Grant Management Manual Training by E6PR4t0

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									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.)
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 / 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.)
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 compliance
  with 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 organizations
  Purchase 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.)
FESG Checklist of Do’s and Don’ts

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
FESG Checklist of Do’s and Don’ts

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
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 an original Signature by the Authorized Representative, Title,
and Date
FESG Checklist of Do’s and Don’ts

More Do’s
 On all correspondence, be sure to include the Contract
  Number and identify the Issue on the Subject Line

Example
FESG Checklist of Do’s and Don’ts

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)
FESG Checklist of Do’s and Don’ts

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?
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, 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.



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7.                                  15.


8.




Printed Name/Title:

Signature:

								
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