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ONGOING IMPROVEMENT
SELF-ASSESSMENT GUIDE:
PROGRAM AND FISCAL COMPLIANCE
for
Texas Homeless Education American Recovery and
Reinvestment Act Program (TXHEARRA) Subgrant
Recipients
(Funded by the U.S. Department of Education McKinney-Vento Education for Homeless
Children and Youths Program)
Two-Year Grant Cycle:
August 3, 2009-July 31, 2011
REGION 10 EDUCATION SERVICE CENTER
TEXAS HOMELESS EDUCATION AMERICAN RECOVERY AND REINVESTMENT ACT (TXHEARRA)
Project Review
Please submit your completed document by mail, fax, or email no later than the date in the notification to:
Texas Homeless Education Office (THEO)
Charles A. Dana Center, The University of Texas at Austin
2901 N IH 35, Room 2.200
Austin, TX 78722
Fax: 512-471-6193 Email: insert lead reviewer name here Phone: 800-446-3142
REVIEWER(S): REGION 10
THEO
CONSULTANT
PART 1: PROJECT INFORMATION
1. Name of the LEA/ESC:
2. County/District Number:
3. Name of McKinney-Vento Project Director:
4. Phone Number of McKinney-Vento Project Director:
5. Email address of McKinney-Vento Project Director:
6. Name of Homeless Liaison:
7. Phone Number of Homeless Liaison:
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REGION 10 EDUCATION SERVICE CENTER
TEXAS HOMELESS EDUCATION AMERICAN RECOVERY AND REINVESTMENT ACT (TXHEARRA)
Project Review
8. Email address of Homeless Liaison:
9. Name of Business Office Contact:
10. Phone Number of Business Office Contact:
11. Email address of Business Office Contact:
12. Date this assessment guide was completed: ___/___/____
13. Name of person completing this assessment if different than the Project Director:
14. Phone number for person completing this assessment guide:
15. Email address for person completing this assessment guide:
16. Cut-off date for student data reflected in this assessment guide:
17. Cut-off date for financial data reflected in this assessment guide:
18. Anticipated ending date of this subgrant:
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REGION 10 EDUCATION SERVICE CENTER
TEXAS HOMELESS EDUCATION AMERICAN RECOVERY AND REINVESTMENT ACT (TXHEARRA)
Project Review
PART 2: PROJECT DESCRIPTION/EVALUATION DESIGN (Schedule #6D)
Schedule #6D, item #5, “Activities to Accomplish Major objective(s)” is used to measure progress toward achievement of stated
outcomes. To complete this schedule, be sure that you have an electronic copy of the schedule that incorporates all the changes that
might have been made to the schedule during negotiations. Do not use the original copy of Schedule #6D, item #5, that was
submitted as part of the original application as changes were likely made to it.
The sample provided below is for Identified Need #1. Submit Schedule 6D, item #5, as approved in your NOGA from Region 10 for
each identified need.
Identified Need #1: Increased Academic Outcomes for Students in Method of Evaluating and
Homeless Situations Location of Estimated Time Documenting Accomplishments/
Activity Collaborators Frame (Dates) Outcomes to Date
X Before-school tutoring All elem HEB Aug 2009- Attendance sheets show 80% of the
Campuses May 2010 targeted participants attended
tutoring
During-school tutoring
After-school tutoring
Educational trips
Enrichment activities (identify):
Weekend program
X Summer program Travis El HEB, Girl Scouts June 2010 NA
Obtaining, reviewing, and analyzing credit status and educational
records
Credit recovery
Academic standing assessment
Educational plan identification and review
All campuses Counselors Aug 2009-May 2010 Benchmark tests show scores
X Periodic academic tracking
improved 13% upon first benchmark
Developmentally appropriate early childhood education
programs, not otherwise provided by Federal, State, or local
funding for preschool-aged students in homeless situations
Counseling
Involve parents in academic planning, updates, choices, enrichment
activities and remediation programs for their child
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REGION 10 EDUCATION SERVICE CENTER
TEXAS HOMELESS EDUCATION AMERICAN RECOVERY AND REINVESTMENT ACT (TXHEARRA)
Project Review
Other:
Other:
Other:
Other:
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REGION 10 EDUCATION SERVICE CENTER
TEXAS HOMELESS EDUCATION AMERICAN RECOVERY AND REINVESTMENT ACT (TXHEARRA)
Project Review
PART 3. COLLABORATION/COORDINATION (Schedule #6F)
Provide answers for Parts A and B below:
A. Submit Schedule 6F, “Collaboration/Coordination,” as approved in your NOGA from Region 10 by stating any progress made in
each column provided. The reviewer will discuss with you the degree to which each collaboration activity has been completed
through the date of the review. Refer to letters of support, activities underway, and any resources provided by collaborators. Be
prepared to supply supporting documentation should the reviewer request it.
An example is provided below.
District Programs Community-Based Programs
X Child Nutrition Services Reduced time required to provide nutrition services
Local Homeless Coalition
from two days down to one day
Special Education Youth Shelter(s)
Migrant Education Family Shelter(s)
English Language Learners Domestic Violence Shelter(s)
Career and Technology Education Food Bank
X Faith-Based Organizations Zion Church supplied snacks 100% of the times
Communities-in-Schools
promised (See letter of support)
Music Programs (Band, Chorus, etc.) Free/Low-Cost Health Services
Sports—Coaches Free/Low-Cost Dental Services
Theatre/Drama Free/Low-Cost Mental Health Services
Other: Boys & Girls Club
Other: Scouting Organizations
Other: Other:
Other: Other:
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REGION 10 EDUCATION SERVICE CENTER
TEXAS HOMELESS EDUCATION AMERICAN RECOVERY AND REINVESTMENT ACT (TXHEARRA)
Project Review
B. In the space below, briefly describe how funds from other federal, state, and local sources have been used to date to serve children
and youth in homeless situations.
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REGION 10 EDUCATION SERVICE CENTER
TEXAS HOMELESS EDUCATION AMERICAN RECOVERY AND REINVESTMENT ACT (TXHEARRA)
Project Review
PART 4: GENERAL REVIEW QUESTIONS
A) Who attended Fall Training?
NAME POSITION/ROLE/TITLE WHAT IS THE POSITION’S
RESPONSIBILITY IN THE GRANT?
B) Does the Project Manager have a copy of the Region 10-approved TXHEARRA NOGA?
Yes No (if No, please answer questions i and ii below)
i) If he or she does not have a copy, why not?
ii) What will be done to remedy this situation?
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REGION 10 EDUCATION SERVICE CENTER
TEXAS HOMELESS EDUCATION AMERICAN RECOVERY AND REINVESTMENT ACT (TXHEARRA)
Project Review
C) Project Data Review. Use data from your district and captured for your TXHEARRA subgrant to answer the
following:
How do the
numbers collected
to date compare to What changes have you
the numbers made/do you intend to make to
anticipated in your If there is a difference, your grant as a result of your For Reviewer Use Only
Category grant application? what accounts for it? project data review? Comments
Total Number They are lower
of Homeless than anticipated
Students They reflect what
Enrolled was anticipated
They exceed what
was anticipated
Total Number They are lower
of Homeless than anticipated
Students Served They reflect what
was anticipated
They exceed what
was anticipated
Total Number They are lower
of Homeless than anticipated
Students by They reflect what
Grade Level was anticipated
They exceed what
was anticipated
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REGION 10 EDUCATION SERVICE CENTER
TEXAS HOMELESS EDUCATION AMERICAN RECOVERY AND REINVESTMENT ACT (TXHEARRA)
Project Review
How do the
numbers collected
to date compare to What changes have you
the numbers made/do you intend to make to
anticipated in your If there is a difference, your grant as a result of your For Reviewer Use Only
Category grant application? what accounts for it? project data review? Comments
Total Number They are lower
of Students than anticipated
Identified by They reflect what
Present Living was anticipated
Situation They exceed what
was anticipated
Types of They are lower
Services than anticipated
Provided They reflect what
was anticipated
They exceed what
was anticipated
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REGION 10 EDUCATION SERVICE CENTER
TEXAS HOMELESS EDUCATION AMERICAN RECOVERY AND REINVESTMENT ACT (TXHEARRA)
Project Review
PART 5: COMPLIANCE
Services to homeless children are required by all Local Educational Agencies (LEAs) in the No Child Left Behind
Act, and are primarily found under the requirements of the McKinney-Vento Homeless Education Assistance Act
of 2001 (Title X, Part C, No Child Left Behind Act) and under Title I. The minimal requirements for services to
homeless children and youth from both of these sections of the law are included in this checklist.
The Texas Education Code also has certain statutes that apply to homeless students; references to state law follow
Federal requirements.
Directions: For each numbered item on the list below, indicate by making an “X” in the appropriate box under
“Yes” or “No” whether or not the subgrantee is in compliance with the issue addressed. For each item, use the
column on the far right to describe the auditable data that demonstrates the compliance with each requirement.
These items will be discussed with project staff during the review. Please be prepared to provide a verbal
explanation to each item. Reviewers will request to view the auditable data on selected items. Each LEA in a
shared services agreement must provide its own individual documentation for each of the compliance issues.
If the LEA cannot provide the auditable documentation requested, or if the documentation presented fails to
provide satisfactory evidence of compliance, then a follow-up compliance review will be required. An LEA
may be required to provide satisfactory evidence of compliance for all of the compliance issues in a follow-
up review.
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REGION 10 EDUCATION SERVICE CENTER
TEXAS HOMELESS EDUCATION AMERICAN RECOVERY AND REINVESTMENT ACT (TXHEARRA)
Project Review
YES NO DESCRIBE THE AUDITABLE DATA THAT
COMPLIANCE ISSUE (X) (X) DEMONSTRATES THE LEA’S COMPLIANCE
Identification and Enrollment-Related Issues
1. Does the LEA liaison ensure that public notice of the educational
rights of students in homeless situations is disseminated where
children and youth receive services under the Act?
2. Has the LEA ensured that children and youth in homeless situations
are identified by school personnel and through coordination activities
with other entities and agencies?
3. Does the LEA immediately enroll students in homeless situations,
even if they do not have required documents, such as school records,
medical records, proof of residency, or other documents? (Note: the
term “enroll” is defined as attending classes and participating fully in
school activities).
4. Has the LEA developed, reviewed, and revised its policies to remove
barriers to the enrollment and retention of children and youth in
homeless situations so that students are able to enroll in and have full
and equal opportunity to succeed in, the schools of the LEA?
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REGION 10 EDUCATION SERVICE CENTER
TEXAS HOMELESS EDUCATION AMERICAN RECOVERY AND REINVESTMENT ACT (TXHEARRA)
Project Review
5. Does the LEA enroll a homeless child or youth in any public school
that non-homeless students who live in the attendance area in which
the child or youth is actually living are eligible to attend, or in their
school of origin?
6. Does the LEA keep homeless students in their schools of origin, to
the extent feasible, unless it is against the parent or guardian’s
wishes?
7. Does the district enroll homeless students regardless of the residence
of the student, of either parent of the student, or of the student’s
guardian or other person having lawful control of the student?
8. Does the district enroll homeless students in its pre-Kindergarten
program based on their homeless status?
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REGION 10 EDUCATION SERVICE CENTER
TEXAS HOMELESS EDUCATION AMERICAN RECOVERY AND REINVESTMENT ACT (TXHEARRA)
Project Review
YES NO DESCRIBE THE AUDITABLE DATA THAT
COMPLIANCE ISSUE (X) (X) DEMONSTRATES THE LEA’S COMPLIANCE
Record-Related Issues
9. Is the choice regarding placement made regardless of whether the
child or youth lives with the homeless parents or has been temporarily
placed elsewhere?
10. Does the LEA request records from the previous school when
enrolling a homeless student?
11. Are homeless students enrolled in school while records are being
obtained?
12. Is any record ordinarily kept by the school, including immunization
or medical records, academic records, birth certificates, guardianship
records, and evaluations for special services or programs, regarding
each homeless child or youth, maintained so that the records are
available, in a timely fashion, when a child or youth enters a new
school or school district; and in a manner consistent with Section 444
of the General Education Provisions Act (20 U.S.C. 1232g)?
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REGION 10 EDUCATION SERVICE CENTER
TEXAS HOMELESS EDUCATION AMERICAN RECOVERY AND REINVESTMENT ACT (TXHEARRA)
Project Review
DESCRIBE THE
YES NO AUDITABLE DATA THAT
DEMONSTRATES THE
COMPLIANCE ISSUE (X) (X) LEA’S COMPLIANCE
Liaison-Related Issues
13. Has the LEA designated an appropriate staff person as a local educational agency liaison for
students in homeless situations?
14. What is the name and title of the LEA staff member designated as the liaison for students in
homeless situations? (Please identify only one)
____________________________________________
15. Has the LEA supplied the contact information for the homeless liaison to the Texas Homeless
Education Office liaison database?
16. Has the LEA made it clear on its website where enrollment information is provided that
records normally required of all students in order to enroll are not required of homeless
students in order to enroll?
17. Has the LEA informed school personnel, service providers, and advocates who work with
families in homeless situations of the duties of the LEA homeless liaison?
18. Does the LEA liaison inform parents or guardians of educational and related opportunities
available to their children?
19. Does the LEA liaison provide parents or guardians with meaningful opportunities to
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REGION 10 EDUCATION SERVICE CENTER
TEXAS HOMELESS EDUCATION AMERICAN RECOVERY AND REINVESTMENT ACT (TXHEARRA)
Project Review
participate in the education of their children?
20. Does the LEA liaison collaborate and coordinate with the Texas Homeless Education Office?
21. Does the LEA liaison collaborate and coordinate with community personnel responsible for
the provision of education and related services to children and youth in homeless situations?
22. Does the LEA liaison collaborate and coordinate with school personnel responsible for the
provision of education and related services to children and youth in homeless situations?
23. If applicable, does the LEA coordinate with State and local housing agencies responsible for
developing the comprehensive housing affordability strategy described in section 105 of the
Cranston-Gonzalez National Affordable Housing Act (42 U.S.C. 12705) to minimize
educational disruption for children and youths who become homeless?
24. Does the LEA coordinate the provision of services with local social services agencies and
other agencies or programs providing services to homeless children and youths and their
families, including services and programs funded under the Runaway and Homeless Youth
Act (42 U.S.C. 12705), to minimize educational disruption for children and youth s who
become homeless? [Note: This coordination shall be designed to ensure that homeless
children and youths have access and reasonable proximity to available education and related
support services (such as referrals to health, mental health, dental, and other appropriate
services), and to raise awareness of school personnel and service providers of the effects of
short-term stays in a shelter and other challenges associated with homelessness.]
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REGION 10 EDUCATION SERVICE CENTER
TEXAS HOMELESS EDUCATION AMERICAN RECOVERY AND REINVESTMENT ACT (TXHEARRA)
Project Review
YES NO DESCRIBE THE AUDITABLE DATA THAT
COMPLIANCE ISSUE (X) (X) DEMONSTRATES THE LEA’S COMPLIANCE
Immunization-Related Issues
25. If the homeless child or youth needs to obtain immunizations, or
immunization or medical records, does the enrolling school
immediately refer the parent or guardian of the child or youth to the
LEA liaison?
26. Upon enrollment, does the district allow a homeless student 30 days
to produce immunization records or proof that immunizations have
begun?
27. Does the LEA liaison assist in obtaining immunizations or
immunization or medical records?
28. Are homeless students enrolled in school while immunizations or
immunization or medical records are being sought?
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REGION 10 EDUCATION SERVICE CENTER
TEXAS HOMELESS EDUCATION AMERICAN RECOVERY AND REINVESTMENT ACT (TXHEARRA)
Project Review
YES NO DESCRIBE THE AUDITABLE DATA THAT
COMPLIANCE ISSUE (X) (X) DEMONSTRATES THE LEA’S COMPLIANCE
Transportation-Related Issues
29. Does the LEA provide transportation to the school of origin, at the
request of the parent or guardian, or, in the case of an unaccompanied
youth, at the request of the district’s homeless liaison? [Note: Title I
funds may NOT be used for this purpose].
30. Does the LEA liaison ensure that parents and guardians and
unaccompanied youth are fully informed of all transportation
services, including to and from the school of origin, and are assisted
in accessing transportation services?
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REGION 10 EDUCATION SERVICE CENTER
TEXAS HOMELESS EDUCATION AMERICAN RECOVERY AND REINVESTMENT ACT (TXHEARRA)
Project Review
YES NO DESCRIBE THE AUDITABLE DATA THAT
COMPLIANCE ISSUE (X) (X) DEMONSTRATES THE LEA’S COMPLIANCE
Dispute Resolution-Related Issues
31. Does the LEA liaison help unaccompanied youth choose and enroll in
a school, after considering the youths’ wishes, and provide youth with
notice of their right to appeal an enrollment decision that is not their
choice?
32. Does the LEA liaison ensure that unaccompanied youth are
immediately enrolled in school pending resolution of disputes that
might arise over school enrollment or placement?
33. If a dispute arises over school selection or enrollment in a school,
does the LEA immediately admit the child or youth to the school in
which enrollment is sought, pending resolution of the dispute?
34. Does the LEA refer the child, youth, parent, or guardian to the LEA
liaison when an enrollment dispute arises?
35. Does the LEA liaison carry out the dispute resolution process as
expeditiously as possible in accordance with the Enrollment Disputes
section of the McKinney-Vento act after receiving notice of the
dispute?
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REGION 10 EDUCATION SERVICE CENTER
TEXAS HOMELESS EDUCATION AMERICAN RECOVERY AND REINVESTMENT ACT (TXHEARRA)
Project Review
36. Does the school provide a written explanation of its decision, and the
right to appeal if a student is sent to a school other than that requested
by a parent or guardian, or, in the case of an unaccompanied youth, at
the request of the district’s homeless liaison?
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REGION 10 EDUCATION SERVICE CENTER
TEXAS HOMELESS EDUCATION AMERICAN RECOVERY AND REINVESTMENT ACT (TXHEARRA)
Project Review
YES NO DESCRIBE THE AUDITABLE DATA THAT
COMPLIANCE ISSUE (X) (X) DEMONSTRATES THE LEA’S COMPLIANCE
Title I-Related Issues
37. Is a child or youth who is homeless and is attending any school in the
LEA automatically eligible for Title I services regardless of his/her
current academic performance?
38. Does the LEA have a plan on file outlining services to be provided to
homeless students using Title I, Part A, set-asides?
39. Has the LEA reserved funds under Title I, Part A for services to
children and youth in homeless situations?
If yes, state amount reserved: $__________
Approximate percentage of Title I, Part A, set-aside expended
to date: ________%
Describe briefly the rationale or calculation method used to
arrive at this set-aside amount:
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REGION 10 EDUCATION SERVICE CENTER
TEXAS HOMELESS EDUCATION AMERICAN RECOVERY AND REINVESTMENT ACT (TXHEARRA)
Project Review
YES NO DESCRIBE THE AUDITABLE DATA THAT
COMPLIANCE ISSUE (X) (X) DEMONSTRATES THE LEA’S COMPLIANCE
Comparable Services and Non-Segregation
40. Has the LEA adopted policies and practices to ensure that homeless
children and youth are not segregated or stigmatized on the basis of
their status as homeless? [Note: Schools must not provide services in
settings within a school that segregate homeless children and youth
from other children and youth except as is necessary for short periods
of time for health and safety emergencies or to provide temporary,
special, and supplementary services.]
41. Is each homeless child or youth assisted under the McKinney-Vento
Act provided with services comparable to services offered to other
students in the school selected, including transportation services,
educational services for which the child or youth meet the eligibility
criteria (Title I, Head Start, Even Start, pre-school, educational
programs for children with disabilities or for students with limited
English proficiency), programs for gifted and talented students, and
school nutrition programs?
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REGION 10 EDUCATION SERVICE CENTER
TEXAS HOMELESS EDUCATION AMERICAN RECOVERY AND REINVESTMENT ACT (TXHEARRA)
Project Review
PART 6: FINANCIAL REVIEW
Please submit a summary General Ledger and a report of detailed general ledger transactions ONLY for the TXHEARRA grant for the
period from the beginning of the grant cycle to the date of this self assessment report. Submit the data in hard copy and electronic
format along with this review.
The reviewer will go over each program budget category and line items within those categories. The reviewer may ask for specific
information about particular expenditures and/or for documentation to verify that funds have been spent as described in the
application. Please be prepared to present supporting documentation.
While the project director is responsible for completing this section, it is recommended that some level of collaboration with the
finance department take place in finalizing this section of the self assessment.
Note: Except where indicated, references to budget refer to the final program budget as documented in the Request For Application
(RFA). Questions related to the school district’s final budget will be referred to as the ‘organization budget’.
I. Analysis of Expenditures
a. Fill in the table below by summary expense object code and explain the financial impact of the program activity
that has taken place by responding to the questions that follow the table. Be prepared to provide documentation
of actual expenditures (e.g., listing of vendors and amounts spent per vendor, invoices and contracts for services
rendered, receipts for goods purchased, sign-in sheets or hours logged for payroll, etc.).
Summary Expense Object Code Budgeted Actual % Remaining Expected Explanation
Expenditures Expenditures Spent Expenditures(3) timeframe for of how funds
including Spent to Date(2) to Remaining were spent(5)
amendments (1) Date Expenditures(4)
6100 Payroll Costs
6200 Professional &
Contracted Services
6300 Supplies & Materials
6400 Other Operating Costs
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REGION 10 EDUCATION SERVICE CENTER
TEXAS HOMELESS EDUCATION AMERICAN RECOVERY AND REINVESTMENT ACT (TXHEARRA)
Project Review
6600 Capital Outlay
Total
1
Amount should agree to the budgeted expenditures as shown in the final RFA plus any amendments that have been submitted and approved.
2
Amount should agree to the general ledger detail provided to date at a summarized level.
3
Budgeted Expenditures including amendments less Actual Expenditures Spent to date
4
Briefly describe when the remaining funds are expected to be spent (i.e. $10k in February, $5k in March, etc.).
5
Briefly describe how funds were actually spent to date.
i. To determine if funds have been spent in the manner specified in the application, explain any differences
between budgeted expenditures and actual expenditures as shown in the table above.
ii. If the funds are being used for payroll positions, complete the following question and table below.
1. Do actual payroll positions match the approved budget?
____Yes ____No
If Yes, proceed to the table below. If No, please explain the reason for the variance when compared to
the budget and then complete the table below based on the actual positions currently funded:
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REGION 10 EDUCATION SERVICE CENTER
TEXAS HOMELESS EDUCATION AMERICAN RECOVERY AND REINVESTMENT ACT (TXHEARRA)
Project Review
List the positions currently funded through the TXHEARRA program. Briefly describe the
responsibilities of each individual including any non-TXHEARRA program duties and responsibilities.
What positions # of List What percentage of What percentage of Does the level If no,
are funded FTEs responsibilities of the position’s time is the position’s time is of funding what
through each position. dedicated to dedicated to other match the changes
TXHEARRA? TXHEARRA duties/responsibilities? level of will be
duties/responsibilities? responsibilities made to
for each remedy
position? the issue?
2. Explain the following regarding the homeless liaison position:
a. List all of the funding sources used to pay for the homeless liaison position.
b. List all of the responsibilities for this position including any non-TXHEARRA
duties/responsibilities.
c. Are time and effort reports maintained for this position?
_____Yes _____ No
If Yes, be prepared to show an example of the reports.
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REGION 10 EDUCATION SERVICE CENTER
TEXAS HOMELESS EDUCATION AMERICAN RECOVERY AND REINVESTMENT ACT (TXHEARRA)
Project Review
iii. Were there any program changes requiring the submission of budget amendments?
____Yes ____No If Yes, complete the table below.
Amendment # Date approved Date funds were Were funds spent prior If yes, provide a detail by line item of funds
first spent to approval? spent prior to approval.
iv. Using the Anticipated Annual Expenditure (AAE) report that has been submitted, explain any variances
between the projected expenditures and the actual pattern of spending.
v. What percentage of total project funds do you expect to expend by the ending date of this grant year (i.e.
2009-10)?________%
1. If less than 100%, please state below why all grant funds will not be expended by the end of the
grant year.
2. Have you submitted expenditure reports to Region 10 by the deadlines specified in the grant
application with appropriate documentation?
_____Yes _____No If No, please explain why not:
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REGION 10 EDUCATION SERVICE CENTER
TEXAS HOMELESS EDUCATION AMERICAN RECOVERY AND REINVESTMENT ACT (TXHEARRA)
Project Review
3. Were requests for reimbursement submitted in advance of performing the work or receiving the
goods?
_____Yes _____No
If Yes, please list the details of the expenses in the table below:
Is an
amendment
Reimbursement Expenditure Description of Reason for
Related needed to
Request Service Amount Listed Expenditures submitting in
Object Codes account for
Submission Date by Object Code Claimed advance
the interest
Date
earned?
vi. Will an amendment be required as a result of reviewing your project’s activities and budget?
_____Yes _____No
If Yes, please describe briefly what changes the amendment will include in the table below:
Amendment Number Object Code Amount of Change Description of Expense
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REGION 10 EDUCATION SERVICE CENTER
TEXAS HOMELESS EDUCATION AMERICAN RECOVERY AND REINVESTMENT ACT (TXHEARRA)
Project Review
vii. Are TXHEARRA funds being used for one-time programs?
_____Yes _____No
If no, what funding source will be used to continue the programs once the grant cycle has ended?
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REGION 10 EDUCATION SERVICE CENTER
TEXAS HOMELESS EDUCATION AMERICAN RECOVERY AND REINVESTMENT ACT (TXHEARRA)
Project Review
Internal Controls & Compliance with Laws and Regulations
In general, grantees are required to manage federal financial assistance programs in compliance with applicable
laws and regulations. Specifically, OMB Cost Principles, Code of Federal Regulations, and the TEA Financial
Accounting System Resource Guide. Controls should be in place to ensure that funds are expended in accordance
with the allowable expenditure rules.
b. Accounting System & Transaction Detail Controls
i. Does the accounting system follow TEA Financial Accounting System Resource Guide guidelines for
account code structure and Generally Accepted Accounting Principles (GAAP) for fund accounting,
encumbrance accounting, separation of funds, etc.?
____ Yes _____ No
ii. Are the project director and grant personnel knowledgeable regarding federal and state rules and
regulations pertaining to the TXHEARRA sub-grant?
_____ Yes _____ No
iii. Explain how revenues and expenditures are coded to ensure that TXHEARRA sub-grant funds are not
commingled with funds of other grants or sources of revenue.
iv. Who is responsible for coding expenditures related to the TXHEARRA program?
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REGION 10 EDUCATION SERVICE CENTER
TEXAS HOMELESS EDUCATION AMERICAN RECOVERY AND REINVESTMENT ACT (TXHEARRA)
Project Review
v. Are all positions that are funded in whole or in part by the TXHEARRA sub-grant subject to approval
by the project director, homeless liaison, or other appropriate grant personnel?
_____ Yes _____ No
vi. Are all non-payroll expenditures subject to the purchase order approval process and related controls?
_____ Yes _____ No
vii. Is the project director, homeless liaison or other appropriate grant personnel included in the approval
process for all non-payroll related expenditures?
_____ Yes _____ No
viii. Is appropriate documentation (original invoices, vendor receipts, etc.) maintained as support for all
TXHEARRA sub-grant revenues and expenditures recorded in the General Ledger?
_____ Yes _____ No
c. Budgetary Controls
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REGION 10 EDUCATION SERVICE CENTER
TEXAS HOMELESS EDUCATION AMERICAN RECOVERY AND REINVESTMENT ACT (TXHEARRA)
Project Review
i. Does the project director meet regularly with the finance department employee who has responsibility for
TXHEARRA program accounting?
_____ Yes _____ No _____ How Often?
ii. Do the project director and finance employee ensure that the organization’s budget is in agreement with
the project budget and that revenues and expenditures are properly recorded and reported?
_____ Yes _____ No
d. Annual Audit & Financial Reporting
i. Was an annual audit performed and an annual financial report prepared as required?
_____ Yes _____ No
ii. Who performed the audit and what is the date of the latest available financial audit report?
Audit Firm:____________________________________________
Date of report:_________________________________________
iii. Were there any findings related to federal funds?
_____ Yes _____ No
iv. If there were findings, was a corrective action plan developed and implemented?
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REGION 10 EDUCATION SERVICE CENTER
TEXAS HOMELESS EDUCATION AMERICAN RECOVERY AND REINVESTMENT ACT (TXHEARRA)
Project Review
_____ Yes _____ No _____
If Yes, please be prepared to provide the corrective action plan to the reviewer if requested.
II. Training & Assistance
a. Could you benefit from additional training or assistance in managing the fiscal administration of your project?
_____Yes _____No
If yes, please describe the specific types of assistance that will be of most help to you:
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