Federal Emergency Shelter Grant 2011 Grant Management Training.

Federal Emergency Shelter Grant

2011 Grant Management Training

Dept Housing & Community Development

FESG Program Contacts

Dan Apodaca, FESG Program Manager

⁃ Amanda Lockwood, HCD Rep II

⁃ Catherine Kungu, HCD Rep II

⁃ Helene Hiromoto, HCD Rep II

⁃ Connie Mallavia, 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 – State of CA General Terms & Conditions

Exhibit D – FESG 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 Very Low 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

Important things to note:

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 & Contract Amendments

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

State FESG regulations allow for an advance of up to 30 days cash needs or $5,000 whichever is greater

To request an Advance, submit the Program Activity Report (PAR) marked as “PAR #1/ Advance Only”

Advance, if requested, is DUE within 60 days of the contract (Standard Agreement) start date

FESG Expenditure Detail Sheet, in support of your advance, is due within 30 days of the end 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

Grantee must notify the Department of the following changes:

• Change to any personnel (i.e. Executive Director, Fiscal Representative, or Contact Person)

• Organizational name change• Physical address change Fiscal Representative is responsible for maintaining

and submitting all FESG forms and reports

Financial Management -Fiscal Files

Subgrantees should have well organized “fiscal files” that support contract activities and made available at HCD’s request.

Fiscal Files should include:

Standard Agreement with Exhibits Amendments to the Standard Agreement Correspondence (chronologically filed) Reports Approved Budget Sheets and Budget Revisions Program Activity Reports (PARs) sequentially

Reporting Requirements

Program Activity Report (PAR)

Quarterly Reports

Other Reporting

Annual Performance Report

HUD Section 3 Report

Audits (A-133)

Monitoring Findings

Close-Out Reports

Reporting Requirements ⁃Program Activity Reports (PARs)

Submit signed PARs (PDF, via email to your HCD Representative) no less than quarterly. Contact your HCD Representative, if questions.

Submit FESG Expenditure Detail sheets (an Excel document), along with each PAR.

Mail the PAR, with the original signature of the Authorizing Representative, if PDF is not available. Include the related Expenditure Detail sheets.

Job titles, costs, and descriptions must agree with your approved budget sheets on the Staff/Non-Staff costs sheets

Allow 6 - 8 weeks for processing

Reporting Requirements ⁃ Program Activity Reports (PARs)

Common Causes for Delays in Processing PARs: PARs are submitted with incomplete data.

Ineligible costs requested, expense details are vague, descriptions of expenses are missing, dates and/or billing periods are missing, job titles are incorrect or not noted, etc.

Costs charged to incorrect budget activity Mathematical errors Not rounding off to nearest dollar Unresolved issues

(PARs are due no less than quarterly and are due 30 days from the reporting period.)

Reporting Requirements ⁃ Quarterly Reports

All PARs are Due 30 Days from the reporting period.

Quarters are:

Oct 1, 2011 thru Dec 31, 2011 Due: Jan 30, 2012

Jan 1, 2012 thru Mar 31, 2012 Due: Apr 30, 2012

Apr 1, 2012 thru Jun 30, 2012 Due: Jul 30, 2012

Jul 1, 2012 thru Sept 30, 2011 Due: Oct 30, 2012

Note: All late reports result in check processing delays and affect scores on future applications.

Reporting Requirements ⁃ Quarterly Reporting – S A M P L E

December 31, 2010

Reporting Requirements ⁃ Other Reports Required

Annual Performance Report- Reports FESG accomplishments on an annual basis for each FESG contract . Due July 20th of each year or date established by HCD.

HUD Section 3 Report- Reports the “Economic Opportunities for Low and Very Low-Income Persons or Section 3 businesses”. Due October/November of each year.

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

(Audit Reports must be forwarded to your HCD Representative.)

AuditsAuthorities

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 / Desk Audits

Programs that are selected to be monitored are based on Risk Assessment Evaluations conducted by HCD Representative.

Records and documents HCD will request:

Financial records (PARs)

Audit reports

Supporting cost documentation

Personnel and client files

Physical site for health & safety

Monitoring ⁃

Site Monitoring / Desk Audits

Information requested is based on the risk assessment

Post site monitoring/desk audits, HCD provides a letter outlining findings and concerns and will request 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 non-payment of funds, return of funds, lower scores on future FESG Applications, denial of future grants and/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 non-payment of funds, return of funds, lower scores on future FESG Applications, denial of future grants, and/or possible closure

Close-Out ⁃ (Due by the Contract Expiration Date)

Certificate of Completion (Original signature required)

Last PAR and Expenditure Detail sheets must be submitted within 30 days after the contract termination date.

Quarterly Reports should all be submitted at closing.

All other reports requested.

Note: Late submittal will affect future scoring and/or may result in the return of funds to HCD

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

No comingling of Federal funds.

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.

Records Retention is 6 years.

Special Terms and Conditions ⁃ Procurement

Refer to the 2011 Grant Management Manual for guidelines on 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.

(HCD must pre-approve the procurement 60 days

prior to the purchase.)


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


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 or the expenses may be disapproved.

Special Terms and Conditions ⁃ Procurement Methods

Competitive Bids

Small Purchases

Competitive Negotiation

Non-competitive 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, for state departments, so be sure to submit your PARs timely to prevent any delays in your reimbursements.)


More Do’s

Communicate with your FESG Representative

Use the latest version of 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


More Do’s Identify payroll dates for staff on the Detailed

Expenditure sheet

Subtotal each Major Activity and Sub-Category on the FESG Expenditure Detail sheet

Round off cents to the nearest dollar

Type or write the Contract Number and Page Numbers on the FESG Expenditure Detail sheets if multiple pages are used


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 an original Signature by the Authorized Representative, Title, and Date


More Do’s On all correspondence, be sure to include the Contract

Number and identify the Issue on the Subject Line

Example


Don'ts

Don’t submit a PAR request for items not in your approved budget

Don’t submit a PAR request with ineligible costs

Don’t submit a PAR request for expenses that your organization has not incurred

Don’t request a budget revision or contract amendment after June 1st (the earlier, the better)


More Don'ts

Don’t send timesheets, invoices, receipts, etc., unless specifically requested by your Representative

Don’t leave page numbers off the FESG Expenditure Detail sheets if multiple sheets are used

Don’t report cents on PARs (round to the nearest dollar)

Key Documents

FESG Application submitted

STD 204 – Payee Data Record Must be provided for each FESG Contract with the original signature

Std 213 - Standard Agreement

HCD website for FESG Forms (Grant Mgmt Manual, PAR, FESG Expenditure Detail and FESG Eligible Expenses)

HCD Approved Budget including Detailed Breakdown of Individual Staff Costs and Summary of Non-Staff Project Costs

Grant Management Training Questions(Please use the Answer Sheet and complete the Training Certification located at the end of this presentation.

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 non-profit organization, a detailed justification is needed for a purchase greater than $ dollars?


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?


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, what descriptions are required for staff members?

15. Who should sign the PAR prior to submission to the FESG representative?

2011 FESG Grant Management Training Certification

I hereby attest that I have completed the “2011 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.: 11-FESG- Date:

FEDERAL EMERGENCY SHELTER GRANT PROGRAM (FESG)2011 GRANT MANAGEMENT TRAINING QUESTIONS

Answer Sheet

Contractor Name:

Contract Number: 11 - FESG -

1. 9.

2. 10.

3. 11.

4. 12.

5. 13.

6. 14.

7. 15.

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Printed Name/Title:

Signature:

Federal Emergency Shelter Grant 2011 Grant Management Training.

Documents

Transcript of Federal Emergency Shelter Grant 2011 Grant Management Training.