Federal Emergency Shelter Grant 2009 Grant Management Training

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


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

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.)


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


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


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


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


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)


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?


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 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: