QUICK CHECKLIST FOR RDP POLICIES & PROCEDURES

Policy Index - RDP Home Page

RDP POLICIES & PROCEDURES CHECKLIST

ADM 001 POLICIES & PROCEDURE DEVELOPMENT GUIDELINES

Use the most recent policy
Look at the Effective Date and Revision No. located in the policy heading
Check the RDP website for updates

ADM 002 COMPLAINT RESOLUTION PROCESS

Give to subcontractors, applicants for RDP funding, and RDP participants.
Exception: If a subcontract provides an alternative process for resolving complaints, the process in the subcontract takes precedence and notification is not required.
A complaint must be based on a violation of a law, federal or state regulation, contract or agreement.
The person or organization filing the complaint must follow the procedures outlined in the policy.
RDP must adhere to the policy timeframes when resolving a complaint.

ADM 003 CONFLICT OF INTEREST

Do not take official action directly affecting an organization that will be or has been selected for an RDP award if you, any member of your immediate family, your partner or spouse has a financial or other interest in the organization.
Immediate Family: Dependents and all members of your household.
If you believe that you may have a conflict of interest, disclose the potential conflict in writing to the Principal Investigator or the RDP Statewide Coordinator.
The Principal Investigator or RDP Statewide Coordinator shall make a determination of whether a conflict exits or may refer the disclosure to the Hawai'i State Ethics Commission for a written opinion.
Your spouse/partner or immediate household member can participate in an RDP program if he/she meets program eligibility requirements and does not receive preferential treatment or unwarranted advantage.
Do not solicit or take a gift if it can reasonably be inferred that the gift is intended to influence you in the performance of your official duties or intended as reward for official action on your part.

ADM 004 CAC GUIDELINES

This policy only applies to Island Projects that have a Community Advisory Committees (CAC).
A CAC provides feedback and recommendations to the Island Project it serves.
CAC members are selected by the Island Project and serve for a two year term. RDP can rescind the membership of anyone serving on the CAC.
CAC members are subject to conflict of interest provisions.

ADM 005 STATEWIDE PROGRAM COMMUNICATION

Statewide staff has responsibility to ensure that communications are clear, direct, and timely so that Island Project Directors and RDP staff are informed about RDP projects and pertinent information.
Island Project Directors will be informed about RDP projects on their islands prior to program implementation.
Statewide staff will provide Island Project Directors and RDP staff reasonable notice when requesting information when the request requires Island Project staff to expend time and resources to sufficiently respond to the request.

CON 001 MEMORANDUM OF AGREEMENT

A Memorandum of Agreement (MOA) is required for all internal programs.
An internal program is a UH or community college program funded, in whole or in part, by RDP or where program funds are maintained in an RDP account and RDP is directly funding personnel and handling procurement.
Exceptions: MOA's are not required for the following:
a. Programs where the personnel are RCUH or UH employees directly under the supervision of the Island Project Director or RDP Statewide Coordinator and there are no third party commitments for performance. Staff is required to ensure that program objectives and outcomes conform to the grant criteria and comply with the grant work plan.

b. If the Office of Continuing Education and Training (OCET) has administrative and operational oversight of an RDP Island Project, an MOA is not required for an OCET class or program funded by RDP.
The RDP Complaint Resolution Process/EEO Notice must be attached to the MOA.
A Notice of Funding must be submitted with the MOA and a copy included in the program file.

FIN 001 FINANCIAL MANAGEMENT

RDP staff is required to comply with the federal cost principals and requirements outlined in OMB Circular A-21 and OMB Circular A-110.

FIN 002 ETA / UH BUDGET LINE ITEMS

Use this policy to "crosswalk" or match the most commonly used UH Budget line items with ETA budget line items.

FIN 003 ADMINISTRATIVE COSTS

Know the difference between administrative and program costs.
A Personnel Activity Report (PAR) will be used to track both the administrative and program costs for employees. PAR will also be used to allocate personnel costs across grants.
An Administrative Cost Tracker (ACT) will be used to identify administrative costs for travel, supplies, etc.

FIN 004 EFFORT REPORTING

Personnel Activity Report (PAR): Employees that work on more than grant and/or perform both administrative and program functions are required to submit a PAR. The PAR will be submitted each pay period.
The PAR will be used to track both the administrative and program costs for employees. The PAR will also be used to allocate personnel costs across grants.
Certification Report: Employees that perform 100% program functions and work under only one grant are required to submit a Certification Report on a semi-annual basis. Each employee will certify that she/he worked solely on the grant and only performed program functions for the period certified.
The PAR and the Certification Report must be signed by the employee or authorized RDP staff having first hand knowledge of work performed.
The Personnel Support Assistant will send staff a schedule of due dates for the PAR and Certification Reports.
The PAR and Certification Reports must be submitted to the Personnel Support Assistant at the statewide office.

FIN 005 PROGRAM INCOME

Program Income is gross income earned by an RDP program, a subrecipient, or a subcontractor that is directly generated by an RDP supported activity or earned only as a result of RDP funding during the grant period.
Examples of Program Income. Use and Rental Fees: Income from rental or usage fees, such as those charged for use of computers purchased with RDP funds. Sale of Products: Proceeds from the sale of commodities or items fabricated with RDP funds such as CDs, publications, videotapes, or software. Income from fees for services performed: Income from registration or admission fees for conferences or workshops.
Subrecipients / Subcontractors. Project Directors and statewide staff are required to notify subrecipients and subcontractors of this policy and its requirements. Include the program income provision outlined in the policy in all subcontracts and agreements.
Addition Method. The addition method will be used calculate program income. Costs incidental to the generation of program income will be deducted from gross program income to determine the net program income provided that the costs were not charged to the RDP program. If costs were charged to RDP, the costs cannot be deducted.
Establish Separate Accounts. A separate account will be established for program income. RDP staff must monitor to these accounts and ensure that program income is identified and recorded properly as revenue in the correct account and expenses are properly recorded.
Program Income Must Be Expended First. RDP staff must monitor expenses in the program income account to ensure that it is spent to support the project or program before RDP funds are expended.
Expenditure Approval. Subrecipients and subcontractors must obtain approval from RDP prior to expending program income. This is to ensure that program income is used to support project or program goals and objectives.

MAN 001 PROPERTY MANAGEMENT

Equipment and controlled property are subject to this policy.
Equipment is defined as tangible, nonexpendable personal property having a useful life of more than one year and an acquisition cost of $5000 or more per unit.
Controlled Property is defined theft sensitive property with a useful life of more than one year and an acquisition cost of a least $1000, but less than $5,000 per unit. Examples of theft sensitive property are: fax machines, microscopes and balances, television sets, audiovisual recorders/players, cameras, computers, printers, monitors, and scanners.
All equipment and controlled property purchased with RDP funds shall be identified by a University of Hawaii (UH) control number.
Designated RDP staff shall verify that the UH decal is physically affixed to the property. RDP is responsible for physically affixing the University decal to new acquisitions promptly.
Notify your fiscal officer if equipment and property has been lost, stolen, disposed or transferred. The fiscal officer must submit the appropriate forms to UH.

MAN 002 RECORDS RETENTION & MANAGEMENT

Retention Period: Financial records, supporting documents, program records, participant files, statistical records and all other records pertinent to RDP funding shall be retained for a period of three years from the date of submission of the final expenditure report for the award.
Final authorization: Prior to destroying RDP records staff is required to obtain final authorization from the RDP Statewide Coordinator or his/her designee.
Exception: If any litigation, claim or audit is started before the expiration of the three year period, the records shall be retained until all litigation, claims or audit findings involving the records have been resolved and final action taken.

PRO 001 PARTICIPANT TRACKING

RDP Intake Form: All participants must complete a RDP Intake Form
Customize the RDP Intake Form: Program staff must customize the form to conform to information specified in the grant.
Input the grant project title, grant number and program title
Input the program eligibility criteria for participants (This section must match the eligibility criteria in the grant)
Verification of Eligibility: DOL requires that RDP verify that participants meet at least one criteria if it targets the participants the grant was intended to serve.
Documentation verifying program eligibility must be included in the participant program file. See Exhibit B for Examples of Documentation Verifying Eligibility.
HUINET Database Management: Island Project Directors and statewide staff are responsible for ensuring that the information on RDP Intake Forms for their respective programs are input into the HUINET database within the same quarter that the forms are received.
Participant Follow-up: Participant follow-up will be conducted 30-90 days after program completion.
HUINET Notes: RDP staff must include the following information in the HUINET Case Management Notes section:
The Date the participant contacted and/or the information was verified.
The Outcome. What are the outcomes identified in the grant-did the participant obtain the outcomes? How? Be specific. For example, if the outcome was for participants to complete the program, specify the date the program was completed.
The Source that verified the outcome, i.e., contracted the program coordinator or instructor [Include the Name and Title of the Contact], contacted participant, obtained copies of certificates or class roster of students completing program, contacted instructor.
The First Initial and Last Name of the staff member conducting the follow-up.
Examples of HUINET notes:
Outcome #1: Participants will complete training (could not contact participant)
Example #2: Outcome-Participants will enter 2 to 4 year degree program

SUB 001 SUBRECIPIENT MONITORING

The program and financial activities of subrecipients will be monitored to ensure compliance with federal rules and regulations.
Monitoring Process: RDP will conduct different forms of monitoring subrecipients which may include:
Desk Reviews
On-site Program & Fiscal Reviews
Discretionary Audits
Regular Contact
Audits: RDP will ensure that Subrecipients that expend $500,000 or more in Federal financial assistance funds (from all federal sources combined) during a fiscal year conduct an organization wide or program specific audit in compliance with OMB Circular A-133. The audits must be completed within nine months of the end of the fiscal year.
Within six months of the receiving the subrecipient's audit, RDP will issue a management decision on audit findings that relate to the subgrant award.
RDP will follow-up with the subrecipient to ensure that the subrecipient takes appropriate and timely corrective action.