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Ensuring Compliance Part 2 JAQUELINE REESE AND RICHARD SHEAFFER | MAY 12, 2014.

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Presentation on theme: "Ensuring Compliance Part 2 JAQUELINE REESE AND RICHARD SHEAFFER | MAY 12, 2014."— Presentation transcript:

1 Ensuring Compliance Part 2 JAQUELINE REESE AND RICHARD SHEAFFER | MAY 12, 2014

2 To remind participants of federal rules regarding Dual Compensation and Conflict of Interest To provide scenarios to discuss compliance with rules regarding Dual Compensation and Conflict of Interest Objectives 2

3 Dual Compensation 3

4 The Problem Requirement Solutions Scenarios 4

5 The Problem Dual Compensation Employees of a unit of government that are paid from a federal award are performing professional services for compensation outside of their regular governmental duties during paid leave time (i.e. annual leave, sick leave, other paid leave) resulting in dual compensation. 5

6 Requirement Dual Compensation DHS Grant Guidance: In no case is dual compensation allowable. That is, an employee of a unit of government may not receive compensation from their unit or agency of government AND from an award for a single period of time (i.e. 1:00 pm to 5:00 pm) even though such work may benefit both activities. 6

7 Solutions Dual Compensation Regional Board and Fiduciary (independently or through the Fiduciary’s unit of government): Should have a Supplemental Employment policy/procedure. Must ensure through policies and procedures that employees performing work outside of their governmental employment are not performing this service during any period (including leave time) that is compensated by a federal award. Must have detailed documentation of all employees that perform professional services outside of their governmental duties for compensation, i.e. detailed payroll records that include dates and times of the governmental work and work performed outside the governmental work. 7

8 Scenarios Dual Compensation 1. Jerod is a full-time employee (Monday – Friday, 8 am – 5 pm) of Middle County. As an Emergency Manager, a portion of his salary is paid with EMPG funds. Jerod wants to teach (and will be paid) a Haz-Mat training class (which is funded with HSGP funds). A. Jerod plans to take leave time Wednesday from 1-5 pm to teach the class. Would this be Dual Compensation? Why or why not? B. Jerod plans to teach the class from 6-10 pm on Wednesday. Would this be Dual Compensation? Why or why not? 8

9 Scenarios Dual Compensation 2. Carol is a full-time (Monday – Friday, 8 am – 5 pm) government employee writing water drainage plans. Carol has been asked to present (and will be paid) at a seminar on Writing Effective Plans (which is funded with HSGP funds). A. Carol will take leave time Monday from 8 am to 12, to present at the seminar. Would this be Dual Compensation? Why or why not? B. Carol will adjust her schedule and work Tuesday – Friday (four 10- hour days). Carol will present at the seminar on Monday from 8 am to 12. Would this be Dual Compensation? Why or why not? 9

10 Conflict of Interest 10

11 Conflict of Interest The Problem Requirement Solutions Scenarios 11

12 The Problem Conflict of Interest Any employee, member, or agent of a regional planning board or any subcommittee thereof, may not participate in making decisions, approvals, disapprovals, recommendations, or rendering of advice on the use of federal grant money and personally benefit from the participation. 12

13 Requirement Conflict of Interest 44 CFR Part (b)(3) Grantees and subgrantees will maintain a written code of standards of conduct governing the performance of their employees engaged in the award and administration of contracts. 13

14 Requirement Conflict of Interest 44 CFR Part (b)(3) No employee, officer or agent of the grantee or subgrantee shall participate in the selection, or in the award or administration of a contract supported by Federal funds if a conflict of interest, real or apparent, would be involved. Such a conflict would arise when: (i) The employee, officer, or agent, (ii) Any member of his immediate family, (iii) His or her partner, or (iv) An organization which employs, or is about to employ, any of the above, has a financial or other interest in the firm selected for award. 14

15 Solutions Conflict of Interest Regional Board and Fiduciary: Should have a policy/procedure prohibiting conflict of interest. This should include a disclosure of interest policy/procedure and a supplemental employment policy/procedure. Must ensure that personnel are informed about conflict of interest procedures. Must ensure that personnel, procurement and purchasing policies are followed and personnel that have supplemental employment or financial interest in decisions may not participate in the process. Should actively perform contract monitoring to ensure that purchasing decisions are not conducted with a conflict of interest. 15

16 Scenarios Conflict of Interest 1. Bill is a member of the Region 19 Homeland Security Planning Board. Bill owns a company that makes robotic terrorist sniffing dogs (a hypothetical allowable item on the Authorized Equipment List). The Region 19 Board votes to approve a project to purchase 5 robotic terrorist sniffing dogs. An RFP is completed and Bill’s company is selected for the purchase. Is this a conflict of interest? Why or why not? 16

17 Scenarios Conflict of Interest 2.Sally is a member of the Region 83 planning subcommittee. Sally is an employee of the city of Sunshine within Region 83. The planning subcommittee determines and votes on the planning projects and budgets for the jurisdictions within the region and submits the projects and budgets to the Region 83 Homeland Security Planning Board. Sally also owns a company that provides planning services, of which there are two individuals that provide planning services for different jurisdictions within Region 83. Is this a conflict of interest? Why or why not? 17

18 Scenarios Conflict of Interest 3. Mitch is a member of the Region 47 Homeland Security Planning board. Mitch is an employee of Water County and is the county’s Emergency Manager (partially paid with EMPG funds). Mitch votes on all projects and budgets brought to the Region 47 Homeland Security Planning Board. Is this a conflict of interest? Why or why not? 18

19 Questions Jacqueline Reese, Audit ManagerRichard Sheaffer, Auditor Phone Phone


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