Document Owner: Budget Division Federal State Funds ... de Reglamento y...Federal & State Funds...

Federal & State Funds Registration Procedure

Document Owner: Budget Division

Document Number: Page: 1 of 15 OP-0006-V3

Effective Date: November 15, 2015

APPROVAL

Area Approver: Edgar Arias

Administrative Approver: Nelson Figueroa

Quality Approver: Raquel Roman

1. Objective

Establish the process to reg ister funds in the Puerto Rico Treasury Department originated from Federal and state Government subsidies.

2. Legal Authority

To the execution of this procedure, it should observe the following laws and regulations and any other applicable laws, regulations, directives, policies, procedures or guidance that may be issued after the effective date of this SOP:

• Law No. 147 of June 18, 1980, as amended, that creates the Office of Management and Budget (OMS)

• Law 230 of July 23, 1974, Law of Accounting of the Government of Puerto Rico

• 2 CFR Chapter I, and Chapter II , Parts 200, 215, 220, 225, and 230- Policy issued by the federal Office of Management and Budget titled "Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards"

3. Applicability

This procedure needs to be adhered by the Budget Division in order to register or amend the income of funds, originating from federal and state funds, once they have been approved by means of a Cooperative Agreement, "Reso/uciones Conjuntas" or State Statutes between the Environmental Quality Board (EQB) and the granting Federal and State Agency.

4. Organizational Roles and Responsibilities

The units that participate in the management of this procedure are:

• Budget Division - Register or amend the funds assigned to the EQB, originated from external sources, like federal grants

EQB L'-'_.,litC>.' IUOIMlUb ~1.\lnlt'19r\1JN!tl..u Document Number:

Page: 2of15 Federal & State Funds Registration Procedure

OP-0006-V3

5. Definitions and Abbreviations

5.1. Abbreviations

Abbreviation Term

EQB Environmental Quality Board

BF ERO Budget, Finance and External Resources Office

OMB Office of Management and Budget

PRTD Puerto Rico Treasury Department

6. Procedure Description

For the proper management of the federal and state funds registration, the following procedures should be executed:

6.1. Federal Funds Registration

6.1 .1. When the Federal Agency approves a federal subsidy through a Cooperative Agreement with the EQB, a copy of the Cooperative Agreement and supporting documentation is remitted to the Budget Division.

6.1.2. Once the Budget Division receives a complete copy of the Cooperative Agreement and its supporting documentation, proceeds to start the federal funds registration process by completing the Form SC 751.3. (Registration of Assignment and Estimated Income for Federal Contribution).

a. Form SC 751 .3 needs to, at least, include a brief description of each federal subsidy, effective date, federal catalogue number, federal fund distribution per categories and federal contribution and quantity to be registered.

• This document is also used to perform modifications such as period extensions or increase and decrease to the contributions established in FiMaS

b. In case that the approval of funds of the Federal Agency is a partial one, the Budget Division will proceed to register only the amount of the partial quantity received. Once the granting agency approves the remaining funds, the Budget Division proceeds to register the corresponding increase utilizing the same form.

c. Receipt of the agreements should be before the start of the avai lability period in order to allow enough time so that EQB may perform the necessary process to ensure cost allocation is properly performed.

EQB Dft-149\'wn..._ \~Wnttwt\Uto~ Document Number:


OP-0006-V3

6.1.3. In some cases, due to different reasons, the Cooperative Agreement is not received before the period of availability, but the Grantor issues assurance that it will be approved and submitted. In such cases, in order to perform the necessary processes to properly capture the cost allocations, the following steps are executed:

a. The President of the EQB requests the Secretary of the Puerto Rico Treasury Department for authorization and creation of fifty percent (50%) of the funds requested per grant account in PRIFAS, using the Form SF 424 (Application for Federal Assistance) and the Form SC 751 .3, until the Cooperative Agreement is received.

b. Copy of the documents sent to the Puerto Rico Treasury Department must be kept in the Budget Division.

c. Budget Division receives an e-mail from the Puerto Rico Treasury Department confirming the account creation in PRIFAS and the authorization to proceed with the account creation in FiMaS.

d. Budget Division creates the account in FiMaS.

e. Budget Division selects "Pending EPA Award" in the Award Status field in FiMaS

6.1.4. Once the Cooperative Agreement is received, Budget Division proceeds to register the corresponding amount increase in FiMaS utilizing the Form SC 751.3.

6.1 .5. Budget Division updates FiMaS Award Status field to "Awarded".

6.1.6. Budget Division completes the award registration process in FiMaS.

6.1.7. Budget Division creates the grant project budget Journal. )< ....

\ - For detail steps to follow in the FiMaS application, please refer to the Commitment Control User Manual, Section called Create Budget Income Journal.

6.1.8. Budget Division submits an electronic file to the Puerto Rico Treasury Department to upload the award information into PRIFAS.

6.1.9. Budget Division sends a copy of the Cooperative Agreement along with the Form SC 751.3 with the amount increase, to the Puerto Rico Treasury Department.

- EQB L'>,'U...~"1"1J\!.\lln9u.UD

~'LUnlCll' P\UJOltlco Document Number: Page: 4of15


OP-0006-V3

6.2. State and Special State Funds Registration

6.2.1. When the OMB approves a state subsidy through "Reso/uciones Conjuntas" or State Statutes with the EQB, the Puerto Rico Treasury Department receives the notification and proceeds with the registration of State and Special State funds in PRIFAS.

a. Establish fund appropriation limit: Puerto Rico Treasury Department PRIFAS establishes a Fund Appropriation Limit for Fund 111, which enables the user to establish an appropriation limit to avoid appropriation budgets exceed the total amount entered for a particular fund.

b. The budget file is posted in PRIFAS, which includes budgets for all agencies.

6.2.2. OMB and the Puerto Rico Treasury Department remit a State/Special State fund notification letter to EQB's Budget Division indicating the corresponding account definition.

6.2.3. Budget Division creates the budget journal in FiMaS, according to the specifications indicated in the fund notification letter.

a. Establishes fund appropriation limit for State and Special State Funds, which includes EQB's funds total budget amount.

b. Posts the budget. ~

\ ·:- For detailed/ steps to follow in the FiMaS application, please refer to the Commitment Control User Manual, Section called Create Budget Income Journal.

6.2.4. Budget Division prepares and submits a Budget Distribution Memo to Finance Division for disbursement and to Human Resources Division, Payroll Section, for the corresponding payroll accounts.

EQB c.'""~"',.'"'"l\(>Ub l----'Ulntt!tP\.t•tollllcu

Document Number: Page: 5of15 Federal & State Funds Registration Procedure

7. Forms and Reports

7.1 . Journal Distribution Budget

E!l1cr Budsi:t Jo\lmals

OP-0006-V3

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7.3. Account Change Memo

Document Number: OP-0006-V3

GOBltRNO DE PUERTO RICO Ofloitin dol Gobemador

Junta de Calldad Amblental

17 dn Junlo de 200!l

Sr;i. lymoti Flote~ Aoalista Gerenciaf en Recu(SOS Humanos Division de llaeursos Humanos

Mlguel A. Perdomo E'strnda Gcr~nte de Asuntos Admlnlstratlvos

Quebec Morro V<?ga oflcial Gerencial Divlsl6n de Presupue,to

CAMBIO CUENTA- l>R~UPUESTO APRODflDO FY 200'1·2010

Page: 7of15

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Favor procedef con t i ombio de clfra dt: ruenta de los cmpl~111fos que se detallan a col'ltinuaclOn:

Progf3ma: Control Contamlnacl6n par ltuldot. Cuenta: Ellll>-lll-Ol4000(H071·001·2010

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Berrios Ottiz, CanY.~ M. (042El I <:41.iz. Vizcarrondo, Wand~ (294~

Lamboy Ayala. Catmen M. (085!:) Na'lllf\ Rivera, W.ilagroJ {217f)

Pbnoll Gab1fol, SyMa (293E)

QUllOr.H fsca'•ra, Ada {41>7F)

OrlizRivet11, M~ria ~ f0$A. (274E}

VhQue~ Fem~z. Cam:~ ( 137E)

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Page: 8of 15 Federal & State Funds Registration Procedure

OP-0006-V3

7.4. Form SC 751.3

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7.5. Form SF 424

Applicallon for Fedellll Mslstance SF-42A

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Application for Federal Asslstlnce SF-42A

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8. Tabular Summary of Procedure

Step Description

Remit copy of the Cooperative

6.1.1. Agreement and supporting documentation to the Budget Division, once a federal subsidy is approved

Start federal funds registration process by completing the Form SC

6.1.2. 751.3, once a complete copy of the Cooperative Agreement and supporting documentation is received

If the Cooperative Agreement has not been received before the period of availability, but the Grantor issues assurance that it will be approved and submitted, execute the followi ng steps, in order to perform the necessary processes to properly capture the cost allocations: a. Request the Secretary of the

PRTD for authorization and creation of fifty percent (50%) of the funds requested per grant account in PRIFAS, using the

6.1 .3. Form SF 424 (Application for Federal Assistance) and the Form SC 751.3, until the Cooperative Agreement is received

b. Keep copy of the documents sent to the PRTD

C. Receive an e-mail from the PRTD confirming the account creation in PRIFAS and the authorization to proceed with the account creation in FiMaS

d. Create the account in FiMaS e. Select "Pending EPA Award" in the

Award Status field in FiMaS

Register corresponding amount

6.1 .4. increase in FiMaS utilizing Form SC 751.3, once the Cooperative Agreement is received


Page: 12of15

Official in Outcome

Time Charge Required

Copy of Cooperative Depends on Federal Agreement and the Federal Agency supporting

Agency documentation

Form SC 751.3

Budget (Registration of

Division Assignment and 1 day Estimated Income for Federal Contribution)

President (a.) Fifty percent (50%) of Depends on

Budget the funds granted PRTD

Division (b.-e.) registration authorization

Budget Amount increase 1 day

Division registration in FiMaS

EQB Drl._v()_·wn~

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6.1.5. Update FiMaS Award Status field to "Awarded"

6.1.6. Complete award reg istration process in FiMaS

6.1.7. Create grant project budget Journal

Submit electronic file to the PRTD to 6.1.8. upload the award information into

PRIFAS

Send copy of the Cooperative

6.1 .9. Agreement along with the Form SC 751.3 with the amount increase to the PRTD

Register State and Special State 6.2.1. funds in PRIFAS

Remit State/Special State fund

6.2.2. notification letter to EQB's Budget Division indicating the corresponding account definition

Create budget journal in FiMaS, 6.2.3. according to specifications indicated

in the fund notification letter

Prepare and submit Budget Distribution Memo to Finance Division

6.2.4. for disbursement and to Human Resources Division, Payroll Section, for the corresponding payroll accounts


Page: 13of15

Budget FiMaS Award Status 1 day Division update

Budget Award registration 3 days Division process

Budget Grant project budget 1 day Division Journal creation

Budget Electronic file submission to PRTD 7 days

Division for PRIFAS upload

Cooperative Budget Agreement and Form 1 day Division SC 751.3 copies

delivery to PRTD

Puerto Rico State and Special Depends on Treasury State funds PRTD Department registration in PRIFAS

Depends on OMB and State/Special State OMB and PRTD fund notification letter

PRTD

Budget Budget journal 2 days Division creation

Budget Budget Distribution Memo preparation and 2 days

Division submission

' EQB °"'~"" •u.m•"\\l.D _,.Ulftlalt\uroiwu


9. Document Revision Table

Revision Revision

Number Date Section

5.1 I 6.2 V2 June 2, 2010 /7.1 I

7.2 I 7.3

V3 October 29, 2015 2 I 6.1

Document Number: OP-0006-V3 Page: 14 of 15

Modification Justification

State and Special State Updated EPA Comments

Funds Registration

Internal controls Changes in current strengthening and

process enforcement

' EQB 1.'1\-.,.,"(p.",una..un 0..---1.UntOfP\U nJ!llKV


Table of Contents


Page: 15 of 15

1. Objective ....... ... .... ............... ............ ..... ... ... .................. ... ...... ... ... ..... ........ .. ..... ........... ............ . 1

2. Legal Authority ...... .................... ....... ................ ............... ...... ...................... ...... ...................... 1

3. Applicability ................... ...................................................... ......................... .. .... ..................... 1

4. Organizational Roles and Responsibilities ................................................ .. ... ... ...................... 1

5. Definitions and Abbreviations ......... .. ..... .. .................... ... ....... .................. ............. .. ................. 2

5.1 . Abbreviations ............. .............. .... ................. ........... ... .. ...... ........ ..... .............. ........... .... ... 2

6. Procedure Description ........................ ................................ ....... ........ .. .................................. . 2

6.1. Federal Funds Registration ..... .............. .. ......................................................................... 2

6.2. State and Special State Funds Registration ... ... .... ....... .. ............ .. ........ ... .. ............... ....... .4

7. Forms and Reports .......................... .......... ... .. ...... ............. ......... ..... .......... ...... ... ... ................. 5

7.1 . Journal Distribution Budget ..... ............................ ....... ... .. .. ............................................... 5

7.2. Budget Distribution Memo ............ ........ .............................. .... ............................... ........... 6

7.3. Account Change Memo ............ ................................... .. ..... ...... ........ ................................ 7

7.4. Form SC 751.3 .............................. ...... ......... ........ .. .. ..... ... ................................ .. ... ... ........ 8

7.5. Form SF 424 .. ... ..... ... ..... ............. .... .. ... .... ..... ........ .............. .......... ...... ............................. 9

8. Tabular Summary of Procedures ........................ .... .. .................. .. .... .... ............ ........... .. ....... 12

9. Document Revision Table .. .... .... .... ................................... ...... ................. ... ... ........ ............. 144

Document Owner: Budget Division Federal State Funds ... de Reglamento y...Federal & State Funds...

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Transcript of Document Owner: Budget Division Federal State Funds ... de Reglamento y...Federal & State Funds...