federal emergency shelter grant 2009 grant management training
TRANSCRIPT
Federal Emergency Shelter Grant
2009 Grant Management Training
Dept Housing & Community Development
FESG Program Contacts
Dan Apodaca, FESG Program Manager
⁃ Amanda Lockwood, FESG Fiscal
Officer ⁃ Angie Ogaz, HCD Rep II
⁃ Helene Hiromoto, HCD Rep II
⁃ Justin Jeremiah, HCD Rep II
Major Items to be Covered
Standard Agreement (Std 213)
Financial Management
Reporting Requirements
Audits
Monitoring
Grant Management Compliance
Special Terms and Conditions
FESG Checklist
Key Documents
Standard Agreement (Std 213)
By Reference, the FESG Grant App is part of the Contract
Contract Face Sheet includes the Term Dates, Exhibits and Signatures
Exhibit A - Authority, Purpose & Scope of Work
Exhibit B - Budget Detail & Payment Provisions
Exhibit C - HCD General Terms & Conditions
Exhibit D - State of CA General Terms &
Conditions
Exhibit E - Special Terms & Conditions
Standard Agreement (Std 213) -Clauses
Standard Non-Discrimination Clause
Efforts to hire small, minority and women’s business enterprise; and labor surplus area firms
Efforts to provide employment to lower income residents (HUD Section 3)
Standard Agreement (Std 213) - Conditions
Prior to charging expenses to the FESG Grant
Contract must be approved & executed by the State
All special conditions & certifications must be met
Contractors must start expending funds on the approved project within 180 days from date of award notification
One Advance (30 day advance or $5,000 whichever is greater) is allowable within 60 days of the Contract start date
Standard Agreement (Std 213) - Budget
Major Budget Activities are:
Rehabilitation/Renovation (RR)
Operations (OPS)
Essential Services (ES)
Homeless Prevention (HP)
Supervisory Shelter Administration (SSA)
Grant Administration (GA)
Standard Agreement (Std 213) - Budget
Before submitting your first PAR form, verify that the activity amounts listed are accurate and consistent with Exhibit B, Page 1, of your Contract
Budget Sheets will be mailed upon approval and execution of your contract
All changes to budgets sheets require HCD Rep approval
Standard Agreement (Std 213) - Budget Revisions
Budget Revision Request Form is required for the following transactions:
Contract Amendment Change the Scope Make cumulative transfers between Major Budget Activities
exceeding 10% of the total grant amount Contractor Name Change
Budget Revision Revise amounts between Major Budget Activities of
10% or less
Line Item Revision Revise amounts within Budget line items under the same Major
Budget Activity
Note: Include Detailed Breakdown of Individual Staff Costs and Summary of Non-Staff Project Costs
Standard Agreement (Std 213) - Advance of Funds
Advance request is DUE within 60 days of the contract start date
State FESG regulations allow for an advance of up to 30 days cash needs or $5,000 whichever is greater
Use PAR form to request Advance
FESG Expenditure Detail Sheet, in support of your advance, is due within 30 days of the close of the advance period
Financial Management
Grantee must maintain a financial accounting system that provides accurate, current and complete disclosure of financial status of each grant support activity
Inform your HCD representative if there are any management, authorized representative, fiscal contact or staffing changes
Fiscal contact is responsible for maintaining and submitting all FESG forms and reports
Financial Management -Fiscal Files
All supportive contract and fiscal documentation must be maintained in file and made available at HCD’s request
Files should be: Current In Chronological Order/PAR # Support Expenses that were reimbursed Well organized
Reporting Requirements
Program Activity Report (PAR)
Quarterly Reports Annual Performance Report
HUD Section 3 Report
Audits
Monitoring
Close-Out
Reporting Requirements ⁃Program Activity Reports (PARs)
Submit PARs no less than quarterly
Submit FESG Expenditure Detail sheets with each PAR
Costs must agree with your approved budget sheets, including staff/non-staff cost sheets
Allow 6-8 weeks for processing
Reporting Requirements ⁃ Program Activity Reports (PARs)
Common Causes for Delays in Processing PARs
PARs not completed correctly
Ineligible costs requested, expense details are vague, description of expense is missing, dates and/or billing periods are missing, job classification not noted, etc.
Unapproved job classification is used Costs charged to incorrect budget activity Mathematical errors Not rounding to nearest dollar Unresolved issues
Reporting Requirements ⁃ Quarterly Reporting
Due 30 Days After the End of the Quarter
Quarters are:
Oct 1, 2009 thru Dec 31, 2009 Due: Jan 30, 2010
Jan 1, 2010 thru Mar 31, 2010 Due: Apr 30, 2010
Apr 1, 2010 thru Jun 30, 2010 Due: Jul 30, 2010
Jul 1, 2010 thru Sept 30, 2010 Due: Oct 30, 2010
Note: Late reports result in lower scores on future FESG Apps
Reporting Requirements ⁃ Quarterly Reporting – S A M P L E
Reporting Requirements ⁃ Other Reporting
Annual Performance Report- Reports FESG accomplishments on an annual basis for each FESG contract
HUD Section 3 Report- Reports the “Economic Opportunities for Low and Very Low-Income Persons referred to as Section 3 residents
Audits
Refer to the Grant Management Manual Type of audits, grantee responsibilities in
selecting an auditor and how to prepare for an audit.
Noncompliance with audit requirements will jeopardize FESG funding
Federal Requirements:
Must be completed by an independent auditor
Required if grantee receives $500,000 or more in federal assistance during FY
Performed annually
Audits
Authorities
Audit requirements are outlined in OMB Circular A-133
Can access OMB Circulars at http://www.whitehouse.gov/omb/circulars/index.html
State Standard Agreement
Can obtain further information in the FESG Grants Management Manual
Monitoring ⁃ Site Monitoring
Programs that are selected to be monitored are based on Risk Assessment Evaluations conducted by HCD Rep. Records and documents HCD will request:
Financial records (PARs)
Audit reports
Supporting program documentation
Personnel and client files
Physical site for health & safety
Monitoring ⁃ Desk Audit Process
Programs that are selected to be monitored are based on Risk Assessment Evaluations conducted by HCD Rep
Information requested is based on the risk assessment
After review, HCD provides a letter outlining findings with request for verification of corrective action, if needed
Grantee responds to HCD’s requests promptly with written notification of corrective actions taken
Note: Consequences for non-compliance, can be no payment of funds, return of funds, denial of future grants or possible closure
Monitoring ⁃ Site Monitoring/Corrective Action Process
HCD Rep will communicate any issues, concerns or findings with Contractor.
HCD Rep will follow-up in writing of any findings
Verification of corrective action will be required
Note: Consequences for non-compliance, can be no payment of funds, return of funds, denial of future grants or possible closure
Close-Out ⁃ (Due by Oct 30th)
Certificate of Completion and Certification of Grantee (Original signature required)
Final PAR submitted within 30 days after the contract termination date – identified as “Final”
Final Quarterly Report
All Outstanding Program Reports
Note: Late submittal will affect future scoring
Grant Management Compliance
Program compliance may impact future Rating and Ranking.
Timely submittal of PAR, quarterly and annual reports
Collect statistical information and documents supporting outcomes
Timely obligation of funds and expenditures
Consistency in fiscal management
Special Terms and Conditions ⁃ Equal Opportunity Requirements
May not discriminate regarding employment
Provide opportunities for training and employment to lower-income persons (Section 3)
Formal policy regarding discrimination
Record Retention is 6 years
Special Terms and Conditions ⁃ Procurement
The Grant Management Manual has guidelines when purchasing and contracting for supplies, equipment and services acquired in whole or in part with FESG funds
The intent of procurement guidelines is to assure an open and competitive process in meeting federal goals
Special Terms and Conditions ⁃ Procurement
Grantee Responsibilities: Establish a code of standards or ethics
Competitive bidding
No duplicate or ineligible purchases
Efforts to attract small and minority-owned businesses
Procedures to ensure requirements are met
Must maintain complete files to document compliancewith these requirements
Compliance with State Standard Agreement
Special Terms and Conditions ⁃ Procurement
Grantee must submit a detailed justification of the need for equipment/fixtures when:
Local government Purchase of $5,000 or more with a useful life of more than
one year
Nonprofit organizationsPurchase of $500 or more with a useful life of more than
one year
Note: HCD must pre-approve the procurement 60 days prior to the purchase
Special Terms and Conditions ⁃ Procurement Methods
Small Purchases
Competitive Bids
Competitive Negotiation
Noncompetitive Negotiation
FESG Checklist of Do’s and Don’ts
Do’s
Carry over current balance (column 4) from previous PAR to your next PAR (column 2)
Submit PAR request 30 days from the close of the reporting period. (June marks the State of California’s budget year-end and is typically the busiest month of the year, so please be sure to submit your PARs timely to prevent any delays in your reimbursements.)
FESG Checklist of Do’s and Don’ts
More Do’s
Communicate with your FESG Representative Use the approved budget sheets as your reference for
completing the PAR
Ensure the heading at the top of each PAR is complete with the current Contact Person Name, Title, E-Mail Address, Phone Number, and Fax Number, etc.
Use the correct staff titles and names on the detail expenditure sheet that corresponds to your approved Budget Sheets
FESG Checklist of Do’s and Don’ts
More Do’s Identify payroll dates for staff on the Detailed
Expenditure Sheet
Use subtotals on each page of the FESG Expenditure Detail Sheet
Round cents to the nearest dollar
Type or write page numbers on the FESG Expenditure Detail Sheets if multiple pages are used
FESG Checklist of Do’s and Don’ts
More Do’s
Submit the FESG Expenditure Detail Sheets in the following sequence:
MAJOR REHAB/CONVERSION (If applicable)
RENOVATION (If applicable)
OPERATIONS (First Staff Costs, then Non-Staff Costs); Use the approved budget sheets as your reference for completing the PAR
ESSENTIAL SERVICES (First Staff Costs, then Non-Staff Costs)
HOMELESS PREVENTION (If applicable)
SUPERVISORY SHELTER ADMINISTRATION
GRANT ADMINISTRATION
Submit the PAR with the original Signature by the Authorized Representative, Title, and Date
FESG Checklist of Do’s and Don’ts
More Do’s Please be sure to include the Contract No.,
Contractor Name, and identify the issue in the Subject Line on all correspondence
Example
FESG Checklist of Do’s and Don’ts
Don'ts
Submit a PAR request for items not in your approved budget
Submit a PAR request with ineligible costs
Submit a PAR request for expenses that your organization has not incurred
Request a budget revision or contract amendment after August 1st (the earlier, the better)
FESG Checklist of Do’s and Don’ts
More Don'ts
Send Timesheets, invoices, receipts, etc., unless specifically requested by your Representative
Leave page numbers off the FESG Expenditure Detail Sheets if multiple sheets are used
Report cents on PARs
Key Documents
Std 213 - Standard Agreement
FESG Application Submitted
HCD Approved Budget including Detailed Breakdown of Individual Staff Costs and Summary of Non-Staff Project Costs
HCD website for FESG Forms (Grant Mgmt Manual, PAR with FESG Expenditure Detail and FESG Eligible Expenses)
STD 204 – Payee Data Record Must be provided for each FESG Contract with the original signature
Grant Management Training Questions(Please use last page of this presentation to answer questions)
1. How many days after the contract terminates should the Final PAR be submitted?
2. Can your last reimbursement be held by the State until all reports/forms are submitted and approved by the State?
3. How many days after the month ends is the Program Activity Report and expenditure detail due?
4. Regarding the issue of Procurement, please list 3 grantee responsibilities.
Grant Management Training Questions
5. What is the maximum percentage of the total grant amount that can be moved between Major Budget Activities for a FESG contract without having to amend the contract?
6. How many years should you keep an accurate and complete set of accounting records?
7. When purchasing equipment or fixtures as a Nonprofit organization, a detailed justification is needed for a purchase greater than $ dollars?
Grant Management Training Questions
8. If a grantee receives more than $ in a Federal Fiscal-Year, an audit must performed and submitted.
9. Besides your HCD Representative, what else can you use as a source to determine if an expense might be eligible?
10. What are the three items that must be submitted in order to closeout the contract?
11. How should an expense for $494.60 be reported on the PAR?
Grant Management Training Questions
12. What other document is required to be submitted with the PAR?
13. What should be done if the fiscal representative of your organization changes?
14. On the Detail Expenditure sheet Line Item #2, what descriptions are needed for staff?
15. Who should sign the PAR before submission to HCD/FESG?
2009 FESG Grant Management Training Certification
I hereby attest that I have completed the “2009 FESG Grant Management Web-Based Training” and have answered and submitted the responses to questions to HCD to be placed in our fiscal file.
Signature:
Printed Name/Title:
Contract No.: 09-FESG- Date:
FEDERAL EMERGENCY SHELTER GRANT PROGRAM (FESG)
2009 GRANT MANAGEMENT TRAINING QUESTIONSAnswer Sheet
Contractor Name:
Contract Number: 09 - FESG -
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Printed Name/Title:
Signature: