Riverside Community College District Report

Review of Grants Policies, Procedures and Practices September 20, 2022 Riverside Community College District Michael H. Fine Chief Executive Officer Table of Contents Table of Contents About FCMAT ..................................................................................................iii Introduction .......................................................................................................1 Background ................................................................................................................1 Study and Report Guidelines .................................................................................1 Study Team ................................................................................................................2 Executive Summary ......................................................................................3 Findings and Recommendations ..............................................................4 Current Organizational Structure and Staffing .................................................4 Considerations for Improvement of the Grants Process and Workflow ..........8 Workflow and Distribution of Functions for Grant Development and Management .................................................................................................19 Other Considerations that Support Grant Development and Management .........................................................................................................21 Collaboration Between Project Directors and the College Business Services Office ....................................................................................................22 Appendix ..................................................................................................................26 Fiscal Crisis and Management Assistance Team Riverside Community College District v September 20, 2022 Wolde-Ab Isaac, Ph.D., Chancellor Riverside Community College District 3801 Market St. Riverside, CA 92501 Dear Chancellor Isaac: In November 2021, the Riverside Community College District and the Fiscal Crisis and Management Assis- tance Team (FCMAT) entered into an agreement for FCMAT to conduct a review of the district’s and col- leges’ policies, procedures, and practices in place to support effective grant development, submission and management. The agreement stated that FCMAT would perform the following: 1. Review and analyze operational processes and procedures that support grant development and management between and among the colleges and district office, including but not limited to business procedures, grants department, and human resources, and make recommendations for improved efficiency, clarity of roles, responsibilities, and decision making, if any. Ensure the who, what, where, why, when and how aspects of relevant processes are identified (or perhaps established) and understood (e.g., process mapping). 2. Evaluate the current workflow and distribution of functions for grant development and management, and make recommendations for improvements, if any. 3. Identify resources necessary to carry out an effective grants process based on FCMAT’s recommendations. This report contains the study team’s findings and recommendations. FCMAT appreciates the opportunity to serve the Riverside Community College District and extends thanks to all the staff for their assistance during fieldwork. Sincerely, Michael H. Fine Chief Executive Officer Michael H. Fine • Chief Executive Officer 1300 17th Street – City Centre, Bakersfield, CA 93301-4533 • Tel. 661-636-4611 • Fax 661-636-4647 www.fcmat.org About FCMAT About FCMAT FCMAT’s primary mission is to assist California’s local K-14 educational agencies to identify, prevent, and resolve financial, human resources and data management challenges. FCMAT provides fiscal and data management assistance, professional development training, product development and other related school business and data services. FCMAT’s fiscal and management assistance services are used not just to help avert fiscal crisis, but to promote sound financial practices, support the training and development of chief business officials and help to create efficient organizational operations. FCMAT’s data management ser- vices are used to help local educational agencies (LEAs) meet state reporting responsibilities, improve data quality, and inform instructional program decisions. FCMAT may be requested to provide fiscal crisis or management assistance by a school district, charter school, community college, county office of education, the state superintendent of public instruction, or the Legislature. When a request or assignment is received, FCMAT assembles a study team that works closely with the LEA to define the scope of work, conduct on-site fieldwork and provide a written report with findings and recommendations to help resolve issues, overcome challenges and plan for the future. Studies by Fiscal Year 90 80 70 60 50 40 30 20 10 0 98/99 99/00 00/01 01/02 02/03 03/04 04/05 05/06 06/07 07/08 08/09 09/10 10/11 11/12 12/13 13/14 14/15 15/16 16/17 17/18 18/19 19/20 20/21 FCMAT has continued to make adjustments in the types of support provided based on the changing dy- namics of K-14 LEAs and the implementation of major educational reforms. FCMAT also develops and provides numerous publications, software tools, workshops and professional learning opportunities to help LEAs operate more effectively and fulfill their fiscal oversight and data management responsibilities. The California School Information Services (CSIS) division of FCMAT assists the California Department of Edu- cation with the implementation of the California Longitudinal Pupil Achievement Data System (CALPADS). CSIS also hosts and maintains the Ed-Data website (www.ed-data.org) and provides technical expertise to the Ed-Data partnership: the California Department of Education, EdSource and FCMAT. Fiscal Crisis and Management Assistance Team Riverside Community College District iii seidutS fo rebmuN About FCMAT FCMAT was created by Assembly Bill (AB) 1200 in 1992 to assist LEAs to meet and sustain their financial obligations. AB 107 in 1997 charged FCMAT with responsibility for CSIS and its statewide data management work. AB 1115 in 1999 codified CSIS’ mission. AB 1200 is also a statewide plan for county offices of education and school districts to work together locally to improve fiscal procedures and accountability standards. AB 2756 (2004) provides specific responsibili- ties to FCMAT with regard to districts that have received emergency state loans. In January 2006, Senate Bill 430 (charter schools) and AB 1366 (community colleges) became law and ex- panded FCMAT’s services to those types of LEAs. On September 17, 2018 AB 1840 was signed into law. This legislation changed how fiscally insolvent dis- tricts are administered once an emergency appropriation has been made, shifting the former state-centric system to be more consistent with the principles of local control, and providing new responsibilities to FCMAT associated with the process. Since 1992, FCMAT has been engaged to perform more than 1,400 reviews for LEAs, including school districts, county offices of education, charter schools and community colleges. The Kern County Superin- tendent of Schools is the administrative agent for FCMAT. The team is led by Michael H. Fine, Chief Execu- tive Officer, with funding derived through appropriations in the state budget and a modest fee schedule for charges to requesting agencies. Fiscal Crisis and Management Assistance Team Riverside Community College District iv Introduction Background Introduction Background The Riverside Community College District serves students in Riverside County with an enrollment of 60,591 students in 2020-21. The district offers certificates, degrees, and transfer programs at three colleges: More- no Valley College with 14,768 credit students, Norco College with 15,724 credit students, and Riverside City College with 30,099 credit students in 2020-21. In November 2021, the district requested that FCMAT review the district’s and colleges’ policies, proce- dures, and practices to support effective grant development, submission and management. Study and Report Guidelines FCMAT held teleconference interviews with staff, faculty and administrators of the district and colleges be- tween January 20 and March 9, 2022 to gather information necessary to understand the flow of grants as well as any issues or constraints. Twenty-three interviews were conducted with college and district grants and fiscal staff as follows: • District (5) • Moreno Valley College (6) • Norco College (5) • Riverside City College (7) Comprehensive interviews covered topics ranging from selecting project directors to fiscal accountability. The responses of each college and district staff member were mapped according to the following grant categories: • Identifying grants for possible adoption • Developing a work plan, selection of a project director and budget development • Managing subgrantees • Submission of grants for approval • Communicating the status of preaward grants • Action after approval from the district board and the funding source • Preparation of grant staff prior to grant implementation • Implementing the grant • Recording and preparing grant expenditures • Reviewing expenditures incurred by subgrantees • Closing the grant • Storage of grant documents Fiscal Crisis and Management Assistance Team Riverside Community College District 1 Introduction Background Following fieldwork, FCMAT reviewed and analyzed data and documents. This report is the result of those activities. FCMAT’s reports focus on systems and processes that may need improvement. Those that may be function- ing well are generally not commented on in FCMAT’s reports. In writing its reports, FCMAT uses the Asso- ciated Press Stylebook, a comprehensive guide to usage and accepted style that emphasizes conciseness and clarity. In addition, this guide emphasizes plain language, discourages the use of jargon and capitalizes relatively few terms. Study Team The study team was composed of the following members: Michelle Giacomini Cambridge West Partnership, LLC FCMAT Deputy Executive Officer FCMAT Consultant Carolynne Beno, Ed.D., CFE Leonel Martínez FCMAT Intervention Specialist FCMAT Technical Writer Each team member reviewed the draft report to confirm accuracy and achieve consensus on the final recommendations. Fiscal Crisis and Management Assistance Team Riverside Community College District 2 Executive Summary Executive Summary The Riverside Community College District is composed of Moreno Valley College, Norco College, and Riverside City College, each with a distinct grant-related responsibility. Each college and the district have an individual with a unique title and responsibilities who is assigned to oversee and coordinate all grant activities. The overall organizational structure at the district and colleges is appropriate to support pre- and post-award grant activities. The district and its colleges have not adopted a standard grant workflow to optimize the movement of grants between the evaluation, authorization, approval, funding, implementation, and closeout stages. The lack of formalized procedures causes frustration at all levels of the district. Staff reported inconsistencies with grant processing and management that contribute to delays and confusion regarding roles and re- sponsibilities. The district board does not consistently authorize grants before submission, and some grants have been implemented prior to Resolution(s) to Amend Budget to the county office of education. The lack of institutionalized (formally adopted) grant workflows, roles and responsibilities, tracking software and forms, and formalized training contribute to the delays and confusion at the district and college levels. Once workflows are adopted, the district would benefit from enhancing pre- and post-award grant manage- ment support and accountability. The district’s Office of Grants and Sponsored Programs (Office of GSP) should develop and provide a formal training program for all district and college grant project directors and their assigned staff who will monitor grant expenditures and reporting. As part of the training program, the project directors at the colleges should be required to collaborate regularly (e.g., monthly) with the staff as- signed to their grant to monitor expenditures and reporting requirements. Project directors and staff need clear guidelines for post-award grant expenditure reports and would benefit from the district adopting grant management software to manage and monitor grants. The role of the Office of GSP is to serve as the district’s centralized grants management office. This cen- tralized role should focus on the business, compliance, and training aspects of grant management. The colleges will need clear guidelines, forms, roles and responsibilities to better understand and follow the adopted workflow to remain in compliance. FCMAT believes the colleges and the district have equally important roles in grant-related activities. The development and delivery of work plans that support positive student and faculty outcomes is the primary mission of any grant. To maintain autonomy at the colleges, each college’s grants department, project directors, and business office will need to coordinate at a high level and be trained on compliance measures such as allowable versus unallowable expenses, the chart of accounts, and reporting related timelines. When staff at the colleges and the district were interviewed about grant processing procedures to identify concerns, they developed potential solutions that can assist in efficiency, flow and compliance for grant processing. One of the outcomes of the interviews was to gather information that will improve coordination efforts between the district office and the colleges. FCMAT’s recommendations balance overall efficiency while continuing to support students, programs and innovation at the colleges, which is where the goals and outcomes of a grant are established and achieved. The district office and colleges should adopt pre- and post-award grant workflow models before identifying roles and responsibilities to ensure all fiscal compliance, college and district approvals and oversight requirements are met. This report outlines the next steps to develop and implement a comprehensive grants management pro- cess. The process recommended by FCMAT allows the colleges to have the autonomy needed to best serve their students and community while giving the Office of GSP the oversight and responsibility to main- tain compliance and facilitate the colleges’ efforts. Fiscal Crisis and Management Assistance Team Riverside Community College District 3 Findings and Recommendations Current Organizational Structure & Staffing Findings and Recommendations Current Organizational Structure & Staffing The district has four distinct grants offices, one at each college within the Office of Planning and Development Department and one at the district in the Office of Institutional Advancement & Economic Development De- partment. Each college and the district have personnel assigned, serving in a dean of grants role, to oversee and coordinate all grant activities. Each entity has assigned this role to a different position, and since these positions may have other nongrant-related roles and responsibilities assigned that vary by college, their titles are distinct. Simplified versions of the district and colleges’ organizational charts, depicting positions associat- ed with dean of grants activities, are shown below. Riverside Community College District Institutional Advancement and Economic Development – Grants & Economic Development Associate Vice Chancellor Grants & Economic Administrative Assistant IV Development Cristina Cervantes Jeannie Kim Executive Director, Executive Director, Office of Economic Development & Grants & Sponsored Director, Career & Technical Ed ProPgrroagms Entrepreneurship Programs Julianne Pehkonen Debra Mustain (Interim) Laurel McQuay-Peninger Director Director, Regional Procurement Assistance Grants Specialist AAppprpernetnitcieesshhiipp & Work Asst. Director, CTE Projects Center Cynthia Lendzion Based Learning Programs Sheryl Plumley Julie Santana-Padilla Charles Henkels (Interim) Occupational Educational Grants Administrative Procurement Specialist Assistant Specialist (Vacant) Grants Writer Patricia Homo Tesha Brown Rebecca Crippin Outreach Specialist – Procurement Specialist Director, CTE & K-14 CTE Grant Suzanne Myers Regional Technical (Vacant) Assistant Provider Accounting Technician Stephanie Murrillo Accounting Technician Kanani Hoopai Taylor Gilbertson Business Development Assistant (Vacant) Occupational Education Assistant Diann Thursby Economic Development Assistant Annette Vargas r05/22 Fiscal Crisis and Management Assistance Team Riverside Community College District 4 ! FinFdinindignsg sa nadn dR eRceocmommmenenddaattioionnss CuCrruerrnetn Ot rOgargnainzaiztaiotionnaal lS tSrturucctuturere & & S tSatffiafnfigng Riverside Community College District Moreno Valley College – Planning & Development Vice President Administrative Assistant Planning and Development IV Mark Figueroa Gabriela Estrada Toro Dean, Institutional Marketing & Media Technician Effectiveness Director, Grants Veronica Valdez Jacob Kevari (To be filled) Outcomes Assessment Specialist Dominique Swanson- Grant Writer Moise (To be filled) Applications Support Technician Vincent Alonzo Institutional Research Specialist Daniell Study Institutional Research Specialist (Vacant - PT) ! FisFcisacl aCl rCisriiss ias nadn Md aMnaangaegmemenetn At sAssissitsatnacnece T eTaemam RivReivresridsied eC oCmommmunuintyit yC oClolellgeege D Disitsrtircict t 55 Findings and Recommendations ! ! ! Findings and Recommendations Current Organizational Structure & Staffing D e c O o v ats u G aiti nI yti u q E & st n ar G , n a e sre y M asi L tsilaice p S e vitartsi ni m d A st nar G r e pi P eir ol a V n oit a m ot u A ni a h C yl p p u S r of rt C l’t a N F S N ,r ot c eri D . g or P ar e u g s e vit t n e d ut S i R v e r s N i o d c r e o A C C )t n a c a V( h cr a es e R l a n oit utits nI ,r ot c eri D h cl e W nilti a C )t n a c a V( tsil ai c e p S r e g a n a M t n e mss ess h cr a es e R l a n oit utits nI d n a h cr a es e R m a h g nill A esir a h C k c o c y A yr o g er G III ss e n e vit c eff E t n atsiss A e vit artsi ni m d A l a n oit utits nI , n a e D r e n g a W e eris e D g ni m el F ni v e K VI t n e m p ol e v e D d n a g ni n n al P atsiss A e vit artsi ni m d A t n e dis er P e ci V t n e m p o l e v e D d n a g n i n n a l P – e g e l l o s i D e g e l l o C y t i n u m m o t n r t i M c a V( c e T nit e kr a t )t n a c n ai ci n h M d n a g e d ai M a kr e nI nit urts g c l a e L ht u R tsil ai c e p S d or P l a n oit u c oit n 6 Fiscal Crisis and Management Assistance Team Riverside Community College District 6 ! r03/2022 Riverside City College – Planning and Development Riverside Community College District ! Findings and Recommendations Current Organizational Structure & Staffing Fiscal Crisis and Management Assistance Team Riverside Community College District 7 (Vacant) Lilia Acevedo Hoopai Specialist Hernandez (Vacant) Specialist Coordinator Sharice Fox Robinson Sandra R P o T s ) a s-Lopez Assistant Allyssa Ybarra Department Specialist Instructional Justin Banderas Coord. Supplemental Inst. (SI) Jazmin Paz Ted Tetirick Linda Sing Specialist Anthony Escalera Assistant II Educational Advisor Cinthya Gonzalez ((VVaaccaanntt) Kheesa Slaughter Specialist Advisor Administrative Grant Rafal Helszer Library Clerk I Bradshaw Lily Martinez (Vacant) Technician ((VVaaccaanntt) Jennifer Drake Specialist Laura Lozano Robinson Resources Technician Administrative Matriculation Specialist Counseling Clerk II Owashi Grant Research Michelle Dassow Melody Fries Bobbi Diaz Su S p tu p d o e rt n P t r S o u g c ra c m es s A & ss t. Counseling A A dm ss i i n s i t s a t n ra t t I i I v e Assistant II Glover (Vacant) (Vacant) Welker Moore III Specialist Program (Matriculation) Specialist Admin. Mgr. GGrarnantst sA Addmmiinniisstrtartaivtiev e Director Wendy McEwen Rachel Weiss (Vacant) Effectiveness Administration Support (Vacant) Kristine DiMemmo Miles IV Vice President Findings and Recommendations Current Organizational Structure & Staffing Fiscal Crisis and Management Assistance Team Riverside Community College District 7 the grant identification stage. generally does not participate in Business Services Department of all grant-related activities. The cated that he should be the hub dean of grants. This dean indi- College recently hired a new business services. Moreno Valley including the vice president for and all the vice presidents, eration and approval to apply. cabinet includes the president work plan. tions to the president for consid- review and approval. The college ate vice chancellor. expedite development of the grants forwards recommenda- mission to the college cabinet for are reviewed by the appropri- identified and available to grant opportunities. The dean of the area vice president for sub- pursued by a district function project director should be process. are requested to assist in vetting supervisor submits the grant to colleges; grants that will be 3. Upon selection, a probable be relevant in the decision-making necessary, other constituents to pursue the grant. The grant are reviewed and vetted by the cost of ownership. to provide cost information that may and business services. When has the interest and capacity be pursued by the colleges budget information and total Services Department is requested services, academic services, nity and determines if the college program staff. Grants that will should participate to provide goals. As necessary, the Business panel includes staff from student supervisor reviews the opportu- college grant deans and/or ness Services Department that align with college priorities and and recommendations. This supervisor for consideration. The forwarded to the respective stage, the college’s Busi- identify potential grant opportunities grants advisory panel for vetting appropriate, and relevant to the relevance and applicability and 2. Even at the evaluation and staff regularly research and priorities are forwarded to a refer those that are interesting, opportunities are reviewed for of grants. working in conjunction with faculty with the college’s institutional identify grant opportunities and Open and emerging grant nated by the college’s dean the primary grant writer. The dean Funding opportunities aligned at the college. Program staff college priorities and goals. be referred to and coordi- opment of grant applications and is aspects of a grant opportunity. oversees the grant function tunities that align with district/ 1. All potential grants should for possible adoption. administration oversees the devel- information form that outlines all does not have a person who identify potential grant oppor- SELECTING GRANTS 1. Preaward - Identifying grants The dean of grant development and Norco uses a grant proposal At the time of interviews, MVC Staff regularly research and LACK OF COORDINATION IN Considerations Grant Activity Riverside City College (RCC) Norco College (Norco) Moreno Valley College (MVC) District Concerns and the district and colleges. The charts below capture the current process, concerns and considerations for improvement of the grants process and workflow at flow Considerations for Improvement of the Grants Process and Work- Findings and Recommendations Considerations for Improvement of the Grants Process and Workflow Fiscal Crisis and Management Assistance Team Riverside Community College District 8 Findings and Recommendations Considerations for Improvement of the Grants Process and Workflow . s eitili bi s n o p s er d n a s el or ri e ht n o s e nil e di u g n ettir w o n er a er e h T .t n e mtr a p e D s e ci vr e S s s e ni s u B s’ e g ell o c e ht f o e c n at si s s a e ht hti w t e g d u b a f o n oit ar a p er p d n a r etir w t n ar g a g ni yfit n e di , n al p kr o w a f o t n e m p ol e v e d e ht s et a ni dr o o c st n ar g f o n a e d e h T .t n atl u s n o c e di st u o n a g ni g a g n e , yr a s s e c e n s a r o e g ell o c e ht m orf r e hti e d e fiit n e di si r ot c eri d t c ej or p a , yti n utr o p p o t n ar g a g ni yfit n e di n o p U - dr a w a er P . 2 yti vit c A t n ar G wdabadabmP .t n e m p ol e v e d t e g d u b d n a r etir t n ar g e ht f o n oit c el e s , d e p ol e v e si n al p kr o w e ht w o h , d e fiit n e di er st n ar g w o h n o y c n et si s n o c er o m e dl u o h s er e h T . st n a pi citr a p t n ar g ll f o s eitili bi s n o p s er d n a s el or d e n fi e r of d e e n a si er e h T .t c ej or p e ht e g - n a m ot s s e n g nilli w d n a d n u or g k c a ri e ht n o d e s a b t n ar g e ht e g a n a ot d e k s a er a sr ot c eri d t c ej or ) C C R( e g ell o C yti C e di sr e vi R N o of ni o N mr cr a o n oit o C w ell a g di v or p s cr o N( e e o d ) . N o M mr of ni o n er o a V w n oit y ell a a C d e di v or p s M( e g ell o . C V ) . st n ar g e ht f o t n e m e g a n a m r o o p ot g ni d a el , d e d n et x e-r e v o er a sr ot c eri d t c ej or p e m o s t a ht d n a , s s e c or p e ht ni et al lit n u t e g d u b a t u o hti w d e p ol e v e d er a st n ar g e m o s t a ht d e si ar s a w nr e c n o C . d eri h si r etir w t n ar g ytr a p- dri ht a , yr a s s e c e n s A . st n ar g l ait - n et o p et a ul a v e ot d el b m e s s a si e g d el w o n k d n u or g k c a b e ht hti w p u or g g ni n n al p A t cirt si D . 4 . 3 . 2 . 1 N A A L DC . st n ar g el pitl u m g ni g a n a m y b d e d n et x er e v o t o n er a sr ot c eri d t c ej or p t a ht er u s n e dl u o h s st n ar g f o n a e d e h T .t n e mtr a p e D s e ci vr e S s s e ni s u B e ht d n a ff at s , ytl u c af , sr ot c eri d t c ej or p e ht , st n ar g f o n a e d e ht f o s eitili bi s n o p s er d n a s el or e ht g ni n fi e d s e nil e di u g n ettir w e b dl u o h s er e h T .t e g d u b a f o t n e m p ol e v e d d n a n al p kr o w e ht f o t n e m p ol e v e d , g nitir w t n ar g ot g nit al er s eiti vit c a ll a et a ni dr o o c dl u o h s st n ar g f o n a e d e h T . n oit p o d a n o e di c e d d n a s eiti n utr o p p o t n ar g et a ul a v e ot d e d e e n s a n o d ell a c e b n a c t a ht e sitr e p - x e t n er effi d hti w ff at s f o p u e d a m e etti m m o c a el b m e s s a dl u o h s st n ar g f o n a e d e h T S EI TI LI BI S N O P S E R S E L O R E VI TI NI F E D F O K s n oit ar e di s n o C d n a s nr e c n o C Fiscal Crisis and Management Assistance Team Riverside Community College District 9 subgrantees. how to manage projects with are no written guidelines on by the funding source. There will be reported as required ment on how subgrantee costs divided. There is no arrange- work plan and budget can be administration decides how the funding agency. The college documentation as required by maintain grant expenditures Project directors collect and expenditures. ees’ reimbursement requests. subgrantees. of the project and incurred district to process subgrant- on how to manage projects with plan, status of their portion business office works with the There are no written guidelines their portion of their work and manage subgrantees. The of the subgrantee are in place. with a subgrantee including plan, budget, and how to set up ments for reviewing expenditures be developed on dealing directors to discuss the work grant is tracked. No arrange- Written guidelines should subgrantees. provide assistance to project but only the college portion of the with subgrantees. tandem with the subgrantee. on how to manage projects with grants and business services is included in the overall budget on how to manage projects and subsequently work in There are no written guidelines expenditures. The dean of participation. Subgrantee cost There are no written guidelines should develop the work plan and how the task may be divided. reviewing subgrantees’ monthly the extent of the subgrantee’s the work plan and costs. assigned project director work plan, the costs of the project plan, expenditures, budget, and the subgrantee to determine with the subgrantee to discuss 1. The dean of grants and the grantees. with the subgrantee to discuss the guidelines regarding the work every effort to communicate with project director will consult WITH SUBGRANTEES 3. Preaward - Managing sub- The project director coordinates There there are no written The project director makes As necessary, the assigned LACK OF COORDINATION Considerations Grant Activity Riverside City College (RCC) Norco College (Norco) Moreno Valley College (MVC) District Concerns and Findings and Recommendations Considerations for Improvement of the Grants Process and Workflow Fiscal Crisis and Management Assistance Team Riverside Community College District 10 grants, hits submit. and/or executive director granted, the grant specialist Office. Once approvals are by the respective Business education. grants. Budgets are reviewed budget to the county office of and the executive director of and a resolution to amend of grants at the college(s), funding source for approval foundation. the respective dean/director to the district board and to be submitted through the reviewed by the project team, forward the grant application well as grants that are required or to submission, the grant is pliance, the district should directly to the funding source, as document into the system. Pri- 3. After reviewing for com- some state grants are submitted specialist who uploads each lege president. so. GSP for submittal; however, grant documents to the grant should be limited to the col- the district has the capacity to do are forward-ed to the Office of the grant writer submits zation at the college level or local, the dean will submit unless vidually selected. Federal grants ly to the funding source. submission. When complete, 2. Grant application authori- for submission. If the grant is state involved, approvers may be indi- state grants are submitted direct- the application packet for certain limit. packet to the district grants office the grant and the personnel Office of GSP; however, some by the grant writer, prepares college approval only up to a grants will send the application Depending on the nature of Federal grants are routed to the Grant Development Team, led from contracts that require If the grant is federal, the dean of • College president for authorization. grants upon request. The applications are different as necessary application content. services vices and to the college president will submit state and local compliance review. Grant project supervisor reviews and edits • Vice president business vice president of business ser- behalf of the colleges and of grants at the district for to submission, the project director/ • Academic Senate services manager and sent to the submits all federal grants on ted to the executive director development and/or president. Prior • Department is reviewed by the business The District Grants Office should be forwarded/transmit progress to the VP of planning and • Supervisor by the project team. The budget and the funding source. level, all grant applications of grants communicates application grant application, including: narrative is reviewed and edited forwarded to the district board 1. After approval at the college as grants are developed, the dean approve various aspects of a However, in most cases, the of grants at the district and the following: applications. However, in general, and/or groups that may need to applications prior to submission. by the executive director To achieve consistency, complete grants for approval. on how and who reviews grant Form lists potential individuals process for reviewing grant by the district are authorized PROVAL PROCESS 4. Preaward - Submission of There are no formal guidelines Norco’s Proposal Information There is no formal written Grant applications processed LACK OF CONSISTENT AP- Considerations Grant Activity Riverside City College (RCC) Norco College (Norco) Moreno Valley College (MVC) District Concerns and Findings and Recommendations Considerations for Improvement of the Grants Process and Workflow Fiscal Crisis and Management Assistance Team Riverside Community College District 11 by the colleges. the reports is like that prepared However, the information on tion to the board of trustees. a summary of this informa- is accounted for, and presents making sure that each grant grants submitted and awarded, the district. year, GSP closes out the list of to designated college officials and the end of each academic the district. It should be distributed the annual list is updated. At be the same for all colleges and evaluated but not considered. tions are awarded or declined, Information in this report should cessful applications that were total requested. As applica- dates tions in process, and unsuc- purpose of the grant, and the • Beginning and end pending submissions, applica- the name of the grant, the • Description of the grant The spreadsheet also lists all includes the funding source, • Status – if approved Resources Council bimonthly. chancellor monthly. This report • Estimated funding spreadsheet is provided to the ed basis. report that is provided to the • Grant description beginning and end date. This can be obtained on an as-need- and prepares a consolidated • Name of the grant director, grant description, and the information is available and and awarded each month the following: amount of award, project obtained by the grant. However, the number of grants submitted in this report should include awarded. Master Plan goal alignment, developed, or the funds to be cer at each college to collect preaward stage. Information applications submitted and grants competitive sources, Education considered, if the work plan is works with the lead grant offi- monthly for all grants in the with information including grant received via direct allocations or regarding the number of awards throughout the year. GSP 1. A report should be prepared status of preaward grants. is submitted monthly to the district spreadsheet that lists all funding that provides information grants submitted and awarded ABOUT PREAWARD GRANTS 5. Preaward - Communicating the The status of grant development Norco prepares an Excel No formal report is prepared GSP maintains a list of all LACK OF COMMUNICATION Considerations Grant Activity Riverside City College (RCC) Norco College (Norco) Moreno Valley College (MVC) District Concerns and Findings and Recommendations Considerations for Improvement of the Grants Process and Workflow Fiscal Crisis and Management Assistance Team Riverside Community College District 12 of the project. for approval and timely start enable prompt processing college. This method should of Business Services at each dean of grants and Director coordinated with the college grants, this effort should be board approval. proval. In the case of college report for district board approval. board approval. prepares the report for district the reports for board ap- the college or district prepares the or district prepares the report for board approval. whether the college or district 2. The district should prepare There is no guideline on whether guideline on whether the college prepares the report for district There is no guideline on dean of grants. funding source or district. the college only. There is no on whether the college or district the college. ed to the respective college’s mitted to the college either from the office, some is still routed to the college. There is no guideline may be transmitted directly to information should be report- Approval of certain funding is trans- mation is relayed to the district office, some is still routed only to for funding for college grants directed to the district. This district. While most of the approval infor- mation is relayed to the district district grants office. Approval funding source should be report is done by the college or the district. While most of the approval infor- ing may be sent directly to the 1. All approvals from the board and the funding source. consistent. Preparation of the board college business office or the district. source, the approval for fund- APPROVAL after approval from the district approval from the board is not and budget is done by the is done by the college or the are sent directly to the funding PROCESSING FOR BOARD 6. Preaward - Action before and Preparation of the request for grant Preparation of the board report Preparation of the board report Since district-prepared grants LACK OF CONSISTENCY IN Considerations Grant Activity Riverside City College (RCC) Norco College (Norco) Moreno Valley College (MVC) District Concerns and Findings and Recommendations Considerations for Improvement of the Grants Process and Workflow Fiscal Crisis and Management Assistance Team Riverside Community College District 13 the Galaxy system. to train project managers on Services should be included vices or College Business 2. District Office Business Ser- pre- and post-awards. management and addressing explaining the proper grant have prepared a video expenditures. Some districts stand, manage and reconcile ments of grant management that explains how to under- understanding of the require- be included in this training ness services staff to improve Services Department should of grant management. directors that includes busi- modifications. The Business understanding of the requirements ment. ment. no formal training for project expenditures, and budget business services staff to improve requirements of grant manage- requirements of grant manage- project directors. There is spending, reconciliation of project directors that includes improve understanding of the to improve understanding of the to discuss grant issues with that includes proper grant There is no formal training for business services staff to includes business services staff conducts casual meetings (initiated by the district) and reconciling expenditures. for project directors that include training for project directors that best practices. The district undergo a formal training the necessary training on managing but there is no formal training project, but there is no formal vices Department, to discuss 1. Project directors should mentation. standing of the project, they lack administrative and fiscal staff, prepare to implement the including the Business Ser- GRANTS grant staff prior to grant imple- necessary background and under- to coordinate efforts between selected to manage the grant of staff assigned to the project, TO EFFECTIVELY MANAGE 7. Preaward - Preparation of While project directors have the As-needed meetings are held The project director and staff There is an informal meeting LACK OF FORMAL TRAINING Considerations Grant Activity Riverside City College (RCC) Norco College (Norco) Moreno Valley College (MVC) District Concerns and Findings and Recommendations Considerations for Improvement of the Grants Process and Workflow Fiscal Crisis and Management Assistance Team Riverside Community College District 14 requested. informally as needed and grant implementation. The GSP provides assistance how staff is proceeding with and achieve grant objectives. coordinate and keep track of and implement grant activities 2. The dean of grants should constituent groups to develop district board. with their supervisor and other if formally authorized by the The project director works district board approval only approval. are implemented at that level. as implementation after the board report and budget for implemented by a district office action may be taken such director and district to prepare implementation. Grants In the interest of time, earlier ness office works with the grant staff move forward with grant the budget from the county. named in the grant. The busi- the board resolution, project of the resolution to amend business office and the director Once the board approves board approval and receipt the beginning of the project. coordinates this effort with the project. approval of the grant. should start after district straints. The dean of grants initiates is received. The dean of grants the commencement of the is done after the district board 1. Implementation of the project approval to meet the time con- as the Grant Notification Letter The lead grants officer initiates discusses the work plan. This ING GRANTS the grant. project even before district board mentation of the grant as soon only after district board approval. nates with the grant team and THE TIMING OF IMPLEMENT- 8. Post-award - Implementing At times, the college starts the The college starts the imple- The college starts the project The dean of grants coordi- LACK OF CONSISTENCY ON Considerations Grant Activity Riverside City College (RCC) Norco College (Norco) Moreno Valley College (MVC) District Concerns and Findings and Recommendations Considerations for Improvement of the Grants Process and Workflow Fiscal Crisis and Management Assistance Team Riverside Community College District 15 specific grant. funding source for their only report to be provided to the software can also produce a mation electronically. Grant better control financial infor- identify grant software to 2. There is a strong need to tion in Excel worksheets. necessitating additional informa- provide all the above information The Galaxy system does not • Allowable expenses • Percent expended • Grant balance • Expenses through • Indirect costs • Budget revisions • End date Galaxy system. • Start date have not yet been entered into the • Project manager the most current expenditures that • Grant name system and updates the data with or other departmental officials. information: pulls information from the Galaxy dean of grants, project directors should include the following report is an Excel spreadsheet that This report is available to the grant activities. This report forwarded for their information. This been recorded in Galaxy. not available in the system. a similar monthly report of all lege departments and subsequently encumbrances that have not yet costs and additional information not available in Galaxy. and the district should adopt This report is prepared for all col- axy system and includes related spreadsheet to track incremental this report includes information Department for the colleges mation. expenditure report from the Gal- system and updates an Excel Galaxy system. As necessary, 1. The Business Services that lists all significant grant infor- expenditures and develops an for each grant from the Galaxy expenditures pulled from the DITURES preparing grant expenditures. a detailed grant expenditure report Department analyzes grant ment tracks all expenditures is prepared listing all grant AND COMMUNICATING EXPEN- 9. Post-award - Recording and The Business Department develops The Business Services The Business Services Depart- A monthly expenditure report LACK OF UNDERSTANDING Considerations Grant Activity Riverside City College (RCC) Norco College (Norco) Moreno Valley College (MVC) District Concerns and Findings and Recommendations Considerations for Improvement of the Grants Process and Workflow Fiscal Crisis and Management Assistance Team Riverside Community College District 16 subgrantee. all expenses incurred by the responsible for the validity of the lead grantee is ultimately 2. It should be emphasized that required. should be reviewed as 1. All subgrantee expenditures grantees. those expenditures. an audit of those expenditures. audit of those expenditures. an audit of those expenditures. EXPENDITURES expenditures incurred by sub- expenditures or require an audit of review expenditures or require review expenditures or require an review expenditures or require REVIEWING SUBGRANTEE 10.Post-award - Reviewing There is no formal method to review There is no formal method to There is no formal method to There is no formal method to LACK OF A PROCESS FOR Considerations Grant Activity Riverside City College (RCC) Norco College (Norco) Moreno Valley College (MVC) District Concerns and Findings and Recommendations Considerations for Improvement of the Grants Process and Workflow Fiscal Crisis and Management Assistance Team Riverside Community College District 17 grants and the Office of GSP. provided to the college dean of year, be updated quarterly and be This report should be for the fiscal • Total expenditures • Budget amount • Ending period • Starting period • Project director • Name of grant information: that includes the following be prepared by the colleges 3. A list of closed grants should grant in the Galaxy system. Services Office to close the the District Business regularly performed. with coordination between how grants are closed. is unclear if grant closeout is ness Services Department, there are no written guidelines on of grants. project directors. However, it closed by the college Busi- district initiates the close. However, project directors and the dean project directors. be closed in consultation with 2. College grants should be There are instances where the be closed in consultation with be closed in consultation with determines if a grant should managing this process. • Information relating to closing and determines if a grant should and determines if a grant should grant expenditures and roles and responsibilities of • Budget having been reached monitors grant expenditures ment monitors grant expenditures Services Department monitors guidelines that define the • Ending date Business Services Department The Business Services Depart- Informally, the Business 1. There is a need for written grant. initiates closing the grant based on: on how grants are closed. The on how grants are closed. on how grants are closed. CLOSING GRANTS 11. Post-award - Closing the The Business Services Department There are no written guidelines There are no written guidelines There are no written guidelines LACK OF CONSISTENCY IN Considerations Grant Activity Riverside City College (RCC) Norco College (Norco) Moreno Valley College (MVC) District Concerns and Findings and Recommendations Considerations for Improvement of the Grants Process and Workflow Fiscal Crisis and Management Assistance Team Riverside Community College District 18 Findings and Recommendations Considerations for Improvement of the Grants Process and Workflow d1 o2 c u m .P o s e n ts t-a w G .a rd ra n - S t A to ra c tiv g e ity o f g ra n t in fo rm a tio n to p e rfo rm a n a u d it. c a u s e a n a u d ito r re q u ire s a ll re la te d is tric t th a t n e e d to b e o b ta in e d b e T h e re a re a d d itio n a l fi le s a t th e in c lu d e d . to s u b g ra n te e s a re n o t a lw a y s R e c o rd s a n d d o c u m e n ts re la tin g d ire c to r • N o te s fro m th e p ro je c t • E m a ils re la tin g to th e g ra n t • A w a rd d o c u m e n ta tio n • F in a n c ia l in fo rm a tio n c o n ta in s : a n d lo a d s th is in a s h a re d d riv e th a c re a te s a fo ld e r fo r th e c lo s e d g ra n T h e B u s in e s s S e rv ic e s D e p a rtm e n R iv e rs id e C ity C o lle g e (R C C ) d - t t t a u d it p u rp o s e s . d is tric t th a t a re k e p t fo r in te rn a l T h e re a re a d d itio n a l fi le s a t th e q u ire d b y th e fu n d in g a g e n c y . a n d s a fe k e e p d o c u m e n ts re - G ra n t d ire c to rs a ls o m a in ta in e e s a re n o t m a in ta in e d . D o c u m e n ts re la tin g to s u b g ra n t- p ro je c t d ire c to r • N o te s p ro v id e d b y th e • E m a ils re la tin g to th e g ra n t • A w a rd d o c u m e n ta tio n • F in a n c ia l in fo rm a tio n c o n ta in s : p la c e d o n a s h a re d d riv e th a t m e n t c re a te s a fo ld e r th a t is T h e B u s in e s s S e rv ic e s D e p a rt- N o rc o C o lle g e (N o rc o ) a n a u d it. re la te d in fo rm a tio n to p e rfo rm b e c a u s e a n a u d ito r re q u ire s a ll d is tric t th a t n e e d to b e o b ta in e d T h e re a re a d d itio n a l fi le s a t th e m a in ta in e d . S u b g ra n te e re c o rd s a re n o t p ro je c t d ire c to r • N o te s p ro v id e d b y th e • E m a ils re la tin g to th e g ra n t • A w a rd d o c u m e n ta tio n • F in a n c ia l in fo rm a tio n c o n ta in s : p la c e d o n a s h a re d d riv e th a t m e n t c re a te s a fo ld e r th a t is T h e B u s in e s s S e rv ic e s D e p a rt- M o re n o V a lle y C o lle g e (M V C ) to p e rfo rm a n a u d it. re q u ire s a ll re la te d in fo rm a tio n o b ta in e d b e c a u s e a n a u d ito r T h e re a re a d d itio n a l fi le s to b e m a in ta in e d . S u b g ra n te e re c o rd s a re n o t p ro je c t d ire c to r • N o te s p ro v id e d b y th e g ra n t • E m a ils re la tin g to th e • A w a rd d o c u m e n ta tio n • F in a n c ia l in fo rm a tio n th a t c o n ta in s th e fo llo w in g : is p la c e d o n a s h a re d d riv e p a rtm e n t c re a te s a fo ld e r th a t T h e B u s in e s s S e rv ic e s D e - D is tric t 1FML d is tric t a n d th e c o lle g e . g ra n te e , m a in ta in e d a t th e d o c u m e n ts re la tin g to a s u b - d o c u m e n ta tio n , in c lu d in g e x p e n d itu re s a n d s u p p o rtin g T h e s e in c lu d e th e w o rk p la n , o n e c e n tra l s h a re d d riv e . id a te d a n d m a in ta in e d in a g ra n t s h o u ld b e c o n s o l- . A ll d o c u m e n ta tio n re la tin g to O R P O S T R E V IE W A IN T A IN IN G D O C U M E N T S A C K O F C O N S IS T E N C Y IN C o n s id e ra tio n s C o n c e rn s a n d Fiscal Crisis and Management Assistance Team Riverside Community College District 19 Findings and Recommendations Workflow and Distribution of Functions for Grant Development and Management Workflow and Distribution of Functions for Grant Development and Management A workflow is a sequential series of tasks necessary for a work project, such as a grant, to pass from ini- tiation to completion in a system. An efficient grant workflow optimizes the movement of grants from the evaluation, approval, funding and implementation stages while minimizing repetitive tasks that could cause delays. The district and its colleges have not adopted a standard grant workflow. While different workflows are used at each college and at the district, they do not provide a clear and efficient path of how grants are processed over their lifespan. Some areas of concern include the following: • Need for a central coordinator for grant compliance • Consistency in reviewing and authorizing grants • Consistency in preparing board of trustee agenda items for authorizing grants • Starting grant planning efforts prior to receipt of appropriations • Coordination between project directors and business services accountants in validating expenditures • Consistency in preparing the status of preaward and post-award grants • Need for a standard workflow at all three colleges and the district Each item above will require additional discussions, and solutions will need to be formally adopted as part of the final process. Fiscal Crisis and Management Assistance Team Riverside Community College District 20 Findings and Recommendations Other Considerations that Support Grant Development and Management Other Considerations that Support Grant Devel- opment and Management Coordinated Reporting and Communications Grant recipients are required to submit regular reports documenting a project throughout its life span. These reports may include financial data (e.g., staff and contractor salaries, equipment purchases, travel expenses, etc.), results and impact of the project, lessons learned, and sustainability plans. Grant reporting and communication in an organization are also vital to support grant development and management. Internal grant reporting involves sharing relevant information to advise all stakeholders on the status of pre- and post-award grants, and to allow staff to evaluate and analyze grant informa- tion. During interviews, staff reported communicating internally about grants through various reports prepared for college and district officials; however, these reports are not prepared in a standard format. Clear guidelines for post-award grant expenditure reports should be developed across the district and colleges, and these reports should be submitted monthly by the district or college to the district’s Of- fice of GSP. Internal grant reporting and communication in the following areas should be addressed: Tracking the Status of Preaward Grants Each college and the district should track the status of preaward grants, including grants con- sidered, selected, and those undergoing review and authorization. Reporting the status of these preaward grants is valuable and should accomplished using a consistent format. This preaward grant status should be submitted to selected college officials and the district’s Office of GSP. Tracking the Status of Post-Award Grants The college’s business services accountant assigned to a grant is responsible for preparing grant expenditure reports. The district and the colleges should adopt a common post-award grant management data form that includes information not available in the Galaxy system. This post- award grant management data form should be submitted monthly to certain college officials and the district’s Office of GSP. The district should also explore acquiring a grants management system to store all grant-related information and eliminate the need for manually prepared supplemental Excel worksheets. Use of Transmittal Forms The transmittal form used to route grants from one office to another is designed for contracts, which is not suitable for grants. The district’s Office of GSP should create a common grant transmittal form that resembles the contract transmittal form in use, but includes additional information such as the recipient of grants at each step in the grant workflow for review and/or authorization. Fiscal Crisis and Management Assistance Team Riverside Community College District 21 Findings and Recommendations Collaboration Between Project Directors and the College Business Services Office Collaboration Between Project Directors and the College Business Services Office The project director and the business services accountant should collaborate in an ongoing manner to discuss and understand budget expenditures. Project directors should collaborate regularly (e.g., month- ly) with the business services accountant assigned to their grant to monitor expenditures and reporting requirements. Currently, the grant expenditure report for the college/district is provided to department officials. Grant expenditures for specific grants should be provided directly to the project directors and followed up with a meeting to discuss any issues and expenditures to date. Working with Subgrantees Some grants require the participation of a subgrantee to work on the project under the stipulation of the grant. There are no written guidelines for managing subgrantees. At most, there is a discussion of the work plan and budget participation. It is a federal requirement to manage the status of subawards. Many of the terms and conditions of the lead grantee flow down to the subgrantee. Therefore, one of the lead grant- ee’s responsibilities is to ensure the subgrantee has the capacity to comply with the technical and financial management obligations under the subaward agreement. To maintain an efficient working relationship with a subgrantee, the lead grantee should ensure the following: • Develop and document procedures for the subgrantee selection process. The process must include steps to validate that their qualifications are consistent with the requirements of the project. • The subgrantee agreement must be clear and specific about the amount of participation needed to support the work plan. • The subgrantee budget in the agreement must be within the funding amount and reason- ably support the work plan. • The subgrantee agreement must include a requirement for periodic updates on the proj- ect’s status and the amounts expended, listing the dates the updates will be required. • The subgrantee agreement must include a requirement that all related information be turned over to the district’s Office of GSP at the conclusion of the project. • The subgrantee agreement must include a requirement for a list of expenditures and, if requested, copies of related documentation for validation. Grant Closure When a grant ends, the district and college should work together and follow the closeout process required by the grant’s funding source. During interviews, staff indicated grant closing documents are not stored in a central location. The district’s Office of GSP should house all district and college grant closure documents in a centrally shared file so they can be easily accessed by auditors, and district and college staff. In ad- dition, the district’s Office of GSP should be responsible for coordinating, developing and presenting the outcomes of the grant. At a minimum, this presentation should equal the effort of the presentation delivered when the grant was awarded. Fiscal Crisis and Management Assistance Team Riverside Community College District 22 Findings and Recommendations Collaboration Between Project Directors and the College Business Services Office Assessment Upon the closure of a specific grant, district and college staff should meet to assess the grant, the process, challenges and successes to determine lessons learned to continually improve the process and workflow of grants. Trending the Impact of Grants As grants increase, there may be an impact on existing resources such as procurement and human resourc- es. District staff should trend grant-related workload activities in existing departments such as Human Re- sources, Procurement and any other affected areas to better understand the impact and plan for any future district personnel needs in those departments. Grants Workflows Upon review and analysis of the current practices, documented concerns and potential solutions to address these concerns, FCMAT drafted proposed workflows for pre- and post-award of grants. Fiscal Crisis and Management Assistance Team Riverside Community College District 23 ! May 13, 2022 (9) Notice of Budget Amendment from the county office of education is forwarded to the District Business Services Department for grant implementation. (8) After receipt of funding source approval, the Resolution to Amend Budget is forwarded to the county office of education. (7) Upon approval, the grant is forwarded to the funding source for acceptance. (6) District Grants Office prepares the report for inclusion in the RCCD board agenda for approval. (5) The grant is reviewed by the vice-chancellor and cabinet and returned to the District Grants Office. (4) After college president authorization, the Office of Planning and Development forwards to the District Grants Office for district review and to obtain approval from the RCCD board and funding source. (3) The completed grant application is forwarded to the college president for review with the cabinet and authorization to proceed. (2) Completed grant application is sent to departmental reviewers for comments. (1) Office of Planning and Development coordinates all grant selection working with project directors and business services accountants. (9) pre-award grants processing (4) applications for Authorize grant (3) President Office of the (7) COLLEGES DISTRICT Grants Preaward Workflow Grants Pre-Award Workflow RIVERSIDE COMMUNITY COLLEGE DISTRICT Preward Workflow ! Findings and Recommendations Fiscal Crisis and Management Assistance Team To District Business Services Department Findings and Recommendations Collaboration Between Project Directors and the College Business Services Office Fiscal Crisis and Management Assistance Team Riverside Community College District 24 Findings and Recommendations Collaboration Between Project Directors and the College Business Services Office 1. The college will first determine whether a grant will support students, and that the program and outcomes are aligned with the strategic goals of the institution. To support an inclusive and participatory structure, the college’s dean of grants should assemble an ad hoc committee to evaluate grant opportunities and decide whether to pursue those that come before them. The award grant workflow begins with the college’s Office of Planning and Development. This department is responsible for coordination of all grant activities of the college. All potential grants should be referred to and coordinated by the college’s dean of grants. Even in the evaluation stage, the college’s Business Services Department should participate to provide unforeseen cost information and the total cost of ownership. Upon approval by the college president to move forward, a potential project director should be identified and available to expedite development of the work plan if a grant is selected. For each grant, the college will select a project director and a grant writer. If a grant requires any subgrantees, the project director will coordinate the agreement to include deliverables, outcomes, and any other terms in the subgrantee agreement. The project director will work with the business services accountant on financial evaluation and fiscal coordination and development of the budget for the grant application. 2. Once the grant application is drafted, it will be forwarded to a college grant reviewer(s) who will review and provide feedback to make the grant as competitive as possible. 3. A final draft of the grant application is then forwarded to the college’s president’s office for review, approval and authorization by the cabinet to proceed for processing. 4. Upon approval by the president, the college’s Office of Planning and Development will forward the grant application to the district’s Office of GSP for compliance review. Grants are different from contracts that require college approval only up to a certain limit. Instead, the district board approves all grants regardless of amount. The district’s Office of GSP will prepare the grant for review and processing for authorization by the district board. As necessary, this effort should be coordinated with the college’s dean of grants. This method should allow prompt commencement of the project and inclusion on the board agenda. 5. The district’s Office of GSP will receive the grant application from the college’s Office of the President and will forward to the vice chancellor for review. The district’s Office of GSP will review the grant application’s work plan. If the grant has a subgrantee, the district project director will review the agreement. The district’s Office of GSP will work with the district business services accountant to review financial information and budget for the grant. 6. The vice chancellor and district cabinet will receive grant application information. Once reviewed, it will be returned to the district’s Office of GSP for inclusion on the board agenda. 7. A board agenda item for the grant will be prepared requesting board authorization. When the grant is submitted to the district board for authorization to proceed with submission, it may be important to secure authorization for any other approvals once a funding notice from the funding source is received. This could include recruitment approval for positions, authorization to temporarily utilize alternative funding, etc., so that the program and support for the colleges may continue during the funding and board approval stage. 8. Upon authorization by the district board, the district’s Office of GSP will submit the grant to the funding source for approval. Fiscal Crisis and Management Assistance Team Riverside Community College District 25 Findings and Recommendations Collaboration Between Project Directors and the College Business Services Office 9. After receiving approval from the funding agency, the district’s Office of GSP and district Business Services Department will assign a budget string to the grant and prepare the budget document for district board approval of the appropriation. In certain cases, grant funding letters go to the colleges instead of the district. On those rare occasions, the college must forward the funding letter to the district’s Office of GSP as soon as possible so the district board agenda item can be developed and submitted for approval. Fiscal Crisis and Management Assistance Team Riverside Community College District 26 ! May 13, 2022 (8) As grants are closed, a report should be available and all related documentation maintained at the District Grants Office. (7) A monthly grant expenditure report, prepared by the business services accountants should contain all relevant information and provided to interested parties. (6) Close coordination between the project directors and business services accountants to understand the nature of spending. This is an area of difficulty. (5) Begin grant implementation. Grants should not commence until RCCD approval and receipt of Budget Amendment. (4) College business services accountants coordinate with district Business Services Department to ensure that funds had been transferred to the grant budget to enable spending. (3) A formal training program is scheduled for project directors and business services accountants. (2) Approval of appropriations is communicated to the Office of Planning and Development. (1) Budget Amendments from the county office of education is communicated by the District Grants Office to the district Business Services Department (4) COLLEGES DISTRICT Issues appropriations Education Grants Post-Award Workflow County Office of Post-Award Workflow RIVERSIDE COMMUNITY COLLEGE DISTRICT ! Findings and Recommendations Fiscal Crisis and Management Assistance Team Riverside Community College District 22 grant Project Directors District Grants Office District Business Services Findingd and Recommendations Collobaration Between Project Directors and the College Business Office 1( B ) u d g e A t m e n d m e n orf st m ht e c o u n yt o fif c e o e f d u c a oit n a er c o m m u n ci a et d b y ht e D cirtsi G t r a n O st fif c e ot ht e d cirtsi B t u nis e S ss e r v ci e D s e p a r mt e n .t Fiscal Crisis and Management Assistance Team Riverside Community College District 27 Findings and Recommendations Collaboration Between Project Directors and the College Business Services Office 1. The district’s Business Services Department will prepare a board agenda item and budget resolution requesting approval to include appropriations in the budget. Upon district board approval of the resolution, the district Business Services Department staff will forward the resolution to the county office of education and ensure the college Business Services Department staff are aware of the appropriate budget and coding to enable execution of the grant expenditures. 2. The district’s Office of GSP will communicate to the college’s Office of Planning and Development when appropriations have been received. 3. The district’s Office of GSP will require a formal training for the project directors. The training will be created by district’s Office of GSP prior to the implementation of the grant. This training session will include project directors and business services accountants and will provide information on grant outcomes, expenditures, subagreements (if any), budgets, and reporting. 4. The college and district Business Services Department staff will coordinate to ensure the budget has been posted and grant spending can commence. 5. The grant is now ready for implementation. Expenditures should comply with all approvals and processes that have been ratified prior to the implementation (i.e., board approval to proceed, etc.) 6. The project directors and business services accountants will regularly coordinate. The project director needs to coordinate efforts with college’s Business Services Department and regularly obtain the latest list of expenditures charged to the grant. All charges should be reviewed and validated. In addition, all periodic reports, including closing reports, should be reviewed by all appropriate and authorized parties prior to submission. If the grant has subgrantees, coordination will be necessary prior to completion of reports. 7. Monthly grant expenditure reports should be prepared by the college’s business services accountants and forwarded to the project director, college administration and district’s grants and Business Services Department staff. 8. College grants should be closed by the college’s Business Services Department. Upon closing of a grant, all relevant reports and grant documentation should be forwarded to the district’s Office of GSP where it will be maintained. During the development of district and college roles and responsibilities, each step above should be re- viewed in detail to ensure all strategic goals are met. Recommendations The district should: 1. Adopt a preaward and post-award grant workflow that focuses on efficiency in developing and managing all grants. The workflow should address the following: • Fiscal compliance • College autonomy and innovation • Timely coordination of all grant-related activities at the colleges and the district Fiscal Crisis and Management Assistance Team Riverside Community College District 28 Findings and Recommendations Collaboration Between Project Directors and the College Business Services Office • Thorough review and authorization of grant applications • Processing and district board authorization and approval of grant applications and awards • Obtaining county office of education budget amendments • Managing the work plan and constant review of grant expenditures • Closing the grant and document storage 2. Once the grant workflow is adopted and institutionalized, conduct a workshop with deans of grants, grant managers and business office staff responsible for grant management with the goal of developing a model workflow for pre- and post-award grants. The models should be adopted districtwide prior to identifying roles and responsibilities. During this process, staffing needs should be identified. Throughout the development of district and college roles and responsibilities, each step of the preaward and post-award grant workflows should be reviewed in detail to ensure all strategic goals are met. 3. Develop a common preaward grant status form for the colleges and district to use to track the status of preaward grants, which should be submitted to and maintained by the district’s Office of GSP. 4. Develop a common post-award grant management data form with grant information including the grant’s administrator, start date, ending date, indirect costs, and allowable expenses, etc., which should be submitted to and maintained by the district’s Office of GSP monthly. 5. Identify and acquire technology (software and/or hardware) to support grant coordination, development and management districtwide. 6. Develop a training program for all grant-related personnel with a focus on forms, workflow, and roles and responsibilities. 7. Trend grant-related workload activities in areas such as human resources and procurement to better understand the impact of grants and to plan for future district personnel needs in those departments as activity increases or decreases over time. 8. Ensure that the project directors at the colleges collaborate regularly with the business services accountant assigned to their grant to monitor expenditures and reporting requirements. 9. Prepare written guidelines for managing subgrantees to ensure that they have the capacity to comply with the technical and financial management obligations under subaward agreements. 10. Ensure all college and district grant closeout documents are in the central shared file at the district’s Office of GSP. 11. Coordinate, develop and present the outcomes of the grant at the district’s Office of GSP. At a minimum, this presentation should equal the effort of the presentation delivered when the grant was awarded. Fiscal Crisis and Management Assistance Team Riverside Community College District 29 Findings and Recommendations Collaboration Between Project Directors and the College Business Services Office 12. Perform an overall assessment at the conclusion of each grant by district and college staff to identify lessons learned, improvements, etc. This is necessary to continually improve and strengthen processes to support students, programs, and support the institution’s strategic plans. Fiscal Crisis and Management Assistance Team Riverside Community College District 30 Appendix Appendix Study Agreement Fiscal Crisis and Management Assistance Team Riverside Community College District 31 Appendix Fiscal Crisis and Management Assistance Team Riverside Community College District 32 Appendix Fiscal Crisis and Management Assistance Team Riverside Community College District 33 Appendix Fiscal Crisis and Management Assistance Team Riverside Community College District 34 Appendix Fiscal Crisis and Management Assistance Team Riverside Community College District 35 Appendix 11/17/21 Fiscal Crisis and Management Assistance Team Riverside Community College District 36