PY 2013 Homeless Housing and Services Program Implementation Webinar - - PowerPoint PPT Presentation

PY 2013 Homeless Housing and Services Program Implementation Webinar Texas Department of Housing and Community Affairs January 30, 2013

Community Affairs Staff

Welcome Michael DeYoung, Assistant Deputy Director

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Community Affairs Staff

Administration Michael DeYoung, Assistant Deputy Director Annette Cornier, Executive Assistant Planning Sharon Gamble, Project Manager Mary Dodson, Planner Training Stephen Jung , Project Manager Marco Cruz, Trainer

3

Fiscal

 JR Mendoza, Project Manager, Monitoring  Gloria Mitchell, Contract Specialist  Gideon Agboola, Contract Administrator

Compliance Division (Monitoring)

 JR Mendoza, Manager, Community Affairs Monitoring  Julian Perez, Community Affairs Monitor  Francisco Salazar, Jr., Community Affairs Monitor

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Community Affairs Staff

TDHCA Resources Available

 Community Affairs web pages

http://www.tdhca.state.tx.us/community-affairs/

 Email List Announcements  To join the e-mail list announcements you may

complete the contact list found on the Community Affairs website

 http://maillist.tdhca.state.tx.us/list/subscribe.htm

l?lui=f9mu0g2g&mContainer=2&mOwner=G382s2 w2r2p&mListId=HL%237

 Contact TDHCA  http://www.tdhca.state.tx.us/au_offices-hca.htm

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TDHCA Resources Available (cont.)

 Program Questions Submission Portal

• Subrecipients that have a questions that are not answered

during this Implementation workshop, may submit them through the program questions submission portal

• Submission of program questions
• Request for technical assistance and training
• https://tdhca.wufoo.com/forms/request-for-ca-program-

assistance/

 Implementation Material

• The Department will continue to develop implementation

material and best practices and post them on HHSP Program information website in the coming year

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Purpose of HHSP Funds

Marco Cruz Trainer, Community Affairs marco.cruz@tdhca.state.tx.us

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TDHCA’s HHSP Purpose To provide for the construction, development, or procurement of housing for homeless persons, and to provide local programs to prevent and eliminate homelessness.

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Contract Highlights

Section 5: Method Of Payment/ Cash Balances Section 6: Cost Principals and Administration Section 8: Allowable Expenditures Section 9: Record Keeping Requirements Section 10: Reporting Requirements Section 11: Changes and Amendments Section 15: Procurement Standards

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Contract Highlights

Section 17: Audit Section 20: Bonding and Insurance Requirements Section 22: Technical Assistance & Monitoring Section 24: Compliance with Laws Section 32: Debarred and Suspended Parties Section 35: Oral and Written Agreements Exhibits A through F Section 39: Faith Based and Sectarian Activity

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• Sec. 5: Method of Payment

and Cash Balances

Advance Payment Method

 Request for a 30 day need or an advance of

$5,000, whichever is greater. (one time)

 An expenditure report and request with

projected expenses must be submitted

11

• Sec. 6: Cost Principles and

Administrative Requirements

 Subrecipient shall comply with the cost principles and uniform

administrative requirements set forth in Chapter 783 of the Texas Government Code, the Uniform Grant Management Standards (“UGMS”) and procurement standards set forth in 10 T.A.C. §5.10 et seq.

 Subrecipient shall provide Department with certificates of

property insurance evidencing Subrecipient’s current and effective insurance coverage.

 Send certificates of insurance to

Texas Department of Housing and Community Affairs Community Affairs Division HHSP Program PO Box 13941 Austin Texas 78711-3941

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• Sec. 8: Allowable Expenditures

Bond Revenue

1.

Construction and rehabilitation of structures targeted to serving individuals or families;

2.

Provision of direct services to individuals or families;

3.

Case management for individuals or families; (bond

• nly)

4.

Retention of housing for individuals or families;

5.

Prevention of homelessness for individuals or families;

6.

Housing Rental assistance for individuals or families;

7.

Other related activity receiving prior approval from the Department.

13

• Sec. 8: Allowable Expenditures

Housing Trust Fund

1.

Construction and rehabilitation of structures targeted to serving individuals or families;

2.

Housing Rental assistance for individuals or families;

• r

3.

HTF may be utilized for staff time dedicated to securing housing for clients, but not for case management

14

• Sec. 8: Allowable Administrative

Expenditures

 Bond Revenue and HTF funds allow up to 5% of

the award amount to be utilized for administrative

• costs. Administrative costs incurred by

Subrecipient in performing this Contract are to be based on actual programmatic expenditures.

 Eligible administrative costs include costs related

to staff performance of management, accounting, and reporting activities.

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• Sec. 9: Record Keeping Requirements

 Written Policies and Procedures to ensure sufficient records are

established and maintained

 Period of Record Retention  Maintain records in accessible location for three (3) years

after expenditure of all funds from the grant

 Additional specifics regarding

renovations/rehabilitations/ building conversions

 Cooperate with any examination of such records  Open Records – Texas Public Information Act  Access to Records for governing entities

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• Sec. 9: Record Keeping Requirements

Client files contain at a minimum, the following:

1.

An HHSP Intake Application including the client’s signature

2.

Income documentation for all applicants .

3.

For persons who are at-risk of homelessness documentation which demonstrates that prevention services and activities are necessary to avoid foreclosure or eviction.



Documentation must include, but may not be limited to:



eviction notices,



letters from property management regarding eviction,



lease agreements, etc.;

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• Sec. 9: Record Keeping Requirements

Client Files Continued:

4.

Certification of homeless status for homeless individuals and families whereby the applicant certifies which homeless definition they meet as per 24 CFR §576.2. The certification must include the client’s signature.

5.

HMIS: Subrecipient must keep records of the participation in HMIS or a comparable database by all projects of the Subrecipient.

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• Sec. 9: Record Keeping Requirements

Income

Client Files Continued:

 HTF Income documentation must be obtained for all

applicants and must demonstrate that each household assisted with funds provided under this Contract is at

• r below 80% Area Median Family Income (AMFI)

and in accordance with Texas Government Code Section 2306.202. ********* NOTE: There are no income limits for Bond Funds

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• Sec. 9: Record Keeping Requirements

Client Files Continued:

 If proof of income does not exist or if the

applicant has no income, the applicant must complete and sign a Declaration of Income Statement which includes an explanation for the reason that documentation could not be

• btained.

See 10 TAC General RULE §5.19 http://info.sos.state.tx.us/pls/pub/readtac$ext.TacPage?sl=R&app=9 &p_dir=&p_rloc=&p_tloc=&p_ploc=&pg=1&p_tac=&ti=10&pt= 1&ch=5&rl=19

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 Collect 30 days prior to the date of application.  Multiply 30 days income X by 12 months.  All household members 18 yrs and older.

See RULE §5.20 http://info.sos.state.tx.us/pls/pub/readtac$ext.TacPage?sl=R &app=9&p_dir=&p_rloc=&p_tloc=&p_ploc=&pg=1&p_t ac=&ti=10&pt=1&ch=5&rl=20

• Sec. 9: Record Keeping Requirements

Income Calculations

• Sec. 10: Reporting Requirements

Monthly Performance and Expenditure Reports

 Delivery Method: electronic submission  Deadline: 15th day of the month  Monthly reports are required prior to accessing funds  Failure to submit reports shall result in suspension of

ability to request funds and will be identified as findings in monitoring reviews

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• Sec. 10: Reporting Requirements

Final Performance and Expenditure Reports

 Delivery Method: electronic submission  Deadline: within 30 days after the end of the contract

period

 If this Contract provides assistance for renovation,

rehabilitation, or conversion, Subrecipient shall submit cover photographs of the finished construction work, and verification of passed inspections in the form of certificate of occupancy.

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• Sec. 10: Reporting Requirements

Cumulative Inventory Report

Due for all equipment acquired with HHSP

funds with a unit acquisition cost of $500 or more

Delivery Method: electronic submission Deadline: Annually, 45 days after the end of the

contract

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• Sec. 11: Changes and Amendments

 Shall be made by an amendment in writing

and signed by both parties

 Are processed electronically, which

includes the routing and electronic signatures of Department officials

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• Sec. 11: Changes and Amendments

 HHSP administrators should count on an 8 month

program.

 HTF funds cannot be extended past August 31,

2013.

 If an extension is needed for Bond Funds the

Department can consider the extension during the summer months prior to the end of the contract. Extension requests will be examined on a case by case basis.

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• Sec. 17: Audit

 Audit Certification Form is due to the Department

within 60 days of the fiscal year end.

 Subrecipient should arrange for an audit for:

• Any fiscal years where the subrecipient has expensed

more than $500,000 in state or federal funds

• Subrecipient must submit two (2) copies to the

Department within 30 days of completion but no later than nine (9) months after the end of the fiscal year within the contract period

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• Sec. 17: Audit

Send Audits to

Texas Department of Housing & Community Affairs Compliance Division PO Box 13941 Austin, Texas 78711-3941

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• Sec. 20 Bonding and Insurance

Requirements

 If Subrecipient will enter in to a construction or facility improvements

contract with a third-party in the amount of $25,000 of greater, Subrecipient must execute with the contractor a payment bond in the full amount of the contract. If the Subrecipient will enter in to contract with a prime contractor in excess of $100,000, a performance bond in the full amount of the contract is also required.

 If Subrecipient is a non

• n-gov
• vernmental or
• rganization
• n, Subrecipient

shall maintain adequate fidelity bond coverage as set forth in Section 5.7 of the State Rules.

 Subrecipient shall maintain adequate personal injury and property

damage liability insurance. Subrecipient is encouraged to obtain pollution occurrence insurance in addition to the general liability insurance.

 Additional liability insurance costs may be paid from administrative

funds.

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• Sec. 22: Technical Assistance and

Monitoring

 Monitoring:

 Desk monitoring and on-site monitoring  Written monitoring reports  Follow-up visits to assess corrective action  May occur after the contract period

 Technical assistance:

 program implementation, financial, personnel,

procurement, and general management procedures

 https://tdhca.wufoo.com/forms/request-for-ca-program-

assistance/

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• Sec. 24: Compliance with Laws

 LIMITED ENGLISH PROFICIENCY (LEP).

Subrecipients must provide program applications, forms, and educational materials in English, Spanish, and any appropriate language, based on the needs of the service area and in compliance with the requirements in Executive Order 13166 of August 11, 2000.

 REHABILITATION ACT OF 1973. Section 504 of the

Rehabilitation Act of 1973 and HUD regulation 24 CFR Part 8 apply to all applicants and Subrecipients of financial assistance in the operation of programs or activities.

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• Sec. 24: Compliance with Laws

 ACCESS. Subrecipient must meet the accessibility standards

under Section 504 of the Rehabilitation Act of 1973 (5 U.S.C. 794), The Fair Housing Act (42 U.S.C. 3601 et seq.) and Titles II and III of the Americans with Disabilities Act (42 U.S.C. §§ 12131-12189; 47 U.S.C. 155, 201, 218 and 255). Subrecipients shall operate each program or activity receiving HHSP financial assistance so that the program or activity, when viewed in its entirety, is readily accessible and usable by individuals with disabilities. Subrecipients are also required to provide reasonable accommodations for persons with disabilities.

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• Sec. 24: Compliance with Laws

Construction of Projects

 Construction projects that add beds or space to serve clients

must comply with American Disabilities Act guidelines

 Auxiliary aids and services must be provided to individuals with

vision or hearing impairments or other individuals with disabilities so that they can have an equal opportunity to participate or benefit, unless an undue burden would result.

 Physical barriers in existing facilities must be removed if

removal is readily achievable (i.e., easily accomplishable and able to be carried out without much difficulty or expense). If not, alternative methods of providing the services must be offered, if those methods are readily achievable.

http://www.ada.gov/pubs/ada.htm

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• Sec. 24: Compliance with Laws

Construction Projects

 All new construction in public accommodations, as well as in

"commercial facilities" such as office buildings, must be

• accessible. Elevators are generally not required in buildings

under three stories or with fewer than 3,000 square feet per floor, unless the building is a shopping center, mall, or a professional office of a health care provider.

 Alterations must be accessible. When alterations to primary

function areas are made, an accessible path of travel to the altered area (and the bathrooms, telephones, and drinking fountains serving that area) must be provided to the extent that the added accessibility costs are not disproportionate to the

• verall cost of the alterations.

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• Sec. 24: Compliance with Laws

 A lead-based paint visual assessment is required any time a

child under the age of 6 will be living in the unit and it was constructed before 1978

 Units must comply with Lead Based Paint Poisoning

Prevention Act of 1992 and applicable regulations found at 24 CFR 35, A,B,H,J,K,M, and R; and Lead Renovation, Repair, and Painting Program Final Rule (40 CFR Part 745)

 Guidelines for the Evaluation and Control of Lead-Based

Paint Hazards in Housing (2012 Edition)

http://portal.hud.gov/hudportal/HUD?src=/program_offices/healthy_h

• mes/lbp/hudguidelines

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• Sec. 24: Compliance with Laws

 TAC Chapter 20 RULE §20.10 (construction)  http://info.sos.state.tx.us/pls/pub/readtac$ext.TacPage?sl=R&app

=9&p_dir=&p_rloc=&p_tloc=&p_ploc=&pg=1&p_tac=&ti=10& pt=1&ch=20&rl=10

 Construction Completion Requirements and Final Inspections.  (1) Compliance with Accessibility Requirements--Applicant must

submit one of the documents described in subparagraph (A) or (B)

• f this paragraph to ensure that requirements of Texas Government

Code, §2306.514 and other Program Rules are met.

 (A) A copy of the proposed plans and specifications for

Reconstruction and New Construction of Single Family Units. All plans submitted must be prepared and executed by an architect licensed by the state of Texas; or

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• Sec. 24: Compliance with Laws

 (B) A certification of compliance which includes the seal of

the architect.

 (2) Final inspections are required for all rehabilitation,

reconstruction or new construction activities and must ensure that the construction on the Single Family Housing Unit is complete and meets all applicable state and local codes, and have no observed deficiencies related to health and safety standards.

 (3) A copy of the final inspection report must be provided to

the Department and the Household for rehabilitation, reconstruction and new construction activities.

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• Sec. 32: Debarred and

Suspended Parties

 Certify that neither of its current principal parties are

included in the Excluded Parties List System (EPLS)

 Certify that awards will not be provided by this

Contract to any party that is debarred, suspended, or

• therwise excluded from or ineligible for participation

in federal assistance programs under Executive Order 12549.

 The verification process to comply with this

requirement will be accomplished by checking the Excluded Parties List System at www.sam.gov

38

• Sec. 39: Faith Based and Sectarian

Activity

May not be used for sectarian or inherently religious activities and must be for the benefit of persons regardless of religious affiliation.

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End of Contract: Exhibits A - F

 Exhibit A - Performance Requirements Subrecipient shall carry out the following

activities identified

 Exhibit B - Budget  Exhibit C – Contract Benchmarks Performance

Exhibit D - Applicable Laws and Regulations

 Exhibit E - Certification regarding Lobbying for

Contracts, Grants, Loans, and Cooperative Agreements

 Exhibit F PRWORA

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HHSP Best Practice

41

HHSP Best Practice

The Department encourages all HHSP Subrecipients to apply the following:

Fair Market Rent Rent Reasonableness Habitability Standards

42

HHSP Best Practice Fair Market Rent

The rental assistance provided should not exceed the Fair Market Rent established by HUD.

Use this link to find Fair Market Rents:

http://www.huduser.org/portal/datasets/fmr/fmr s/FY2013_code/2013summary.odn The purpose of using Fair Market rent is to make sure program participants can remain in their housing after the HHSP program ends.

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HHSP Guidance Rent Reasonableness

HUD’s standard of rent reasonableness is established in 24 CFR 982.507 Subrecipient Determination

1) The subrecipient should not approve a lease

until it determines that the initial rent to

• wner is a reasonable rent

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HHSP Best Practice Rent Reasonableness

2.

The subrecipient should re-determine the reasonable rent

 When the rent will go up in 60 days  When the FMR has gone down 3.

At all times during the assisted tenancy, the rent to

• wner may not exceed the reasonable rent as most

recently determined or re-determined by the subrecipient.

HHSP Best Practice Rent Reasonableness

Comparability The subrecipient must determine whether the rent to

• wner is a reasonable rent in comparison to rent for
• ther comparable unassisted units. To make this

determination, the subrecipient must consider:

1)

The location, quality, size, unit type, and age of the contract unit; and

2)

Any amenities, housing services, maintenance, utilities, to be provided by the owner in accordance with the lease

HHSP Best Practice Rent Reasonableness

Owner certification of rents charged for other units

 By accepting each monthly housing assistance payment from the subrecipient, the owner certifies that the rent to owner is not more than rent charged by the owner for comparable unassisted units in the premises .

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HHSP Best Practice Habitability Standards

If HHSP funds are used to help a program participant remain in or move into permanent housing, that housing must meet habitability standards related to:

 Structure and Material  Space and Security  Interior Air Quality  Water Supply  Sanitary Facilities  Thermal Environment  Illumination and Electricity  Food Preparation  Sanitary Conditions  Fire Safety

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Texas Administrative Code: General Provisions, HHSP

49

Texas Administrative Code

 The rules located in the TAC provide program guidance

and general administrative guidance on specific program activities

 Visit: www.tdhca.state.tx.us for the General Provisions

and the HHSP Rules:

 Title 10: Community Development Part 1: Texas Dept of Housing & Community

Affairs

Chapter 5: Community Affairs Programs Subchapter A: General Provisions Subchapter J Homeless Housing and

Services Programs

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TAC Subchapter A Rules

 TITLE 10 PART 1 CHAPTER 5 SUBCHAPTER A

General Provisions

 §5.1 Purpose and Goals  §5.2 Definitions  §5.3 Cost Principles and Administrative Requirements  §5.4 Prohibitions  §5.5 Lobbying Activities  §5.6 Texas Public Information Act  §5.7 Fidelity Bond Requirements  §5.8 Inventory Report  §5.9 Travel  §5.10 Procurement Standards 51

TAC Subchapter A Rules

 §5.11 Procurement/Cooperative Purchasing Program  §5.12 Purchases  §5.13 Bonding Requirements  §5.14 Subrecipient Contract  §5.15 Federal Funding Accountability and Transparency Act  §5.16 Monitoring and Single Audit Requirement  §5.17 Sanctions and Contract Close Out  §5.18 Information Technology Security Practices  §5.19 Client Income Guidelines  §5.20 Determining Income Eligibility  §5.21 Subrecipient Contact Information  §5.22 Offsite Record Retention  §5.23 Protected Health Information 52

Key Areas - TAC Subchapter A Rules

 §5.7 Fidelity Bond Requirements  §5.10 Procurement Standards  §5.11 Procurement/Cooperative Purchasing

Program

 §5.13 Bonding Requirements (construction)  §5.19 Client Income Guidelines  §5.20 Determining Income Eligibility  §5.21 Subrecipient Contact Information  §5.23 Protected Health Information

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TAC Subchapter J Rules

Rules

 §5.1001 Purpose  §5.1002 Distribution of Funds  §5.1003 General Homeless Housing and

Services Program (HHSP) Requirements

 §5.1004 Formula  §5.1006 Performance and Expenditure

Benchmarks

54

Key Areas - TAC Subchapter J Rules

 §5.1006 Performance and Expenditure  Subrecipients may request adjustments to the

expenditure benchmarks

 Send Adjustments to

Texas Department of Housing & Community Affairs Community Affairs Division Attn Mary Dodson PO Box 13941 Austin, Texas 78711-3941

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Homeless Definition

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Meeting the Homeless Definition

There are four categories under which individuals and families may qualify as homeless:

1) literally homeless; 2) imminent risk of homelessness; 3) homeless under other Federal statues; and 4) fleeing/attempting to flee domestic violence Refer to the Criteria and Recordkeeping Requirements for Definition of Homeless guide for details: http://www.hudhre.info/index.cfm?do=viewResource&Resourc eID=4579

57

Meeting the At Risk of Homelessness Definition

There are three categories under which individuals and families may qualify as risk of homeless:

1) Individual and homeless; 2) Unaccompanied children and youth; and 3) Families with children and youth Refer to the Criteria for Definition of At Risk of Homelessness guide for details: http://www.hudhre.info/index.cfm?do=viewResource&Resour ceId=4580

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Reporting Requirements

Mary Dodson

Program Specialist III mary.dodson@tdhca.state.tx.us

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Monthly Performance Reports (MPRs) and Monthly Expenditure Reports (MERs)

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Measuring Performance

 The performance statement and budget

project the activity of the HHSP program for the contract period.

 The MPRs and MERs report actual

performance and expenditures.

 Data in the MPRs is compared to projections

in the performance statement.

 Data in the MERs is compared to projections

in the budget.

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MPRs and MERs

 Four reports:  MPR and MER for Bond funds  MPR and MER for HTF funds  MPRs and MERs reporting 0 persons served (ex. Oct

2012) will be submitted in Excel forms (PDF version)

 Reports with data for persons and households served will

be submitted in the electronic CA Contract System

 Due the 15th of every month  Performance measures use HUD’s HMIS Data Standards

62

Excel Forms and Contract System Reports

 Excel MPRs and MERs: Use to

 Aggregate data from sub-subrecipients  Verify data accuracy prior to entering data into

Contract System MPR

 Contract System MPRs and MERs

 Must submit and approve MPR before adding MER  The preparer signs the MPR and MER, and the

executive signs the MER to approve both reports

 Validations are programmed into the MPRs and MERs

to verify data accuracy. Violations (errors) must be corrected before an MPR or MER is submitted.

63

Performance Measurement

 Step 1: Collect data at intake, in progress notes  Step 2: Enter data into agency database  Step 3: Check data quality and verify accuracy  Step 4: Report data out of agency database  Step 5: Enter data into TDHCA’s MPR  Step 6: Use data to track and meet performance

targets and to conduct ongoing program evaluation

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Homelessness Prevention (HP) and Homeless Assistance (HA)

 Four main performance measures are broken down by

HP, HA, and HP +HA

 Total number of persons served (Sec. A)  Total number of households served (Sec. B.)  Total number of persons exited (Sec. I.)  Total number of households exited (Sec. J.)  All other performance measures are not categorized by

HP and HA

65

MPR Parts

 Part I: Subrecipient Information  Part II: Demographic Information  Part III: Outputs and Outcomes  Reason for Adjustments (if any)  Approvals

66

MPRs Part II. Demographics

 Data must be entered in every white field (cell) of the report;

if the field is not applicable, or if the data is zero (0), enter a zero (0). Do not leave cells blank.

 Report persons and households on

• nly on
• nce in any

demographic data element during the contract term, the first time they receive a service. This method will result in an und ndupl plicated count of persons served.

 The number of persons reported in the Total rows in

Sections C, D, E, and F should equal the number of persons reported in Section A because each of those sections reports

• n the unduplicated number of persons served during the

month.

67

Demographics (cont.)

 Sections A through G

 Number of persons served  Number of households served  Race  Ethnicity  Gender  Age  Subpopulations – Subrecipients may report data in only

the categories the Subrecipient already tracks or agrees to begin tracking. Subrecipients a are not required t to be begin t n tracking ng a any ny s subpo bpopu pulations ns tha hat t the hey are no not already t tracking.

68

Measuring Performance

 For each output measure:

 Data reported will be compared to Annual Targets listed

in the HHSP performance statement attached to the contract to measure the performance of the program.

 For each outcome measure:

 Data reported will be compared to Annual Targets listed

in the HHSP performance statement attached to the contract to measure the performance of the program.

 The number of persons achieving the outcome (which is also the

Annual Target) divided by the number of persons who exited the program and are counted in the outcome measure equals the percentage (%) of persons achieving the outcome.

69

MPRs Part III. Outputs

 15 Standard HHSP Outputs

 Each output in a Bond or HTF performance statement

aligns with one of the 15 standard outputs

 9 Standard HHSP Outcomes

 Each outcome in a Bond or HTF performance statement

aligns with one of the 9 standard outcomes

 Bond outputs and outcomes differ from

HTF outputs and outcomes, based on the eligible activities for each fund source

70

MPRs Part III (cont.)

 Outputs

 Annual Target  Numbers of persons served for each output measure

 Number of persons exited  Number of households exited  Outcomes

 Annual Target  Number of persons who achieved the outcome  Number of persons exited and counted for the outcome  Percent of persons who achieved the outcome

71

Columns in MPRs

 Monthly

 Number of persons or households served in the month

being reported

 Adjusted

 Number of persons or households that need to be added

• r subtracted, to adjust for data reported in a prior

month’s report, making the current month’s report most accurate

 Adjustments entered will be reflected in the

Cumulative column.

 Explain adjustments in MPR prior to approving.

72

Columns in MPRs (cont.)

 Cumulative

 The data in the Cumulative column auto-calculates based

• n the data entered in the Monthly and Adjusted

columns.

 This number represents the persons served from the

beginning of the contract term (10/01/2012) through the end of the month being reported.

73

MERs

 Use MERs to report the expenditure of

program funds during the month being reported

 Subrecipients must keep records on how

funds are expended according to the HHSP budget and line items.

74

Expenditure Quarterly Benchmarks

 10 TAC 5.1006  Required expenditure percentages

 10% expended by the end of the first quarter  40% expended by the end of the second quarter  70% expended by the end of the third quarter  100% expended by the end of the fourth quarter

 Subrecipients may request adjustments to the

expenditure benchmarks

75

Expenditure Quarterly Benchmarks

Send Adjustments to

Texas Department of Housing & Community Affairs Community Affairs Division Attn: Mary Dodson PO Box 13941 Austin, Texas 78711-3941

76

Expenditure Reporting

 Step 1: Expend according to budgeted line items for

each fund source (Bond and HTF)

 Step 2: Record expenditures in general ledger and

books of accounts

 Step 3: Create summary report with financial

categories

 Step 4: Enter financial data into MER  Step 5: Use financial data to meet expenditure

targets

77

MER Parts

 Part I: Subrecipient Information  Part II: Budget  Reason for Adjustments (if any)  Approvals

78

Columns in MERs

 Budgeted:

 Dollar amounts budgeted in the contract

 Projected:

 Amount of funds being requested for a one-time

advance payment

 Monthly:

 Actual expenditures for the month being reported

79

Columns in MERs (cont.)

 Adjusted:

 Dollar amounts that need to be added or subtracted, to

adjust for data reported in a prior month’s report and to correct the cumulative data making the current month’s report most accurate

 Adjustments entered will be reflected in the

Cumulative column.

 Explain adjustments in MPR prior to approving.

80

Columns in MERs (cont.)

 Returned:

 Funds returned by the Subrecipient to TDHCA.

Numbers in this column, if any, will be entered by TDHCA staff.

 Cumulative:

 Data in the Cumulative column will auto-calculate, based

• n the data reported by Subrecipients in the Projected,

Monthly, and Adjusted columns, and by TDHCA staff in the Returned column.

 This number represents the funds expended from the

beginning of the contract term (10/01/2012) through the end of the month being reported.

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Conclusion

 Performance and expenditure reporting

provides critical information about how the program is working.

 Submit questions about reporting and

requests for technical assistance in TDHCA’s

• nline question portal.

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Monitoring Process

Julian Perez

Community Affairs Contract Monitor julian.perez@tdhca.state.tx.us

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Monitoring – Why?

 The Department may conduct on-site

monitorings of Subrecipients to ensure compliance with Federal, State and contractual requirements.

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Monitoring Process

100% monitoring – The Department will

conduct an on-site monitoring of each Subrecipient administering the HHSP program.

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Monitoring Process

 When an on-site monitoring is needed, the

Department will contact the Subrecipient to schedule the visit.

 The Department will provide a monitoring

announcement letter by mail and electronically indicating the confirmed date of the visit, time, and documents required for the review.

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Monitoring Review

Entrance Conference – Will be conducted to discuss the timeline of the visit, documents to be reviewed etc.. The Department will conduct a monitoring review of Administrative, Financial and Programmatic documents.

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Monitoring Review

Administrative Documents include:

• Personnel Policies and Procedures;
• Copies of most recent monitoring reports (if

applicable) and performance reviews of all programs administered by your organization;

• Declaration of Income Statement (DIS)

Policy and Procedure;

• Program Inventory;

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Monitoring Review

• Procurement Policy and Procedure;
• Procurement documentation and contracts (if

applicable)

• Financial Documents include but are not

limited to:

• Chart of Accounts, general ledger and support

documentation;

• Bank reconciliation records;
• Fidelity Bond;

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Monitoring Review

• Payroll and Timesheets;
• Travel policies and records;
• Cost Allocation Plan or Indirect Cost Rate

with approval letter; Programmatic Documents:

• Access to HHSP client files;
• Files must contain documentation to enable a

determination that HHSP requirements are met, this may include:

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Monitoring Review

• Intake application;
• Income documentation for applicant or

Declaration of Income Statement (if applicable);

• Certification of homelessness;
• Documentation demonstrating “At Risk” of

homelessness

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Conclusion of On-Site Review

 An Exit Conference is a courtesy to the

Subrecipient, it is used to detail any issues found during the monitoring review.

 The Department will issue a monitoring

report of the issues noted during the review.

 The report may contain a Corrective Action

and/or Recommended Improvement.

 Corrective Action Findings will detail the

issue noted and provide a corrective action plan to resolve the issue.

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Conclusion of On-Site Review

 Reports will be sent to the City Manager and

to the Department/Program Director.

 Subrecipients have 30 days to respond to the

report.

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Contact Information

TEXAS DEPARTMENT OF HOUSING AND COMMUNITY AFFAIRS 221 E. 11th Street, Austin, TX 78701 P.O. Box 13941, Austin, TX 78711-3941 Phone: 512-475-3800 Toll Free: 800-525-0657 Web: www.tdhca.state.tx.us Email: info@tdhca.state.tx.us

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