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Home My WebLink About20112189 rd-Th AGENCY COMPLIANCE INVENTORY 19th Judicial District Attorney's Office DIVISION OF CRIMINAL JUSTICE!OFFICE FOR VICTIMS PROGRAMS ii/MINIF INSTRUCTIONS: The certification below references and includes not only the information provided in this Inventory, but also information for all accompanying VAWA Grant Compliance Inventories, including requested documentation. For non-profits, the Project Director(s), Agency Director,and the Chair of the Board of Directors should sign. For government agencies, the Project Director(s)and the Agency or Department Director should sign. Additional signature lines have been provided, in the event there is more than one Project Director for the grant(s)being reviewed. Certification of Responses I hereby certify that the requested documentation provided, and information contained within the responses to these Agency and Grant Compliance Inventories, are true and correct to the best of my knowledge. I understand that untruthful statements provided or falsified documentation submitted may result in sanctions up to and including termination of the grant award(s)under review.. .Vlit----#i/Signature(- r oA Jnn H Printed Name Holden / oA Title \ / Date . �_ Director Victm Services ICS Phone E-mail 970 356-4010 X 4747 jholden@co.weld.co.us Si tuna / Printed Name ( AF/t; Barbara Kirkmeyer lls Date Chair, Board of County Commisssioners Phone E-mail 970 336-7204 bkirkmeyer@co.weld.co.us si {re' /Aqn djial + Printed Name rt tX�� 0 Barbara Connolly Title Date Financial Officer,Weld County Government -Phone E-mail 970 356-4000 bconnolly@co.weld.co.us Signature Printed Name 1W4 n^ I n n Michelle Raimer le alyl' .- Y I ur t Date gill (2/ HR Analyst-Human Resources / Phone E-mail 970 336-7220 X4234 mraimer@co.weld.co.us Cc-Ais e ni- e-tcle>� cc'- /D-- o7O7/ ✓34 occ,7s April 2011 The term"agency'as used In this document refers to the grant-funded sub-grantee agency. 2011-2189 AGENCY COMPLIANCE INVENTORY 'Isth Judicial District Attorney's Office DIVISION OF CRIMINAL JUSTICE/OFFICE FOR VICTIMS PROGRAMS SECTION 1 : General Administrative Review Grant Records Management: 1. Does your agency maintain a separate master grant project file for each grant being ® Yes O No reviewed? 2. Does the master grant project file for each grant being reviewed contain the following: A. Agency copy of the grant contract containing the SOGA/Application/Certified ® Yes O No Assurances and Special Provisions? B. Copies of all completed,signed quarterly financial reports and cash requests, ® Yes O No including any revisions to these documents? C. Copies of all completed,signed quarterly narrative and statistical reports, ® Yes ❑No including any revisions to these documents? D. Copies of any completed,signed grant amendments such as approved budget revisions, ® Yes O No changes in signing authority,modifications to approved goals and objectives,and extensions of grant award period,and copies of prior approvals for professional services contracts and purchases of equipment? E. Copies of all other grant-related documents, correspondence, etc.? 0 Yes O No If you answered"no",to any of the items in Questions 1 and 2,please explain here: CONFIRMATION for Questions t and 2: DCJ staff will check master grant files during site visit. April 2011 The term"agency as used in this document refers to the grant-funded sub-grantee agency. 3 of 21 AGENCY COMPLIANCE INVENTORY rigi r 19'h Judicial District Attorney's Office DIVISION OF CRIMINAL JUSTICE/OFFICE FOR VICTIMS PROGRAMS glir 3. Does your agency have an electronic or hard copy of the DCJ Administrative Guide ®Yes ❑ No for Federal Justice Grant Programs readily accessible for use by Project Directors and Financial Officers? If no,please comment: 4. Does your agency have a written records retention policy for grants and individual ®Yes 0 No client records that is consistent with both state and federal requirements? NOTE:For information on records retention,please see the Special Provisions and Certified Assurances in your grant contract. DOCUMENTATION REQUESTED for Question 4:If yes,p/ease provide a copy of the written policy. 5. How does your agency protect both hard copy and electronic files and documents from loss or destruction? Response: Weld County has in place a financial imaging system. A full back up is done once per month and sent to off site storage. Weekly back ups are done but are not sent off site. Hard copy of invoices are no longer retained once they are imaged. Electronic files are backed up on the M and O drives daily, weekly, monthly and annually. Three of the four data centers in Greeley backup to the North Jail data center. If all four data centers in Greeley were damaged from a disaster the files would have to be re-created from the most recent monthly backup. A Hard copy of the VAWA file is kept in a filing cabinet in the Project Director's office which is located in the District Attorneys Office only accessible by a security code. April 2011 The term"agency as used in this document refers to the grant-funded sub-grantee agency_ 4 of 21 ridAGENCY COMPLIANCE INVENTORY . 1gth Judicial District Attorney's Office DIVISION OF CRIMINAL JUSTICE/OFFICE FOR VICTIMS PROGRAMS AgINIMII Personnel Policies and Procedures: 6. Does your agency have a personnel policy manual? ® Yes 0 No If yes,do you routinely provide the personnel policy manual to new employees, ® Yes ❑ No and have them sign a statement that they have received it? If no to either question above,please explain here: DOCUMENTATION REQUESTED for Question 6:Please send DCJ a copy of your agency's personnel policy manual, electronically if possible. If any of the policies mentioned in 6 A-F are already in the policy manual, please highlight or reference them so that we can find them easily. If any of the written policies mentioned in 6 A-F are NOT already in the policy manual,please send them separately. A. Does your agency have written policies and procedures regarding a Drug Free ® Yes 0 No Workplace? B. Does your agency have a written grievance policy and procedure for the ® Yes 0 No employees, including a harassment policy and complaint procedures? C. Does your government agency have a written policy prohibiting employees from engaging in political activity while being paid under funds derived from the Department of Justice or Treasury of the United States,(5 U.S.C. § 1501-1508; and § 7324-28,Hatch Act)? ®Yes ❑ No ❑NA(not a government agency) D. Does your private non-profit agency have a written policy prohibiting employees from engaging in political activity during the time that they are being paid by federal funds? ❑Yes ❑ No ® NA(not a private non-profit) E. Does your agency have a written policy that it does not discriminate on the basis 0 Yes 0 No of(including, but not limited to)race, color,national origin,religion,sex, age and disability in employment practices? F. Does your agency have a written conflict of interest policy for staff members 0 Yes 0 No (and for Board members if agency is non-profit)? April 2011 The term"agency as used in this document refers to Me grant-funded sub-grantee agency. 5 of 21 AGENCY COMPLIANCE INVENTORY 19'"Judicial District Attorney's Office DIVISION OF CRIMINAL JUSTICE/OFFICE FOR VICTIMS PROGRAMS If you answered"no", to any of the above items 6-A through F,please explain what alternate method your agency uses to meet these requirements, and/or provide reasons why your agency is not meeting them: 7. Does your agency conduct any formal training for its employees on the requirements Z Yes ❑No under federal civil rights laws?(Some examples might be bringing in a formal speaker to present on the Americans with Disabilities Act;civil rights topics being covered in new staff orientation;non-discrimination policies that are provided to staff;outside trainings; conferences that staff attend related to civil rights;formal in-house training). If yes,please provide the type and date(s) of training: EEO Training regarding Federal Civil Rights requirements is given during New Hire Orientation which references Weld County Code Sections 2-2-140,2-2-150, 3-3-10(see documents 1-#7 Federal Civil Rights weld_02.pdf and 1-#7 Federal Civil Rights weld-03.pdf. Harassment Prevention offered County Wide (last sessions were conducted 3/8/2010 and 3/30/2010) by Employment Law Solutions, LLC with Charles T. Passaglia, Esq. 8. Does your agency use any funds from the grant(s) being reviewed for lobbying 0 Yes E No activities? If yes,please explain what type of lobbying activities,and what your agency policy is regarding lobbying: April 2011 The terra`agency as used In this document refers to he grant-funded sub-grantee agency. 6 of 21 DJAGENCY COMPLIANCE INVENTORY 19'"Judicial District Attorney's Office DIVISION OF CRIMINAL JUSTICE/OFFICE FOR VICTIMS PROGRAMS - Time and Effort Records (Agency Time Sheets): 9. Does your agency maintain written or electronic time and effort records (timesheets) for grant-funded employees? Z Yes ❑ No ❑ NA If not applicable, i.e.,no personnel funded, or provided as matching funds under the grant(s)being reviewed, GO TO QUESTION 11. If no,please explain what alternate method your agency uses to meet this requirement and/or why you are not meeting this requirement: 10. Do your agency's written or electronic time and effort records(timesheets)for grant- funded employees: A. Document all hours worked by the employee,regardless of funding source? ®Yes ❑ No B. Document pay period dates(not to exceed one month)? 0 Yes O No C. Document the number of hours and/or percentage of time spent by the employee ❑Yes 0 No on a specified grant and document the specific grant award to be billed for the work by the employee? D. Document hours for vacation, sick,personal, holiday,or other leave? 0 Yes ❑ No E. Contain the names,titles, signatures and date signed by the employee and the 0 Yes O No supervisor or project director? If the system is electronic, do the entries and supervisory approvals substantially meet these requirements? F. Contain a certification statement by the employee that the time reported is a 0 Yes ❑ No complete and accurate record of hours worked and leave approved and used? G. Are signed and certified only after work has been completed, and may be changed 0 Yes O No if actual time spent differs from budget projections? H. Provide an audit trail, act as source documentation,and can be reconciled with 0 Yes O No payroll records? April 2011 The teen'agency as used n this document refers to the grant-funded sub-grantee agency. 7 of 21 AGENCY COMPLIANCE INVENTORY r 19'"Judicial District Attorney's Office DIVISION OF CRIMINAL JUSTICE/OFFICE FOR VICTIMS PROGRAMS - Certifications: 11. Has the agency received any findings of discrimination by a federal or state court,or ❑Yes 0 No federal or state administrative agency on the grounds of race, color,religion,national If no, GO TO origin or sex? QUESTION 12. If yes,has your agency reported such finding(s)to the Division of Criminal Justice ❑Yes 0 No and the Federal Office for Civil Rights, Office of Justice Programs, U.S. Department of Justice? If yes(directly above),please explain: 12. Are the agency, principals, subcontractors or suppliers presently debarred, suspended, ❑Yes 0 No proposed for debarment, declared ineligible, sentenced to a denial of Federal benefits by a State or Federal court,or voluntarily excluded from covered transactions by any Federal department or agency? If yes,please explain: 13. Within a three-year period preceding the application,have the agency,principals, 0 Yes 0 No subcontractors or suppliers,been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public(Federal,state or local)transaction or contract under a public transaction, violation of a Federal or State antitrust statute or commission or embezzlement,theft,forgery,bribery, falsification or destruction of records,making false statements,or receiving stolen property? If yes,please explain: April 2011 The term agency as used in this document refers to the grant-funded sub grantee agency. 8 of 21 AGENCY COMPLIANCE INVENTORY 19th Judicial District Attorney's Office DIVISION OF CRIMINAL JUSTICE/OFFICE FOR VICTIMS PROGRAMS 14. Are the agency,principals,subcontractors,or suppliers presently indicted for or 0 Yes ® No otherwise criminally or civilly charged by a government entity(Federal, state, or local) with commission of any of the offenses listed in Question 13 of this document? If yes,please explain: 15. Within a three-year period preceding the application for grant(s)being reviewed,have ❑ Yes ® No the agency,principals, sub-contractors or suppliers, had one or more public transactions(Federal, state,or local)terminated for cause or default? If yes,please explain: Non-Supplanting: 16. For any of the grant(s) being reviewed,has your agency used the federal funds to replace state or local funds otherwise appropriated for the same activity or purpose within your agency? 0 Yes ® No 0 NA(Does not apply to VOCA non-profits) If no, GO TO QUESTION 17. A. If yes,were the replaced state or local funds used to expand or supplement the ❑ Yes 0 No same types of activities eligible under the grant(e.g., victim assistance)? B. If no to 16A, would your agency have had to reduce or eliminate the 0 Yes 0 No personnel/services it currently provides in the grant(s)under review, if these federal funds were not available(e.g., specific agency budget cuts unrelated to availability of federal dollars)? C. If yes to 16B,has your agency provided a written explanation to DCJ 0 Yes 0 No demonstrating that your agency's reduced commitment would have been necessary even if federal funds had not been made available? April 2011 The term"agency as used in this document refers to the grant-funded sub-grantee agency. 9 of 21 DJAGENCY COMPLIANCE INVENTORY 19'"Judicial District Attorney's Office DIVISION OF CRIMINAL JUSTICE/OFFICE FOR VICTIMS PROGRAMS - Copyrights and Publications: 17. Has your agency produced any copyrighted,patentable,or original discovery or ❑ Yes ® No invention, or original works such as computer programs,published writing,sound recordings,pictorial reproductions,drawings,or other graphical representations or works with funds provided by any of the grant(s)being reviewed? If yes,please describe: 18. Has your agency used funds provided by any of the grant(s)being reviewed to ❑ Yes ® No purchase ownership of, or a license to use, a copyrighted work;or incorporate any copyrighted work,or portion thereof, into a new work developed under this award? If yes,please explain: 19. Has your agency used funds provided by any of the grant(s)being reviewed to print O Yes 0 No or distribute any materials or published documents, statements,press releases,RFP's, If no, GO TO brochures or bid solicitations? QUESTION 20. If yes,does the material contain the required attribution language, such as: ❑ Yes O No This project was supported(in part, in full)by federal(VOCA, VA WA)funds awarded by the Colorado Division of Criminal Justice, grant number . NOTE:Each grant program may have slightly different requirements for attribution wording. Please check the Special Provisions and Certified Assurances for the grant(s)being reviewed to confirm the correct wording. April 2011 The term'agency as used in this document refers to the grant fundedsub grantee agency. 10 of 21 rdAGENCY COMPLIANCE INVENTORY 19'h Judicial District Attorney's Office DIVISION OF CRIMINAL JUSTICE/OFFICE FOR VICTIMS PROGRAMS - SECTION 2: Programmatic Review Anti-Discrimination and LEP Access: 20. How does your agency notify program participants and beneficiaries that it does not discriminate on (including but not limited to)the basis of race,color,national origin,religion, sex,disability,and age in the delivery of services(e.g.,posters, inclusion in brochures or other program materials,etc.)? Response: The District Attorney's Office is a government agency statutorily mandated to prosecute those charged with committing crimes against the State of Colorado. The Victim Witness Assistance Unit is a department in the District Attorney's Office which provides assistance to victims of these crimes whatever their race,color, national origin, religion, sex, disablity or age.VRA brochures are provided in Spanish. 21. Does your agency have written policies or procedures,or other written materials in ❑Yes 0 No place for notifying program participants and beneficiaries how to file complaints alleging discrimination by the grant funded project with the Office for Civil Rights? If no,please explain: The VRA Brochure tells how a victim can file a VRA complaint. A VRA complaint would include a victim feeling they were not being assisted due to discrimination.The DA Policy Manual states that the providing high quality and efficient service to the citizens of the 19th Judicial District and that employees have responsibilities to the public, See Comments for Question 21. See document 1-#20&21 Discrimination Poli DOCUMENTATION REQUESTED for Questions 20 and 21:Please provide a copy of this written policy or other written materials. 22. What steps has your agency taken to provide meaningful access to its programs and activities to persons who have limited English proficiency(LEP)? NOTE: Within the response,please include an indication of whether your agency has developed a written plan on providing language access services to LEP persons.A written plan is highly encouraged by the federal government,but is not a requirement.For more information go to www.LEP.nov. Response: We do not have a written plan. Our VRA brochures are in English and Spanish. We have four staff in the VW Unit who are fluent in Spanish to assist the approximately 4%of Spanish speaking victims involved in this project. Weld County has recently had victims who only speak only Somalia.We work closely with the East Africa Community of Colorado(EACC) Community Center when assisting these victims. DOCUMENTATION REQUESTED for Question 22: Please provide a copy of a written LEP plan developed by your agency, if any. April 2011 The term"agency as used m this document refers to the grant-funded sub-grantee agency 11 of 21 AGENCY COMPLIANCE INVENTORY rigid 19th Judicial District Attorney's Office DIVISION OF CRIMINAL JUSTICE/OFFICE FOR VICTIMS PROGRAMS - Direct Services: 23. Does your agency provide direct services to victims in the grant(s) being reviewed? ®Yes O No If no, GO TO QUESTION 30. 24. Does your agency have written policies and procedures in place to assure confidentiality of individual/client files? ❑Yes O No ® NA(Confidentiality does not apply) If no,please explain: DOCUMENTATION REQUESTED for Question 24: Please provide a copy of this policy/procedure. 25. Are confidential client files stored securely? O Yes O No 0 NA(No confidential client files) If no,please explain: 26. How does your agency provide training for staff and volunteers on state laws and applicable rules of professional conduct related to issues of confidentiality and privilege,particularly with respect to releasing identifying information about victims of crime,including but not limited to those found in Section 13-90-107 C.RS.? Response: During the interview process and orientation, staff are reminded that all information contained in DA files and the DA data base is confidential and such information should be be discussed except with authorized personnel. See attached document of the DA Policy 1-#26 Confidentiality. 13-90-107(k) (I) C.R.S.does not apply to the District Attorney's Office Victim Witness Assistance Program, ( II) "does not include an advocate employed by any law enforcment agency." April 2011 The term"agency as used in this document refers to the grant-funded sub-grantee agency 12 of 21 AGENCY COMPLIANCE INVENTORY nil • 19th Judicial District Attorney's Office DIVISION OF CRIMINAL JUSTICE/OFFICE FOR VICTIMS PROGRAMS - 27. What are the different ways that clients/victims access your agency services for the grant(s)being reviewed? Include which agencies provide referrals. Response: Domestic violence victims of misdemeanor crimes receive an initial phone call and court support to explain the court process, Victim Compensation, advise of VRA, get bond input and consult on a possible disposition. If the case does does not resolve the first day,critical event letters are mailed. Domestic violence victims of felony cases are met at court, if they want to come or called by phone if they call in. Otherwise contact is made shortly after the case is filed and critical event letters are mailed. DA W/Assistants coordinate efforts with the two law enforement Victim Services agencies, Greeley Police Victim Assist. &Weld County Sheriffs Office Victim Assist. as the defendant's case is filed as a criminal case. 28. What are the types and purposes of referrals you make to other agencies for the grant(s)being reviewed (e.g.,shelter,legal advocacy,emergency funds)?Include the agencies to which your agency makes referrals. Response: A Woman's Place-victims are referred for shelter, counseling, Hopeline phones, and assistance in obtaining civil protection orders. Probation Victim Services-victims are referred if they wish to continue to be notified while the defendant is on Probation especially to be notified should the defendant violate conditions of Probation. Colorado Legal Services-victims are referred for help with divorce, child custody, landlord issues and other legal issues. Data Collection for Direct Services: 29. For purposes of quarterly and annual statistical and narrative grant reporting to DCJ: A. How does your agency track the number of individuals/clients served? Response(Please be specific): DV Fast Track Program: W/Assistants keep stats of the dv cases and victims relating to those cases that come into the court system on a daily basis by the"DV Fast Track Initial Contact Log" and notes made on daily docket sheets. The Notification Clerk logs each new case into the"VRAP Log"and sends the initial filing letter. Felony Domestic Violence-The Notification Clerk logs each new case into the"VRAP Log" and send the initial filing letter. The information in the"VRAP Log",which identifies demographics, is compiled into the"Quarterly New Victim Report". B. How does your agency track the number and type of activities/direct services provided? Response(Please be specific): The DV Fast Track Assistants gather service stats by compiling information on the"DV Fast Track Initial Contact Log", notes on daily docket sheets, calendar notes and phone logs. This information is compiled into the"VAWA Recap Services Stats". Each felony domestic violence case has a"VAWA Case Stat Form"placed in the VW Assistant file. Each time the VW Assistant provides a service to a victim, the service is logged if applicable, by quarter. Each quarter, the WI files are reviewed and the"VAWA Recap Services Stats" is compiled and given to the Project Director. All the"VAWA Recap Service Sheets"are given to the Project Director to complete quarterly reports. April 2011 The ter in"agency as used in this document refers to the grant-funded sub-grantee agency. 13 of 21 rdajAGENCY COMPLIANCE INVENTORY 19th Judicial District Attorney's Office 1 DIVISION OF CRIMINAL JUSTICE/OFFICE FOR VICTIMS PROGRAMS - C. How does your agency make sure that it reports an unduplicated count of individuals/clients served, and services rendered? Response: Most DV Fast Track cases go through the system quickly so there is really little possiblity that a service to a victim would be duplicated. Likewise, because the cases go through the system quickly the victim's names are very familiar to the VW Assistant and the victims are recognized as being a repeat victim within the grant cycle and not counted more than one time. Each felony domestic violence case has a"VAWA Case Stat Form"placed in the VW Assistant file. Each time the VW Assistant provides a service to a victim, the service is logged if applicable, by quarter. Each quarter,the files are reviewed and the"VAWA Recap Services Stat"is compiled and given to the Project Director. D. How does your agency assure that it is accurately reporting to DCJ only the number of individuals/clients served by each specific grant,rather than the entire project or agency? Response: The total number of dv fast track victims and services is calculated,then 65%of the total number is calculated to be reported in the VAWA report for the DV Fast Track position, Laurie Hammer. Erma Portillo's"Initial Victim Contact Log"for dv felony cases are reported in the VAWA Report. The total number of dv felony cases are calculated to assure that Erma 25%of the felony dv cases are being handled by Erma. E. Who in your agency is responsible for data collection/collation for the grants under review? Response: Jan Davenport-Notification Clerk, Stephanie Murley-County Court VW Intern, Laurie Hammer-County Court VW Assistant, Erma Portillo- District Court VW Assistant, and JoAnn Holden-Project Director F. Does your agency collect and maintain demographic information on race, sex, Z Yes ❑ No national origin,age, and disability of recipients,where such information is voluntarily furnished by those receiving assistance? If no,please explain what the barriers are. DOCUMENTATION REQUESTED for Question 29. A-F:Please provide a copy of any forms used to collect/collate data. April 2011 The term'agency as used in this document refers to the grant-funded sub-grantee agency. 14 of 21 ridAGENCY COMPLIANCE INVENTORY • 19'"Judicial District Attorney's Office DIVISION OF CRIMINAL JUSTICE/OFFICE FOR VICTIMS PROGRAMS - Outcomes: 30. Does your agency procure an outside evaluation,or conduct any evaluation of its own services by collecting outcome data(e.g.,client surveys,pre and post training surveys,prosecution outcomes, program development or other outcome documentation)for the grant(s) being reviewed? Response(Please describe): Client Surveys are sent to each victims with the Sentence Outcome Letter and Post Sentencing Notification Brochure. The Project Director reviews each survey to determine if concerns were stated that need a follow up. All surveys are reviewed with the VW Assistants and feedback might create policy changes. Statistics are complied and reported quarterly showing these outcomes: DV Fast Track: number of victims, meaningful consultation contact rate of victims,dispostion rate of cases, language assistance Felony DV cases: number of victims: number of victims, contact rate, language assistance DOCUMENTATION REQUESTED for Question 30:Please provide a copy of any forms/documents used to collect evaluation and/or outcome measures, including a copy of recent evaluations from clients or recipients of services or training. April 2011 The term"agency`as used in this document refers to the grant-funded sub-grantee agency. 15 of 21 rid" AGENCY COMPLIANCE INVENTORY 9'"Judicial District Attorney's Office DIVISION OF CRIMINAL JUSTICE/OFFICE FOR VICTIMS PROGRAMS - SECTION 3: Financial Review Financial Policies and Procedures: 31. Does your agency have written financial policies and procedures? ® Yes O No If no,please explain: DOCUMENTATION REQUESTED for Question 31:Please provide a copy of your agency's financial policies and procedures. If any of the policies mentioned below in Question 32,A through G, are already in the policy manual, please highlight or reference them so we can find them easily. If any of the policies in Question 32 A through G are NOT already in the policy manual,please provide them separately. 32. Do your agency's written financial policies and procedures include the following: A. The establishment and approval of an annual budget?(For non-profits,the Board 0 Yes O No must approve the annual budget; for governmental agencies, it is likely to be part of a town, city,county, or state budget process.) B. Purchasing/contracting policies and procedures that comply with federal ® Yes O No requirements? C. Credit card and cash management policies and procedures? ® Yes O No D. Travel reimbursement policies and procedures? 0 Yes O No E. Regular reconciliation of subaccounts/subledgers with the general ledger? ® Yes O No F. Regular reviews of financial statements by supervisors,and, in the case of non- 0 Yes ❑ No profits,the Board of Directors? G. Annual audits; or financial reviews(financial reviews are only allowed if the ® Yes O No agency receives<$200,000 annual revenue from all sources)? April 2011 The term"agency as used in this document refers to the grant-funded sub-grantee agency. 16 of 21 AGENCY COMPLIANCE INVENTORY rli I . 191°Judicial District Attorney's Office DIVISION OF CRIMINAL JUSTICE/OFFICE FOR VICTIMS PROGRAMS SEW If you answered no to any of the above items in Question 32 A through G,please explain what alternate method your agency uses to meet these requirements and/or why your agency is not meeting these requirements. 33. Please describe the internal accounting controls and separation of accounting duties your agency has in place, for the purpose of preventing and detecting mistakes or fraud. Response(Please be specific): Managing grant department reviews all expenditures that are being made. The grant department inputs the invoice payment in the finance system. Invoices are reviewed by the accounts payable staff in the county accounting department,then upper level staff approves the payment. Check files are prepared by upper level accounting staff and sent to the Clerk's offic e for printing and signature. Check are then mailed by staff that did not input the payment. 34. If complete separation of duties is not possible due to small staff size,please list the ways that your agency has strengthened safeguards and compensating controls to prevent and detect mistakes or fraud. Response(Please be specific): II payments that are made are reviewed by someone other that the person who created the payment in the finance system. Check printing and signature is always in a separate office. 35. Is your agency's financial system maintained in-house or by an outside accounting firm? 0 In-house employee ®Outside contractor If you answered outside contractor,please provide name and contact information, including phone number. Weld County contracts with ACS Government Systems. They are on site full time, but are not county paid. Anita Scrams 970 356-4000 X2550 April 2011 The term"agency as used in this document relers to the grant-funded sub-grantee agency. 17 of 21 )pima AGENCY COMPLIANCE INVENTORY 0. 19th Judicial District Attorney's Office DIVISION OF CRIMINAL JUSTICE/OFFICE FOR VICTIMS PROGRAMS 36. If your agency is a non-profit, do the Board bylaws and policies describe the involvement of the Board in the financial oversight and direction of your agency? O Yes O No E NA(Not a non-profit) If yes,please list the ways in which the Board is involved in the approval, review and oversight,and authorization functions for the financial activities of your agency: If no,please explain: DOCUMENTATION REQUESTED for Question 36:Please provide a copy of the Board Bylaws and any policies/procedures regarding financial oversight by the Board. 37. Does your agency provide the type of services that are eligible for victim ❑Yes 0 No compensation with any of the funds in the grant(s)being reviewed? A. If yes to 37,does your agency receive victim compensation payments for these ❑Yes O No services? If yes to 37A,please explain how you ensure that there is no double payment for services provided: April 2011 The term agency as used in this document refers to the gran'fundedsub-grantee agency. 18 of 21 AGENCY COMPLIANCE INVENTORY 19'"Judicial District Attorney's Office DIVISION OF CRIMINAL JUSTICE/OFFICE FOR VICTIMS PROGRAMS - Accounting and Financial Records: 38. Your agency must establish and maintain an adequate accounting system and financial records to accurately account for the funds awarded by DCJ and to meet the standards for financial management established by federal and state laws and regulations Specifically,please complete the following questions: A. Does your agency's accounting system separate ALL revenues and expenditures Z Yes ❑ No by funding source,allowing grant budgets,revenue and expenditures to be recorded and tracked individually and separately for each specific grant award received? If no,please explain: B. Does your agency's accounting system allow expenditures to be reported to DCJ ®Yes O No by the broad budget categories listed in the approved budget(i.e.,Personnel, Supplies and Operating,Travel, Equipment,Professional Services/Consultants)? If no,please explain: C. Does your agency's accounting system track revenues and expenditures ®Yes ❑ No separately for each grant in a sub-ledger system, i.e.,through fund accounting? NOTE: Sub-ledgers may have other names depending on the accounting software, e.g., Class, Department, or Job. If no,please explain: April 2011 The term'agency as used in this document refers to the grant-funded sub-grantee agency 19 of 21 (�1 AGENCY COMPLIANCE INVENTORY r 19`"Judicial District Attorney's Office DIVISION OF CRIMINAL JUSTICE/OFFICE FOR VICTIMS PROGRAMS - D. Does your agency use any subsidiary spreadsheets containing financial detail that 0 Yes ® No is NOT part of the accounting system, in order to track the expenditure of federal funds in the grant(s) being reviewed? Note: For purposes of this question, "accounting system"means the data entered and stored in the accounting software program used by the agency. It does not include separate spread sheets created to supplement or explain the information recorded in the accounting system. If yes,please describe(1)the procedures for tracking specific revenue and/or expenses in the spreadsheet and (2)how and when it is reconciled to the subledger/general ledger for each grant being reviewed. E. Does your agency report the expenditures shown on the DCJ quarterly Financial ® Yes 0 No Form 1-A directly from the agency accounting system(i.e.,do your reported DC7 Form I-A expenditures match your accounting system records)? If no,please explain how you derive the expenditures showing on the Financial Form I-A: F. Does your agency use a code for invoices,purchase orders,employee or contractor ® Yes 0 No time records,and other similar documents that include the grant name and number, and/or other unique accounting identifier,and assure they are signed and dated by a person with the authority to approve expenses making sure they are reasonable, allowable under federal regulations,and properly allocated to the specific grant? If no,please explain how your agency tracks source documentation to the proper financial accounts: NOTE: Please go to the separate documents titles VOCA and/or VA WA/SASP Grant Compliance Inventory for a list of documentation requested for Question 38 A-F. April 2011 The term agency as used in this document refers to the grant-funded sub grantee agency. 20 of 21 DJ AGENCY COMPLIANCE INVENTORY • 19t Judicial District Attorney's Office DIVISION OF CRIMINAL JUSTICE/OFFICE FOR VICTIMS PROGRAMS gir Additional Comments (optional): Please use this section for any additional comments or to elaborate on a previous question: The entire Weld County Code can be found at http:/www/colocode.com/weld.htm. pertinent sections have been highlighted in yellow for questions 6, 7,20&21,31-34. The entire Weld County Code can be found at http:/www/colocode.com/weld.htm DA Policy Manual-unable to highlight the document. A-See Section III E page 7; B-see Section I F page 2; C-see Section II A page 4; E-see Section I E page 1, F-see Section III I page 9. Question 10 C. In PeopleSoft (electronic timecards) the hours do not bill directly for the grant. The Project Director provides the amount to be billed towards the grant and accounting journal's the amount. Question 21. SECTION I General Provisions A. Introduction. The District Attorney recognizes that the performance of office personnel is the primary element to providing high quality and efficient service to the citizens of the 19th Judicial District and that sound personnel policies are the foundation for building high-level performance.This manual establishes specific and general policies and procedures to serve as criteria for the equal treatment and well being of office employees and serves to promote effective and efficient office operations. SECTION III Standards of Conduct A. Conduct. Good working relationships make demands on everyone, and employees have responsibilities to the public,the District Attorney, themselves,and the people they work with. April 2011 The term"agency/as used in this document refers to the grant-funded sub-grantee agency. 21 of 21 r~ AGENCY COMPLIANCE INVENTORY . 19th Judicial District Attorney's Office DIVISION OF CRIMINAL JUSTICE/OFFICE FOR VICTIMS PROGRAMS - Purpose: The Division of Criminal Justice(DCJ)has the responsibility to periodically review and monitor grant-funded agencies for compliance with federal and state laws and regulations included in the grant contract between DCJ and the agency. This document is intended to review the agency policies,procedures and operations subject to these laws and requirements. INSTRUCTIONS:Please complete this Agency Compliance Inventory(Inventory), and provide any additional documentation requested in the body of the Inventory document. For your convenience, we have also attached a separate Checklist of Documents to be sent to DCJ. Please print and use this Checklist to ensure that all documentation is included when you respond. If you need more space for your responses than is provided,please use the Additional Comments section at the end of this document. In a separate e-mail attachment,you will also find a VAWA Grant Compliance Inventory for the grant being reviewed. All Inventories and requested documentation materials are due to DCJ by: THURSDAY,JUNE 23 —before the date of the site visit. BE GREEN! We prefer that you provide the Inventories and requested documentation electronically via CDs, flash drives or email attachments;however any items that cannot be provided electronically may be mailed to:Division of Criminal Justice, 700 Kipling Street, Suite 1000, Denver, CO 80215. If you have any questions,or problems completing these materials,please contact: BetsyAnderson at 303 239-4440 and betsy.anderson@cdps.state.co.us We will do our best to assist you. Grant(s) Being Reviewed: Grant Program Grant Number Grant Period Grant Award Amount/Budget VAWA 29-VW-19.48 111/11—12/31/11 $51,598(Personnel) Notes and/or Comments (Optional): April 2011 The term"agency as used in this document refers to the grant-funded sub grantee agency. 1 of 21 Hello