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HomeMy WebLinkAbout09/06/2011, C6 - AUTHORIZATION TO APPLY FOR UP TO $25,000 IN GRANT FUNDING FROM THE DAVENPORT INSTITUTE OF PUBLIC PO 0 0 council M°°fln °9/6/2011 acenba Report "`.Nu i., CITY OF SAN LUIS OBISPO FROM: Michael Codron, Assistant City Manager Prepared By: Claire Clark, Economic Development Manager SUBJECT: AUTHORIZATION TO APPLY FOR UP TO $25,000 IN GRANT FUNDING FROM THE DAVENPORT INSTITUTE OF PUBLIC POLICY TO SUPPORT THE PUBLIC ENGAGEMENT COMPONENT OF THE ECONOMIC DEVELOPMENT STRATEGIC PLANNING PROCESS RECOMMENDATION 1. Direct staff to complete and submit an application for grant monies up to the amount of $25,000 from Pepperdine University's Davenport Institute 2011 Public Engagement Grant Program. 2. Authorize the City Manager to execute all grant related documents. DISCUSSION Pepperdine University's Davenport Institute for Public Engagement and Civic Leadership Part of the Pepperdine University School of Public Policy, the Davenport Institute for Public Engagement and Civic Leadership was created to help solve California's public problems by promoting citizen participation in governance. Since its founding as a multi-partisan and non-profit organization in 2005, the Davenport Institute (formerly Common Sense California) has worked to engage the citizens of this state in the policy decisions that affect everyday lives. One way that the Institute accomplishes this aim is through its Public Engagement Grant Program, which is currently accepting applications for its 2011 program. The grant is open to municipalities and civic organizations interested in involving the public on an issue of significance to their community or district. Past awards have supported projects in the areas of budget, land use and public safety, among others. This year's award may include consulting services for a public engagement effort. In addition, the Davenport Institute will provide customized training to grantees prior to the launch of the public engagement program. In assessing the viability of a City application for this grant funding, staff believes that it can meet all of the commitment and readiness factors used to evaluate each application. The process for developing the City's Economic Development Strategic Plan will benefit from a vibrant public participation program. Our community's emphasis on open government and thorough citizen participation during the process. If the City is awarded this grant, it will improve the public outreach by increasing financial resources available to the project and by providing customized training. Fiscal Impact of the Grants This grant, if awarded, will provide outside funding to support the civic engagement portion of the economic development strategic plan process. This year, the Davenport Institute will be awarding over$50,000 in funded services to selected grantees. It is anticipated that 2-3 grants will be offered this year, with a maximum award of$25,000. C6-1 I 2011 Davenport Institute Civic Engagement Grant Application Page 2 The City's grant management policy includes guidelines for evaluating the fiscal impact of grant applications (Attachment 2). This grant will not have a negative fiscal impact because: 1. It will not add regular staffing. 2. Any matching funds or in-kind contributions are already available within existing resources, and no additional appropriation of unreserved, undesignated fund balance or working capital is required. 3. At the conclusion of the grant, there will no ongoing commitments or obligations to continue the program. 4. The purpose of the grant program is clearly consistent with current City plans, policies and goals. ALTERNATIVES The Council could decide not to pursue this source of grant funding. This is not recommended as submitting the application does not commit the City to anything; if, however, we choose not to apply we will lose the opportunity entirely. ATTACHNIENTS 1. Grant program summary 2. Grant management policy T.-CmmciAeendaReports/4 dministration/CAR'EconDev/CivicParticipationGrantApplication2Ol I.do C6-2 ATTACHMENT 1 Pepperdine University School of Public Policy Davenport Institute Grants Information,Selection Process& Criteria For our fourth consecutive year,the Davenport Institute for Public Engagement and Civic Leadership(previously conducted through Common Setae Cafifoma)invites applications for its 2011 Public Engagement Grant Program This year,over$50,000 wig be distributed amongst grunt-recipients in the form of funded public engagement consulting services with a maximum individual grant amount of$25,000.Applications through our easy-to-use website are due by September 14,2011 with final grantees announced on September 29,2011.For the fast time,this year's grantees will also receive customized training from the Davenport Institute in public engagemerd techniques and process design. Who May Apply? The gam is open to municipalities and civic organirrtbris interested in involving the public on an issue of significance to their conmrunity or district.Past projects have related to budget,land use and public safety,among others. Eligible Applicants: 1. Mayors,City Coma City Managers,Assistant City Managers 2. County Staff 3. Special/School District Board Members/Senior Staff 4. Executive Directors ofregional governance associations(COGS) 5. Executive Directors ofnon-profit organi;cttions What will the Grant Provide? Prior to beginning their public engagement campaign,grantees will also receive training and consultation from the Davenport Institute to build understanding and support for the civic engagement effort amongst admirstrative and elected officials. Tlx Davenport Institute will find a professional comuhant(s)to work with your municipalhy/orpniztion on facilitated public forums.Davenport senior staff and consultants win work with grantees to design the sessions and will facilitate deliberations amongst residents,stakeholders and government representatives. Consultants will be chosenthrough conaboretion between the grantee and the Davenport Institute. Selection Process: Interested organizations must submit an online appl citron.Applicants will be contacted within two weeks of their submission to confirm receipt.AD gam applications are due by September 14,2011,and submissions wig be reviewed by members of the Davenport Institute Advisory Council. Top applicants wilt participate in an interview(by phone or site visa)and final decisions will be announced on September 29,2011.After decisions are finalized,the Davenport Institute will schedule a tramang and consultation with grantees.Ttte will also provide an opportunity for the grantees&Davenport ustime to confer in order to . identify a consultant to be funded by the gam. Selection Criteria: The Davenport Institute understands that governing and civic institutions define"civic etgagetnetn"in a myriad of ways—from udormug to involving their publics.The foDowing factors will be considered in the awarding of an Citizen Engagement Grants: C6-3 ATTACF1P;n,EMT 1 Comntitinent:. I. While you may be very concerned about the particular issue,can you conduct this process without biasing the outcome? 2. Along with support and advice from your Ended consultant and the.Davenport Institute are you also willing to commit staff resources towards the engagement project?How? 3. While the Davenport Institute is not looking for guarantees that the results of a project will be fufry and completely implemented,what is the commitment of key administrators and elected's to use the work of their ckbm in the decsior-making process? 4. The Davenport Institute would expect to receive a briefperfbrntance review of the engagement process after its completion sur mar¢mg lessons learned and successes. Readiness(of issue and recipient): 1. Have you reached a stage in the decsioo-making process where your organiztion is ready to begin invoMng dens in the next several months? 2. Briefly describe any civic engagement events(online or in-person)you have previously done. 24255 Pacific Coast Highway, Malibu, CA 90263-7493 1 Phone: 310.506.7493 1 Fax: 310.506.7494 Copyright© Pepperdine University 2011 1 Terms of Use I Privacy Policy I Web Feedback I Emergency Information C6-4 ATTACHMENT 2 Section 740 GRANT . �POLICY OVERVIEW With state-takeaways and continued decreases in key General Fund revenues, grant revenues have become an even more important part of the City's overall resource picture, especially in funding capital improvements. Although grant programs themselves are being reduced and becoming more competitive, actively seeking out grant revenues that assist in achieving identified City goals and objectives should nonetheless play a key role in the City's overall financial health strategies. The purpose of this policy is to set forth an overall framework for guiding the City's use and management of grant resources. GOALS 1. Set forth the importance of grant programs in accomplishing City goals and objectives. 2. Establish general concepts and framework for seeking and managing grant programs. 3. Identify roles and responsibilities in managing grant programs. 4. Establish criteria for evaluating the benefits and costs of grant programs. 5. Set forth the City's policy in complying with Single Audit Act requirements. GENERAL CONCEPTS AND FRAMEWORK 1. The City will aggressively pursue grant funding from federal, state and other sources, consistent with identified City goals and objectives. 2. Aside from entitlement grants, the City should focus its efforts on securing grants for capital improvements. This approach will allow the City to compete for projects we might not otherwise be able to afford while maintaining financial independence should future grant sources diminish. Grants for operating purposes may be considered on a case-by-case basis after careful consideration of the benefits of the program and the ongoing impacts on the City if grant funding is no longer available. 3. Until the City's financial situation significantly improves, we should avoid grants that fund "pilot" operating programs or short-tern staffing enhancements to existing programs. Taking on these programs could ultimately aggravate the City's fiscal position should the desire for the program remain once the grant funding is no longer available. 4. The City will only seek grants when sufficient staff resources are available to effectively administer the program in compliance with grant requirements and successfully perform the grant workscope. 740-1 C6-5 ATTACHMENT 2 Grant Management Policy 5. Indirect costs of administering grant programs will be recovered to the maximum extent feasible. 6. Operating departments have the primary responsibility for seeking out grant opportunities, for preparing effective grant applications and for successfully managing grant programs after they have been awarded. 7. Operating departments should develop a simple system that tracks grant funding availability in their functional areas. Using this system, all capital improvement plan budget requests will evaluate and document the ability of grants to assist in funding the project. ROLES AND RESPONSIBILITIES City Council 1. Approves grant management policies. 2. Approves all grant applications in excess of $5,000 and delegates receipt and contract execution to the City Manager if delegation is allowed by the grantor agency. City Manager 1. Receives grants and executes related contract documents when delegated to do so by the Council. 2. Develops, recommends and maintains grant management policies. Operating Departments 1. Develop systems for maintaining ongoing information regarding grant availability within their functional areas of responsibility. 2. Evaluate benefits and costs of specific grant programs on a case-by-case basis: a. Purpose of the grant program and its consistency with identified City goals and objectives. b. Additional staffing, office space, facilities, supplies or equipment that will be required if the grant is awarded. c. Ongoing impacts of the grant program after it is completed. d. Responsibilities of other departments and impacts on them in preparing the grant application or performing workscope if the grant is approved. 740-2 C6-6 C,� `��+TTACHMENT 2 Grant Management Policy e. Amount of indirect costs to be recovered from the grant, f. Total program costs, including portion funded through grant revenues and any required City contribution. g. Source of funding for any required City share. h. Compliance and audit requirements, paying special attention to those areas where the grantor's administrative procedures are different than the City's. 3. Prepare grant applications. a. Work with the grantor agency in identifying special program requirements and developing strategies for preparing a successful grant application. b. Complete grant application documents. c. Coordinate with affected departments as necessary. d. For grants in excess of$5,000, prepare a Council agenda report requesting authorization to seek grant funding. This report should describe the grant program's conformance with this policy, including the results of the costibenefit analysis. e. For grants of $5,000 or less, submit the grant application, subject to the following conditions: • It will not add regular staffing. • Any matching funds or in-kind contributions are already available within existing resources, and no additional appropriation of unreserved, undesignated fund balance or working capital is required. • At the conclusion of the grant, there will no ongoing commitments or obligations to continue the program. • The purpose of the grant program is clearly consistent with current City plans, policies and goals. 4. Administer grant programs if awarded. a. For grants in excess of$5,000, prepare a City Manager Report (or Council agenda report if required by the grantor agency) accepting grant award, including grant summary form (see attached), budget amendment request and any other required City forms or documents; and coordinate execution of grant documents by the City Manager and return executed documents to grantor agency. b. For grants of$5,000 or less, execute and return grant documents to grantor agency. c. Notify affected departments of grant award. 740-3 C6-7 O O ATTACHMENT 2 Grant Management Policy d. Maintain financial and other records in accordance with grant requirements. e. Complete and submit required reports, including requests for funds. f. Monitor grant expenditures and receipt of revenues. g. Coordinate on-site management reviews by the grantor agency during the grant term. h. Ensure compliance with grant requirements, paying special attention to those areas where the grantor's administrative procedures are different than the City's. i. Perform the grant workscope. 5. Complete grant closeout. a. Complete the grant workscope. b. Notify affected departments that the project is completed and schedule a "close-out" meeting if necessary to resolve any final procedural issues. c. Ensure final receipt of grant revenues. d. Prepare and submit any required grant close-out documents. e. Review grant file for completeness. f. Retain all necessary program and financial records for the period of time required by grantor agency. g. Coordinate any on-site management reviews or audits after the grant is completed. h. Resolve any audit findings. L Ensure that the City's policy regarding single audit act requirements is implemented as discussed below. Department of Finance & Information Technology 1. Provides technical assistance to operating departments in preparing grant applications, submitting reports and maintaining records. 2. Coordinates preparation and distribution of single audit reports. Other Departments Provide assistance to the managing department as identified during the grant application and award process. 740-4 C6-8 0 ATTACHMENT 2 Grant Management Policy SINGLE AUDIT ACT REQUIREMENTS Background The City is subject to the financial and compliance requirements of the Single Audit Act of 1984, which is applicable to all local and state governments expending more than $500,000 in federal financial assistance during a fiscal year. The purpose of the Act is to: 1. Improve the financial management and accountability of state and local governments with respect to federal financial assistance programs. 2. Establish uniform requirements for audits of federal grants. 3. Promote efficient and effective use of audit resources. 4. Assure that federal departments and agencies rely upon and use audit work performed during a single audit rather than performing the audit work themselves. Under this Act, federal grants are included under an inclusive single audit program that is incorporated into the City's annual audit and financial report preparation process. During the audit, tests are made to determine the adequacy of the internal control structure, including that portion related to federal financial assistance programs, as well as to determine that the City has complied with applicable laws and regulations. City's Policy Regarding the Single Audit Approach For federal grants included in the scope of the City's single audit approach, it is the City's policy that all financial and compliance issues have been met through the single audit, and follow-up audits to determine these issues are not necessary unless specifically related to findings or recommendations included in the single audit report. As noted above, the purpose of the Act is to establish uniform audit requirements, promote efficient use of audit resources, and assure that federal agencies rely upon audit work already completed; its purpose is not to audit local agencies twice. Accordingly, the City will strongly resist any efforts by federal agencies to duplicate audit work already performed in complying with Act requirements. As such, whenever federal grantor agencies request final audits, the managing department should notify the Department of Finance in order to ensure a consistent response to these types of requests. ATTACHMENT Grant Summary Form r• Originally Approved by the Council on August 16, 1994 (Resolution No. 8311); Amended by the Council on December 3,2002(Resolution No. 9397); Updated by Finance Division on September 11,2009 740-5 C6-9