ilestones require that you accomplish multiple tasks. Grantees must report that they have completed all of these activities.

Payment Request Due Dates

Payment requests are due within 30 days of the end of the payment period.

If a payment request is not received timely and the grantee has not requested and been granted an extension of this date by TIG staff, the grantee will be sent a reminder that the payment request is late and must be filed immediately or the grant is subject to suspension or termination.

Payment Period End of Payment Period

Payment Request Due

Initial Payment

Payment Period 2 June 30, 2011 July 30, 2011

Payment Period 3 December 31, 2011 January 30, 2012

Payment Period 4 March 31, 2012 April 30, 2012

Payment Request Extensions

If a grantee cannot timely complete the milestones for a payment period, they must ask for an extension of the due date to allow for the completion of the milestones.

The request for this extension shall be in writing via email to either techgrants@lsc.gov or to the Grants Administrator (Glenn, Jane, David or Bristow).

It may not be made by anyone other than the grantee (e.g. a project contractor).

What to Include in Your Request

In the request for an extension, the grantee must state, in writing, each of the following: what progress it has made toward achieving the milestones

for the period, which milestone(s) cannot be met, the reason(s) the milestones cannot be met, and the date by which the milestone(s) are expected to be

completed. If the delay in meeting this payment due date will

affect the due dates of subsequent payments, the grantee shall so advise and include the requested dates for those subsequent payments.

Assessing Extensions

The main consideration is the reasonableness of the request. Other considerations include: whether or not the grantee has been working

diligently to meet the deadline, if the grantee completed other milestones for the

payment request, and if the cause for the delay was in the control of the

grantee.

Milestone Changes vs. Deadline Extensions Rather than extend the entire payment request, it

may make sense to move that milestone to a later period and/or modify the milestone.

It may be necessary to modify the budget and payment amounts to reflect the new scope of work for the amended milestones.

Post-Payment Period Extension Requests TIG Grant Administrators may grant extensions

requested before the end of the payment period. Extensions requested after the payment period

has passed must be reviewed by the OPP Director. Timely extension requests are important!

Grant Term Extensions

Extensions of the grant term are permissible Requests must be in writing Level of review depends upon when grantee

submits the request.

Communication is key!

Communication

Grantees should not hesitate to contact their Grant Administrator if they: Need to discuss extending the deadline for a payment

request; Seek clarification on the meaning of a milestone; Have had successes or setbacks on a TIG project; Have any other questions, concerns, criticisms, jokes,

etc. In other words, keep us in the loop!

The earlier you contact us, the better!

Administrative Plans

Required for grants where significant portions of the project management are contracted to third parties

Factors considered by LSC: the extent to which project management is delegated to

the third party the percentage of the funds going to third party the percentage of TIG funds to total project budget the portion of the budget for grantee’s administration

Will not apply where contract is primarily for hardware, software, or technical development work

Administrative Plans

Will be a milestone like evaluation plans Will be submitted to grant administrator in time to

be approved prior to the end of the second payment period (not with payment request)

Currently submitted by email but will be added to LSC Grants

Administrative Plans

The administrative plan will clearly outline the grantee’s duties and responsibilities for: Project Management Financial Oversight and Audits Contract Coordination (when multiple partners or

vendors) Evaluation Reporting

Budgets Starting with 2010 TIG awards, Grant Award

Packages include a Final Budget New Milestone for Final Payment

“Submit a final budget showing the actual expenditures on the grant, as well as a budget narrative explaining any changes from the final budget in the award package”

Final budget will need to show both the approved budget for the grant (with any approved modifications) and the actual expenditures on the grant

Budget Modifications

Budget Modifications

Requests for Budget Modifications must be in writing via email to techgrants@lsc.gov and/or the grant administrator (David, Glenn or Jane)

Budget Modifications can only be requested directly by the grantee

Email must include: 1) what change is needed; and 2) the reason(s) for the change

LSC grant administrator will notify grantee of approval/disapproval and if approved, a modified budget will be created and saved in LSC Grants

Subgrants/Transfers and Contracting

TIG funds are subject to the rules and requirements of LSC’s regulations, including the Subgrant and Transfer rules at Parts 1627 and 1610, respectively

See http://www.lsc.gov/laws/regulationshistory1610.php and http://www.lsc.gov/laws/regulationshistory1627.php

Interactive Session Friday morning 9:00-10:00 on LSC Subgrant/Transfer Rules with Mark Freedman of LSC’s Office of Legal Affairs

Subgrant agreement applications are submitted to OCE via LSC Grants. LSC has 45 Days to approve, disapprove or suggest modifications to the subgrant

Contracting

See Program Letter 10-03 on Third-Party Contracting of TIG Funds - http://tig.lsc.gov/TIG/Program_Letter_on_Third_Party_Contracting.pdf

Property Acquisition and Management Manual (PAMM) covers approval for lease/purchase of equipment/property over $10,000

PAMM approvals must be obtained in advance of purchase (may include the approval request and appropriate information in the TIG application)

See http://www.lsc.gov/laws/pamm.php

Contracting

PAMM Approval Request Procedure:i) Provide three quotes, if obtained andii) A letter or memorandum containing:

A) A statement of need explaining how the acquisition will further the delivery of legal services to eligible clients;

B) A brief description of the property to be acquired;C) A brief description of the acquisition process. In the

absence of quotes, the description should explain what circumstances prevented the recipient from obtaining quotes.

Third Party Contracting for Services

New grant assurance beginning with 2010 TIGs Applies to contracting for services over $10,000 or

where an administrative plan is required (PAMM still applies for property/equipment)

No pre-approval required – reporting provided with payment request for period in which contract was executed

Criteria similar to PAMM requests. NOTE: PAMM approval is still required for property.

TIG Contracting for Services – Reporting Requirements• A statement explaining how the contract will further the

fulfillment of the Applicant’s obligations under the grant; • A brief description of the services to be acquired, including

the name of the contractor and the total dollar amount of the contract; and

• A brief description of the competition process used to select the contractor, including the names of the potential contractors who submitted proposals, the amounts of the proposals, and a brief explanation of the reasons for selecting the particular contractor. In the absence of competition, the description should explain what circumstances justified the contract being executed on a sole source basis.

TIG Contracting for Services – Reporting Requirements Provide with the payment request for the period

in which the contract was executed to LSC a copy of the contract; and

Ensure the proper expenditure, accounting for, and audit of the contracted funds. See Accounting Guide for LSC recipients, 2010 edition, particularly pgs 51 & 91 on contracting: http://www.lsc.gov/pdfs/accounting_guide_for_lsc_recipients_2010_edition.pdf

Conflicts of Interest

New grant assurance beginning with 2010 TIGs Required to follow LSC’s TIG policy to identify and

resolve situations that might present conflicts involving payments of LSC TIG funds to third parties.

Disclosure of Interests for Determination of Conflicts Policy Related to Expenditures of Funds Awarded to the Organization through Legal Services Corporation’s Technology Initiative Grant Programhttp://tig.lsc.gov/complianceresources.php

Conflicts of Interest

On an annual basis, all directors, officers, management level employees and Staff Members shall be provided with a copy of this Policy and shall be required to complete and sign the “Conflicts of Interest Acknowledgement and Disclosure Form” http://tig.lsc.gov/complianceresources.php

All completed Disclosure Forms and written updates, as well as any other related information, shall be provided to the board chair, or, if the interest involves him or her, then to the board vice chair. A copy of the completed Disclosure Forms, written updates and actions taken shall be kept on file at the program office and available for inspection.

Grant Close-outs/Terminations

Grants may be closed out or terminated before they are completed for four reasons:

Failure to Provide Timely Documentation When a grantee is overdue for a reporting deadline by more than

30 days, LSC will provide a notice that the grantee has 30 days to make an adequate report or the grant is subject to termination.

If the grantee does not respond with an adequate report after the first notice, LSC will provide a second notice providing that the grant is terminated subject to being reinstated if complete reporting is provided within 30 days.

This means that 90 days after the end of the payment period, a grant will be terminated if a complete report is not provided (report due 30 days after the end of the period, 30 days with first notice, 30 days with second notice.)

Close-outs/Terminations

Mutual Consent At any time during a TIG grant term LSC and the

grantee can agree to terminate the grant by mutual consent. Close-out procedures will be initiated for the grant based on the terms of the termination agreement.

Close-outs/Terminations

Grantee Performance LSC will provide the grantee with at least 30 days advance written

notice of the proposed termination along with the basis for that decision.

Notices of termination will be issued by the VPPC. The grantee may submit a written response to the notice and request an meeting with the VPPC to discuss the proposed termination. The VPPC will issue a final decision whether or not to terminate the TIG.

That decision may be appealed to the LSC President. The grantee has 15 days to file a notice of appeal and an additional 15 days to submit a written response. The grantee may also request a meeting with the President. The President’s decision will be in writing and is final.

Close-outs/Terminations

Grantee Ceases to be an LSC Grantee If a TIG grantee ceases to be an LSC grantee, the

TIG is immediately terminated and shall be included as part of the LSC closeout procedures for closing out the grantee.

LSC will notify the grantee as to the financial obligations of the grantee to LSC in regard to the TIG.

2011 TIG Timeline (tentative)

Letters of Intent (LOI) System Available: February 7 LOIs Due: February 28

Invitations for Full Applications: April 4 Full Applications Due: May 23 TIG Award Notifications: September 2011