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Solicited Guidelines Worksheet Financial Grant Management

By Dan Pierce,2014-05-18 05:23
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Solicited Guidelines Worksheet Financial Grant Management

    Financial Grant Management Capabilities Form

     NOTE: This form should be completed by your financial staff, but included as a separate item along with the proposal package.

    SECTION A: PURPOSE

    Since the Water Research Foundation’s financial and business responsibilities include the proper discharge of the Public Trust, this form is used to provide an indication of the capability of your

    organization’s systems to meet the criteria outlined in the Foundation’s Project Funding

    Agreement.

    SECTION B: GENERAL INFORMATION

Name of Your Organization: ___________________________________________________________ (as it would appear on The Foundation’s Project Funding Agreement)

    Address: ____________________________________________________________________________

City, State, Zip: ______________________________________________________________________

Dun & Brad#: ______________________________ EIN: __________________________________

    Please answer every question.

    1. Number of employees in your organization: Full Time ________ Part Time ________

2. Has your organization received funding from The Foundation within the last two years?

     Yes _____ No _____

3. Organization type: Non-Profit _____ Local Government_____ College/University_____

     For Profit (Commercial) _____ Other Identify)_________________

    SECTION C: BUSINESS MANAGEMENT SYSTEMS

4. Has your organization ever been audited under OMB Circular A-133, Single or Program

    Specific Audit? Yes _____ No_____ If Yes, latest FYE :___________(e.g. 06/30/2008)

5. Is your organization likely to spend between $500,000 and $1,000,000 in Federal Assistance in

    its current fiscal year (Yes __ No___), or more than $1,000,000 (Yes __ No___)?

6. Does your organization have written Policies and Procedures to cover the following business

    management areas?

     Personnel Polices and Procedures Yes _____ No _____

     Procurement Policies and Procedures Yes _____ No _____

     Property Policies and Procedures Yes _____ No _____

     Travel Policies and Procedures Yes _____ No _____

    Rev:01/2009

    Page 1 of 3

    Financial Grant Management Capabilities Form

7. Are time and activity distribution records (e.g. time sheets or effort reports) maintained for

    each employee, by project, to account for his or her total hours? Yes_____ No_____

8. Are third party in-kind or matching funds supported with documentation? Yes_____ No _____

9. Does your organization have a written budgetary process and controls to preclude incurring

     obligations in excess of the grant amount of individual cost categories? Yes_____ No _____

10. Are purchase approval methods documented and communicated to your employees?

    Yes_____ No_____

11. Are duties separated to ensure one individual (i.e., project or financial) is not

     controlling all aspects of a transaction/process? Yes _____ No _____

    SECTION D: ACCOUNTING SYSTEM & FUNDS MANAGEMENT

12. Does your accounting system account for cost by individual projects?

     Yes _____ No _____

13. Which of the following best describes your organization’s accounting system?

     Manual _____ Automated _____ Combination _____

14. How frequently do you post to the general ledger?

     Daily _____ Weekly _____ Monthly _____

15. Does your accounting system accurately and completely track receipt and disbursement of

    funds by each award and/or funding source? Yes _____ No _____

16. Are F&A or indirect costs accumulated into cost pools for allocation to projects, contracts

     and awards? Yes _____ No _____

17. Are the following books of account maintained?

     General Ledger Yes _____ No _____

     Cash Receipts Journal Yes _____ No _____

     Payroll Journal Yes _____ No _____

     Income (Sales) Journal Yes _____ No _____

     Purchase Journal Yes _____ No _____

     General Journal Yes _____ No _____

18. Does your accounting system provide for the recording of actual expenditures for each

     award/contract by project and budget cost categories reflected in an approved

     budget? Yes _____ No _____

19. Describe all types of audit reports existing for your organization (e.g. reports issued by: your

    internal auditor; independent public accounting firms or CPAs; and federal, state or local

    government agencies - including indirect cost rate audits, audits of costs incurred, organization-

    wide audits, pre-award surveys, initial pricing reviews, functional reviews, contract closing

    audit statements, etc.) You may use the Answers/Comments/Explanations box below. Rev:01/2009

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    Financial Grant Management Capabilities Form

20. Is your organization familiar with criteria and procedures for determination of allowable costs

    in connection with Federal awards and contracts? Yes _____ No _____

21. Does your organization have a working knowledge of the following OMB Circulars?

     Uniform Administrative Requirements Yes _____ No _____

     Cost Principle Yes _____ No _____

     Audit Requirement Yes _____ No _____

    Answers/Comments/Explanations

Prepared by (Signature): ______________________________________ Date: ___________

Printed name and title: ________________________________________________________

    Telephone/Fax: _______________________________________________________________

Email: ______________________________________________________________________

    FOR INTERNAL USE ONLY Reviewed by: ________________________________________________________________

    Date: _______

Comments:

Rev:01/2009

    Page 3 of 3

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