MANAGING YOUR TIG EFFECTIVELY: GRANTEE DOCUMENTATION AND REPORTING REQUIREMENTS David Bonebrake, Glenn Rawdon, Jane Ribadeneyra Legal 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 PeriodEnd of Payment Period Payment Request Due Initial Payment Payment Period 2June 30, 2011July 30, 2011 Payment Period 3December 31, 2011January 30, 2012 Payment Period 4March 31, 2012April 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 to either 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 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 Changes in the project budget require prior written approval when: It exceeds 10% of the total budget If any line item in the budget is changed by 20% or more For any amount if it changes the scope of the project

Budget Modifications  Requests for Budget Modifications must be in writing via to and/or the grant administrator (David, Glenn or  Budget Modifications can only be requested directly by the grantee  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 and  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 on Third-Party Contracting of TIG Funds - _Contracting.pdf _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

Contracting  PAMM Approval Request Procedure: i) Provide three quotes, if obtained and ii) 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: _recipients_2010_edition.pdf _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 Program

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”  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