{"text_format":"1","workbook":"xlsx","n_sheets":15,"sheets":["CH 2  Appendix 1","CH 2  Appendix 2","CH 2  Appendix 3","CH 2  Appendix 4","CH 2  Appendix 5","CH 3 Chapter Checklist","CH 4 Chapter Checklist","CH 4 Appendix 1","CH 4 Appendix 2","CH 5 Chapter Checklist","CH 6 Chapter Checklist","CH 7 Chapter Checklist","CH 8 Chapter Checklist","CH 9 Chapter Checklist","CH 10 Chapter Checklist"],"not_rendered":{"charts":0,"images":0,"macros":0,"external_links":0,"defined_names":29,"comments":0,"pivot_tables":0},"unopened":[],"bounds":{"document_bytes":16777216,"sheet_cells":100000,"rows_first":2000,"rows_last":500,"rows_between":2000,"halvings":0,"cell_chars":16384,"cell_head_chars":4096},"cells_cut":0,"cells_raw":0,"read":"whole","date_system":"1900"}

{"sheet":"CH 2  Appendix 1","index":0,"n_rows":94,"n_cols":13,"rows_kept":94,"cut":false,"hidden":false,"merged":[[86,0,86,3],[47,0,47,3],[0,8,0,13],[37,0,37,3],[42,0,42,3],[0,0,0,3],[16,3,18,3],[24,0,24,3],[73,0,73,3],[74,0,74,3],[36,0,36,3],[53,0,53,3],[62,0,62,3],[63,0,63,3],[58,0,58,3],[54,3,56,3],[93,2,93,3],[87,2,87,3],[92,2,92,3],[91,2,91,3],[90,2,90,3],[89,2,89,3],[88,2,88,3],[15,0,15,3],[84,0,84,3],[81,3,83,3],[76,3,78,3],[75,0,75,3],[80,0,80,3],[79,0,79,3],[69,0,69,3],[64,3,66,3],[70,3,72,3],[21,3,23,3],[67,0,67,3],[68,0,68,3],[59,3,61,3],[57,0,57,3],[52,0,52,3],[11,3,13,3],[49,3,51,3],[25,0,25,3],[26,0,26,3],[20,0,20,3],[14,0,14,3],[19,0,19,3],[48,0,48,3],[43,3,45,3],[46,0,46,3],[33,3,35,3],[32,0,32,3],[31,0,31,3],[27,3,30,3],[38,3,40,3],[41,0,41,3],[10,0,10,3],[6,3,8,3],[9,0,9,3],[1,0,1,3],[5,0,5,3],[3,0,3,3],[4,0,4,3]]}
["HOPWA Grantee Oversight Resource Guide. Chapter 2: Appendix 1",null,null,null,null,null,null,null,"Menu Choices for Chapter 2's Appendix 1: Risk Analysis Tool"]
["Risk Analysis Tool",null,null,null,null,null,null,null,"Choice1","Choice2","Choice3","Choice4","Choice5"]
["Factor","Factor Priority","Factor Score","Sponsor's Rating",null,null,null,null,10,5,5,20,5]
["I. FINANCIAL",null,null,null,null,null,null,null,5,3,3,10,3]
["A. Total grant award amount: ",null,null,null,null,null,null,null,1,1,1,1,0]
["NOTE: Grantees may adjust these dollar amounts as appropriate in relationship to the overall sizes of their formula or competitive grants and the sizes of their grants to sponsors.  The point is to distribute risk according to the relative sizes of the HOPWA contracts overseen by the grantees. ",null,null,null,null,null,null,null,null,null,0]
["i.  Over $225,000","HIGH",10]
["ii. $75,000-$224,999","MED",5]
["iii. $74,000 or less","LOW",1]
["Comments:"]
["B. Audit"]
["i. An A-133 audit due for the most recently completed reporting period or any previous reporting period within the three most recent program years has not been submitted OR a sponsor has open findings from an audit and is overdue in carrying out corrective actions.","HIGH",5]
["ii. An A-133 audit has been submitted to the grantee for the most recently completed reporting period as well as the last three program years have been submitted AND the sponsor is on schedule for carrying out corrective actions identified in current or former audits.","MED",3]
["iii. A-133 audits are up to date, financial management performance is satisfactory, and any previous corrective actions have been completed as of the date of this review OR the sponsor's audit reports for the three most recently completed program years have indicated no findings.","LOW",1]
["Comments:"]
["C. Timely Expenditures"]
["i. A sponsor's performance has been untimely in the expenditure of funds in accordance with program requirements, grant agreements, or any amendments; OR a prior problem of this nature has not been resolved as of the date of this assessment.","HIGH",5]
["ii. A sponsor is now performing adequately under the grantee's requirement to correct an identified problem; OR the matter is minor in nature and it is likely to be corrected following a grantee request.","MED",3]
["iii. A sponsor's performance is satisfactory AND any prior problem was corrected AND there are no known financial problems as of the date of this assessment.","LOW",1]
["Comments:"]
["D. Financial Compliance"]
["i.  During the most recently completed program year, staff has demonstrated difficulty in the financial management responsibilities for the program, as evidenced through one or more violation(s) of regulations or deficiencies of OMB Circulars or similar requirements as set by the grantee; OR there are one or more vacancies for key financial management staff of the program that have existed for more than six months ('key financial management staff' is defined as staff with direct oversight of financial records and/or distribution of program funds).","HIGH",5]
["ii.  Although no substantial violations of regulations have been identified as specified in (i) above, one or more vacancies for key financial staff vacancies have existed for the past 3 to 6 months; OR key financial staff have been hired in the past program year and have not received financial management training in this type of HUD-funded program.","MED",3]
["iii. No financial management deficiencies have been identified as evidenced through violations or findings; AND any key financial staff vacancies have existed for less than three months; AND any key staff hired in the past program year have received formal financial management training.","LOW",1]
["Comments:"]
["II.  PHYSICAL"]
["A. Physical Assets—Asset Management"]
["i. A problem or finding that has been identified in the acquisition, development, maintenance or operation of a HOPWA-funded physical asset that has not been resolved as of the date of this review; OR the physical asset has not been monitored within the most recent three program years.","HIGH",5]
["ii. A problem or finding with the acquisition, development, maintenance, or operation of the physical asset is currently subject to corrective action pursuant to a grantee-approved schedule or plan.","MED",3]
["iii. The acquisition, development, maintenance, and operation of the physical asset is satisfactory; OR any previously indentified problem has been corrected; AND no other problems with the physical asset have been identified.","LOW",1]
["iv. No HUD funds are used in the acquisition, development, maintenance, or operation of a physical asset.","NONE",0]
["Comments:"]
["B. Acquisition, Construction and Rehabilitation of Physical Assets"]
["i. HUD funds were used for the acquisition or construction or rehabilitation of 12 or more units of a physical asset during the operating year","HIGH",5]
["ii.  HUD funds were used for the acquisition, construction, or rehabilitation of 11 or less units of a physical asset during the operating year.","MED",3]
["iii. No HUD funds were used for the acquisition, construction, or any rehabilitation of a physical asset, excluding maintenance or repairs.","LOW",1]
["Comments:"]
["C. Multiple Sites for Physical Management"]
["i. HUD funds are used for the acquisition, development, maintenance, lease, or operation of physical assets at more than 1 facility site during the grant term.","HIGH",5]
["ii. HUD funds are used for the acquisition, development, maintenance, lease, or operation of physical assets at 1 facility site.","MED",3]
["iii. HUD funds are used exclusively to support activities not related to the acquisition, development, maintenance, lease, or operation of a physical asset such as any of the following: supportive services, tenant-based rental assistance, leasing of individual units, etc.","LOW",1]
["Comments:"]
["D. Housing Activities"]
["i. Sponsor provides at least 2 types of HOPWA housing assistance (Tenant- or Facility-based assistance and/or Short-Term Rent, Mortgage, and Utility Assistance).","HIGH",5]
["ii. Sponsor provides 1 type of HOPWA housing assistance.","MED",3]
["iii. Sponsor is not providing any HOPWA housing assistance","LOW",1]
["Comments:"]
["III. PROGRAM MANAGEMENT"]
["A. Staff Capacity"]
["i. During the most recent program year, staff has demonstrated an inability to administer this program as evidenced through one or more violations of regulations or monitoring findings related to this program that the sponsor has failed to resolve within the last six months; OR there are one of more key staff vacancies that have existed for more than six months.  (Key staff is defined as staff with assigned management and administrative responsibilities for program compliance with rules and regulations.)","HIGH",20]
["ii.  No violations of regulations have been identified as specified in (i) above AND one or more vacancies for key staff have existed for the past 3 to 6 months; OR key staff have been hired in the past program year and have not received training in this program.","MED",10]
["iii. No program deficiencies have been identified as evidenced through violations or findings as indicated in (i) above, AND any key staff vacancies for the program have existed for less than three months, AND any key staff hired in the past program year have received training in this program.","LOW",1]
["Comments:"]
["B. On-site Monitoring"]
["i. The grantee has not conducted an on-site monitoring of the sponsor's program within the last two program years; OR there are one or more overdue open findings.","HIGH",10]
["ii. The grantee has conducted an on-site monitoring of the sponsor's program within the last two program years, AND if any findings were identified they were resolved OR there are open findings that are not overdue.","MED",5]
["iii. The grantee has conducted an on-site monitoring of the sponsor's program within the last two years AND no findings were identified.","LOW",1]
["Comments:"]
["C. Timely and Accurate Submissions"]
["i. One or more of the sponsor's submissions are incomplete OR are received 30 days or more after the prescribed timeframes.  This includes: annual (or other scheduled) performance reports, invoices, and documentation.","HIGH",5]
["ii. While all documents indicated in (i) above are current and up-to-date for the most recent program year, in the three most recent program years, at least one of the submissions has not been received within the prescribed timeframe OR was incomplete.","MED",3]
["iii. All sponsor's required submissions are complete AND have been received by the grantee within required timeframes for the three most recent program years.","LOW",1]
["Comments:"]
["D. Environmental/Relocation"]
["i. The sponsor has not demonstrated a record of program compliance OR currently has known compliance problems with either Environmental (Part 50 or 58), or Uniform Relocation Acquisition Act requirements.","HIGH",5]
["ii. The sponsor has demonstrated a record of program compliance OR has no known compliance problems with either Environmental (PART 50 or 58), or Uniform Relocation Acquisition Act requirements.","MED",3]
["iii. The sponsor has not used HOPWA funds for the acquisition, development, maintenance, lease, or operation of a facility during the most recent program year.","LOW",0]
["Comments:"]
["IV.  SATISFACTION"]
["A. Citizen/Participant Complaints"]
["i. Citizen or participant complaints have been received during the most recently completed program year through such sources as: citizen letters, phone calls, other providers, newspaper articles, etc., AND when considering the sponsor's response, result in violations of program regulations or findings.","HIGH",5]
["ii. Citizen or participant complaints have been received during the most recently completed program year through such sources as: citizen letters, phone calls, other providers, newspaper articles, etc., AND considering the sponsor's response, have not been found in violation of program regulations but there are concerns that could lead to future violations if not addressed by the sponsor.","MED",3]
["iii. No valid complaints have been received during the most recently completed program year as described in (i) or (ii) above.","LOW",1]
["Comments:"]
["V. SERVICES"]
["A. Meeting Program Objectives"]
["i. Proposed activities to be carried out by the sponsor have not been on schedule during the most recently completed program year; OR activities that are being carried out do not address the intended beneficiaries, sub-populations, or needs of this program.","HIGH",5]
["ii. Proposed activities to be carried out by the sponsor are on schedule for the most recently completed program year; however, in the three most recent program years the sponsor has not been on schedule at least once AND the sponsor has submitted a revised timetable to come into compliance.","MED",3]
["iii. Proposed activities to be carried out by sponsors have been carried out with no known problems, have been on schedule and address the beneficiaries, sub-populations, or needs of this program for the three most recent program years or since the grant execution if less than the three program years.","LOW",1]
["Comments:"]
["B. Multiple Programs"]
["i. The sponsor carries out multiple programs, which involve one or more funding sources.","HIGH",5]
["ii. The sponsor carries out one program, which involves one or more funding sources.","MED",3]
["iii. The sponsor carries out only one program, which involves only one funding source.","LOW",1]
["Comments:"]
[]
["Overall Risk Assessment - Total Score"]
["Factor","Maximum Score","Points Assigned"]
["I.    Financial",25,{"$f":"SUM(D7:D9,D12:D14,D17:D19,D22:D24)","v":0}]
["II.   Physical",20,{"$f":"SUM(D28:D31,D34:D36,D39:D41, D44:D46)","v":0}]
["III.  Management",40,{"$f":"SUM(D50:D52,D55:D57,D60:D62,D65:D67)","v":0}]
["IV. Satisfaction",5,{"$f":"SUM(D71:D73)","v":0}]
["V.  Services",10,{"$f":"SUM(D77:D79,D82:D84)","v":0}]
["     Total",{"$f":"SUM(B89:B93)","v":100},{"$f":"SUM(C89:C93)","v":0}]

{"sheet":"CH 2  Appendix 2","index":1,"n_rows":11,"n_cols":3,"rows_kept":11,"cut":false,"hidden":false,"merged":[[0,0,0,2],[1,0,1,2]]}
["HOPWA Grantee Oversight Resource Guide. Chapter 2: Appendix 2"]
["Remote Monitoring of HOPWA Projects: Schedule"]
["Activity","Frequency of Review","Responsible Grantee Staff"]
["Receipt and Review of Billing and Documentation"]
["Line Item Review: Eligibility & Conformance with Grant"]
["Pace of Draw-Down"]
["Receipt of Performance Data"]
["Review of Performance Data"]
["Verification of Performance Data"]
["Other:"]
["Other:"]

{"sheet":"CH 2  Appendix 3","index":2,"n_rows":14,"n_cols":5,"rows_kept":14,"cut":false,"hidden":false,"merged":[[0,0,0,4],[13,0,13,4],[1,0,1,4],[2,1,2,3]]}
["HOPWA Grantee Oversight Resource Guide. Chapter 2: Appendix 3"]
["Ongoing Monitoring of HOPWA Projects: Checklist"]
["Activity","Monitoring Question",null,null,"Notes"]
["Receipt of Billing","Were invoices received in a timely manner, per grant agreement?","YES","NO"]
["Receipt of Documentation","Did invoices include adequate documentation?","YES","NO"]
["Line Item Review: Approved Costs","Were the costs invoiced for activities approved in the grant agreement?","YES","NO"]
["Line Item Review: Budget","Were the costs invoiced within the planned budget for each line item?","YES","NO"]
["Pace of Draw-Down","Is the overall current pace of spending in line with planned pace?","YES","NO"]
["Receipt of Performance Data","Was performance data submitted in a timely manner, per grant agreement?","YES","NO"]
["Review of Performance Data: Adequacy","Was the performance data adequate--complete and in the proper format?","YES","NO"]
["Review of Performance Data: Indicators","Does the performance data indicate any significant variation from planned outputs and outcomes?","YES","NO"]
["Community Feedback","Has any negative information been received from the community regarding the project?","YES","NO"]
[]
["NOTE:  Responses in bold may indicate need for follow-up or on-site monitoring."]

{"sheet":"CH 2  Appendix 4","index":3,"n_rows":4,"n_cols":3,"rows_kept":4,"cut":false,"hidden":false,"merged":[[0,0,0,2],[2,1,2,2],[1,0,1,2]]}
["HOPWA Grantee Oversight Resource Guide. Chapter 2: Appendix 4"]
["Site Visit Schedule"]
["Fiscal Year:"]
["Project ID/Name","Date of Last Site Visit","Planned Site Visit Date"]

{"sheet":"CH 2  Appendix 5","index":4,"n_rows":27,"n_cols":6,"rows_kept":27,"cut":false,"hidden":false,"merged":[[9,0,9,1],[9,2,10,2],[10,0,10,1],[2,1,2,2],[0,0,0,2],[8,0,8,1],[4,1,4,2],[5,1,5,2],[3,1,3,2],[6,1,6,2],[1,0,1,2],[7,1,7,2],[11,0,11,1],[15,0,15,1],[13,0,13,1],[13,2,14,2],[15,2,16,2],[11,2,12,2],[12,0,12,1],[14,0,14,1],[16,0,16,1],[17,0,17,1],[25,2,26,2],[25,0,25,1],[19,2,20,2],[21,0,21,1],[22,0,22,1],[21,2,22,2],[23,2,24,2],[23,0,23,1],[20,0,20,1],[19,0,19,1],[18,0,18,1],[26,0,26,1],[24,0,24,1],[17,2,18,2]]}
["HOPWA Grantee Oversight Resource Guide. Chapter 2: Appendix 5"]
["Site Visit Checklist",null,null,null,null,"yes"]
["Project Sponsor:",null,null,null,null,"no"]
["Project Name:"]
["Site Visit Date:"]
["Date of Last Visit:"]
["Grantee Monitor:"]
["Sponsor Staff and Roles:"]
["Elements for Review",null,"Yes/No"]
["Program-Wide Elements"]
["Grant Balances, Documentation of Activities, Time Records, Eligibility Documentation, Housing Assessments, Policies and Procedures, Reporting and Data Collection, Code of Conduct"]
["Rental Assistance"]
["Rent Calculation, Recertification, Rent Standards, Housing Quality Standards, Leases, IRS Reporting"]
["Short-Term Rent, Mortgage and Utilities Assistance"]
["Documentation of Need, Time Limit Policies, Housing Plans, IRS reporting"]
["Facility-Based Projects"]
["Rehab, Housing Standards, Certifications, Rent Calculation and Fees, Short-term Housing"]
["Supportive Services"]
["Eligible Activities, Tracking of Services, Health Care Compliance, Permanent Housing Placement"]
["Financial Systems and Controls"]
["Accounts Match Grant Activities, Internal Controls, Separation of Duties, Financial Policies, Conflict of Interest"]
["Audits"]
["Verification and Review of Audit Reports, Resolution of Findings"]
["Financial Records and Documentation"]
["Staff Time Tracking, Allocation of Costs, Cost Allowability, Source Documentation"]
["Procurement and Equipment"]
["Procurement Documentation, Subcontract Oversight, Equipment Records"]

{"sheet":"CH 3 Chapter Checklist","index":5,"n_rows":30,"n_cols":6,"rows_kept":30,"cut":false,"hidden":false,"merged":[[25,0,25,1],[7,0,7,1],[0,0,0,1],[12,0,12,1],[2,0,2,1],[1,0,1,1]]}
["HOPWA Grantee Oversight Resource Guide. Chapter 3: Chapter Checklist"]
["Basic Oversight Elements",null,null,null,null,"yes"]
["Section 1: Grant Basics",null,null,null,null,"no"]
["* Balances of Grants Examined, Including Unexpended Funds","Yes/No",null,null,null,"n/a"]
["Is the sponsor drawing down funds at an appropriate pace based on approved grant activities and the anticipated implementation schedule?"]
["Written Agreements Between Sponsors and Sub-recipients or Contractors","Yes, No, N/A"]
["Are adequate and executed written agreements with organizations selected or designated as sub-recipients service contractors and/or collaborators in place to ensure that the organizations comply with HOPWA program requirements?"]
["Section 2: Client Basics"]
["* Eligibility and Household Composition Documentation","Yes/No"]
["Do the participant files reviewed contain the required documentation to verify program eligibility and household composition?"]
["* Housing Assessments/Plans","Yes/No"]
["Do project sponsors conduct participant housing needs assessments (such as participant intake procedures, housing case management or other efforts) which serve to direct the type of housing assistance provided from HOPWA or other sources?"]
["Section 3: Policies and Procedures"]
["* Confidentiality Compliance","Yes/No"]
["Has the sponsor established a written confidentiality policy and does the sponsor consistently follow the policy?"]
["* Participant Termination Policy","Yes/No"]
["Does the sponsor follow HUD requirements for the termination of participants from HOPWA assistance or services?"]
["* Conflict of Interest","Yes/No"]
["Does the sponsor have a written conflict of interest policy governing employees, officers or agents engaged in the award and administration of contracts supported by grant funds, in compliance with HOPWA regulations?"]
["  Faith-based Organizations","Yes, No, N/A"]
["Are faith-based organizations provided equal access to HOPWA resources?  If a sponsor or sub-recipient is a primarily religious organization, are HOPWA activities clearly separated from and free of the religious influences of the organization?"]
["  Fair Housing and Equal Opportunity","Yes/No"]
["Are the project sponsor's policies and procedures and program implementation in compliance with Fair Housing and affirmative outreach requirements?"]
["Record Retention","Yes/No"]
["Does the sponsor have a plan in place to maintain program and related financial records for a four-year period after the end of the grant agreement?"]
["Section 4: Annual Reporting and Outcomes"]
["Accuracy and Timeliness of Reports","Yes/No"]
["Are the sponsor's performance reports accurate and completed in a timely manner?"]
["* Performance and Outcomes","Yes/No"]
["Is the sponsor's performance satisfactory, in terms of proposed vs. actual outputs and outcomes?"]

{"sheet":"CH 4 Chapter Checklist","index":6,"n_rows":17,"n_cols":6,"rows_kept":17,"cut":false,"hidden":false,"merged":[[0,0,0,1],[1,0,1,1]]}
["HOPWA Grantee Oversight Resource Guide. Chapter 4: Chapter Checklist"]
["Tenant-Based Rental Assistance",null,null,null,null,"yes"]
["* Rent Calculation","Yes/No",null,null,null,"no"]
["Based on a sample review of participant files, is there adequate documentation to show that participant rent payments and HOPWA subsidy payments have been calculated as required by HUD regulations?"]
["Does the sponsor re-certify household composition and rent calculation at least annually?"]
["* Leases","Yes/No"]
["Is a lease that meets state and local standards in place for each participant receiving tenant-based rental assistance?"]
["* Housing Quality Standards","Yes/No"]
["Do participant files verify that inspections for housing quality/habitability standards are being conducted in connection with providing rental assistance?"]
["  Fees","Yes/No"]
["Are rental assistance projects charging participant rents as the only participant fee?"]
["  Comparable Rents Checked","Yes/No"]
["Are rents being paid to the landlord by the sponsor comparable to the rents for non-assisted units, and reasonable, given market conditions?"]
["  Lead Paint and Fire Safety","Yes/No"]
["Do participant files verify that federal regulations concerning lead-based paint and fire safety are being followed in connection with providing rental assistance?"]
["  Manufactured Housing","Yes/No"]
["If the sponsor has participants receiving tenant-based rental assistance in manufactured housing, does the manufactured housing meet HUD regulations?"]

{"sheet":"CH 4 Appendix 1","index":7,"n_rows":42,"n_cols":4,"rows_kept":42,"cut":false,"hidden":false,"merged":[[8,0,8,3],[22,0,22,3],[0,0,0,3],[9,0,9,3],[12,0,12,3],[1,0,1,3],[2,0,2,3],[3,0,3,3],[38,0,38,3],[37,0,37,3],[13,0,13,3],[16,0,16,3],[23,0,23,3],[28,0,28,3],[31,0,31,3],[27,0,27,3],[15,0,15,3],[32,0,32,3]]}
["HOPWA Grantee Oversight Resource Guide. Chapter 4, Appendix 1"]
["Residential Rent Calculation Worksheet"]
["[See 24 CFR 5.609 for all income inclusions and exclusions]"]
["Calculating Annual Income"]
[" 1.","$",null,"Annual Income from all Sources"]
[" 2.","$",null,"Income Exclusions"]
[" 3.","$",{"$f":"IF((C5-C6)<0,0,IF((C5-C6)=0,0,IF((C5-C6)>0,C5-C6)))","v":0},"Annual Income  (If the result is ≤ 0, enter 0)"]
[]
["Calculating Adjusted Income"]
["Dependent Allowance"]
[" 4.","$",null,"Number of Dependents"]
[" 5.","$",{"$f":"C11*480","v":0},"Multiply Line 4 by $480"]
[]
["Child Care Allowance"]
[" 6.","$",null," Anticipated Unreimbursed Expenses for Care for Children"]
[]
["Disabled Assistance Allowance"]
[" 7.","$",null,"Disabled Assistance Expenses"]
[" 8.",null,{"$f":"C7*0.03","v":0},"Multiply Line 3 by 0.03"]
[" 9.",null,{"$f":"IF((C18-C19)<0,0,IF((C18-C19)=0,0,IF((C18-C19)>0,C18-C19)))","v":0},"Subtract Line 8 from Line 7   (If the result is ≤ 0, enter 0)"]
["10.","$",null,"Family Member Earnings which were dependent on the disabled assistance expenses"]
["11.","$",{"$f":"MIN(C20:C21)","v":0},"Lesser of Lines 9 or 10"]
[]
["Medical Expenses/Elderly Family Allowances"]
["12.","$",null,"List Total for Medical Expenses"]
["13.",null,{"$f":"IF(C20>0,C25,IF((C18+C25-C19)<0,0,IF((C18+C25-C19)=0,0,IF((C18+C25-C19)>0,C18+C25-C19))))","v":0},"If Line 9 > 0, enter amount from Line 12; otherwise add Lines 7 and 12 and then subtract Line 8  (If the result is ≤ 0, enter 0)"]
["14.","$",null,"Elderly/Disabled Allowance (Enter $400, if applicable)"]
[]
["Adjusted Income"]
["15.","$",{"$f":"C12+C15+C22+C26+C27","v":0},"Total Income Adjustments (Add Lines 5, 6, 11, 13, and 14)"]
["16.","$",{"$f":"IF((C7-C30)<0,\"0.00\",IF((C7-C30)=0,\"0.00\",IF((C7-C30)>0,C7-C30)))","v":"0.00"},"Adjusted Income (Subtract Line 15 from Line 3; if the result is ≤ 0, enter 0)"]
[]
["Resident Rent Determination"]
["17.","$",{"$f":"C31/12*0.3","v":0},"30% of Monthly Adjusted Income (Divide Line 16 by 12 and multiply by 0.3)"]
["18.","$",{"$f":"C7/12*0.1","v":0},"10% of Monthly Income (Divide Line 3 by 12 and multiply by 0.1)"]
["19.","$",null,"Portion of welfare payment designated by the agency to meet the family's housing cost, if applicable"]
["20.","$",{"$f":"MAX(C34,C35,C36)","v":0},"Enter the Largest of Lines 17, 18 or 19.  This is the Maximum amount per month that may be charged for resident rent."]
[]
["Determining Resident Rent for Units Where Utilities are Not Included in Rent"]
["21.","$",null,"Utility Allowance"]
["22.","$",{"$f":"C37-C40","v":0},"Resident Rent (Subtract Line 21 from Line 20)"]
["23.","$",{"$f":"IF(C41<0,(ABS(C41)),0)","v":0},"Utility Reimbursement (Only if Line 22<0. This is the amount that must be paid to the resident as a utility reimbursement.)"]

{"sheet":"CH 4 Appendix 2","index":8,"n_rows":23,"n_cols":3,"rows_kept":23,"cut":false,"hidden":false,"merged":[[0,0,0,2],[14,0,14,2],[15,0,15,2],[6,0,6,2],[7,0,7,2],[11,0,11,2],[13,0,13,2],[2,0,2,2],[22,0,22,2],[1,0,1,2],[3,0,3,2],[9,0,9,2],[4,0,4,2],[5,0,5,2],[8,0,8,2],[10,0,10,2],[12,0,12,2]]}
["HOPWA Grantee Oversight Resource Guide. Chapter 4, Appendix 2"]
["Earned Income Disregard Worksheet"]
["STEP 1: Determine Eligibility (The Earned Income Disregard does not apply for purposes of admission to these programs)"]
["A. A disabled family must be receiving assistance through one of the following programs:"]
["•  HOPWA (Housing Opportunities for Persons With AIDS)"]
["•  HOME (Housing Opportunities Made Equal)"]
["•  SHP (Supportive Housing Program)"]
["•  Housing Choice Voucher (Section 8)"]
["And at least ONE of the following must apply"]
["B. Whose annual income increases as a result of employment of a family member who is a person with disabilities and who was previously unemployed for one or more years prior to employment;"]
["OR"]
["C. Whose annual income increases as a result of increased earnings by a family member who is a person with disabilities during participation in any economic self-sufficiency or other job training program;"]
["OR"]
[" D. Whose annual income increases, as a result of new employment or increased earnings of a family member who is a person with disabilities, during or within six months after receiving assistance, benefits or services under any state program for temporary assistance for needy families funded under Part A of Title IV of the Social Security Act, as determined by the responsible entity in consultation with the local agencies administering temporary assistance for needy families (TANF) and Welfare-to Work (WTW) programs.  The TANF program is not limited to monthly income maintenance, but also includes such benefits and services as one-time payments, wage subsidies and transportation assistance--provided that the total amount over a six-month period is at least $500."]
["If eligible, proceed to Step 2"]
["Step 2: Calculate Amount of Earned Income Disregard"]
["A. Current earned income (gross annualized) of EID family member","$"]
["B. Other gross income (gross annualized) of EID family member","$"]
["C. Total current annual income of EID family member (A+B)","$",{"$f":"SUM(C17,C18)","v":0}]
["D. Pre-Qualifying income                                                                                                             Total gross income at last review (earned and unearned) for this member.","$"]
["E. Full exclusion (C-D, but no more than A; but if the result is < 0, enter 0)                                   First 12-month exclusion period.  (If the result is ≤ 0, then EID does not apply.)","$",{"$f":"IF((C19-C20)<0,\"0.00\",IF((C19-C20)=0,\"0.00\",IF((C19-C20)<C17,C19-C20,IF((C19-C20)=C17,C19-C20,IF((C19-C20)>C17,C17)))))","v":"0.00"}]
["F. 50% exclusion, if applicable (E x 0.50)                                                                             Second 12-month exclusion period.","$",{"$f":"C21*0.5","v":0}]
["The amount on Line E or Line F (whichever is applicable) is the amount of the deduction."]

{"sheet":"CH 5 Chapter Checklist","index":9,"n_rows":16,"n_cols":6,"rows_kept":16,"cut":false,"hidden":false,"merged":[[15,0,15,1],[6,0,6,1],[8,0,8,1],[11,0,11,2],[13,0,13,1],[12,0,12,1],[14,0,14,1],[7,0,7,1],[0,0,0,2],[5,0,5,1],[4,0,4,1],[2,0,2,2],[1,0,1,2],[3,0,3,1]]}
["HOPWA Grantee Oversight Resource Guide. Chapter 5: Chapter Checklist"]
["Short-Term Housing Assistance",null,null,null,null,"yes"]
["Section 1: Short-Term Rent, Mortgage, and Utilities Assistance",null,null,null,null,"no"]
["* Documentation of Need",null,"Yes/No",null,null,"n/a"]
["Does the sponsor document participant need for STRMU assistance?"]
["* Time Limits",null,"Yes/No"]
["Is the sponsor consistently and accurately enforcing HUD-established time limits for STRMU?"]
["* Case Management and Permanent Housing Plan",null,"Yes/No"]
["In connection with STRMU assistance, does the sponsor conduct housing assessments, create housing plans, and provide supportive services?"]
["Time Limit Waivers and 'Good Faith Effort' to Place in Permanent Housing",null,"Yes, No, N/A"]
["If other assistance is not available and a waiver of the time limit has been requested, has the sponsor demonstrated a 'good faith effort' to provide opportunities for placement in permanent housing?","NOT APPLICABLE: Sponsor has not requested any waivers of the 21-week time limit."]
["Section 2: Short-Term Supportive Housing"]
["Short-Term Housing Time and Size Limits",null,"Yes/No"]
["If HOPWA funds are used to support short-term facilities, such as overnight shelters, does the sponsor comply with the time limit and size limit?"]
["* Case Management and Permanent Housing Plan",null,"Yes/No"]
["In connection with short-term assistance, does the sponsor conduct housing assessments, create housing plans, and provide supportive services?"]

{"sheet":"CH 6 Chapter Checklist","index":10,"n_rows":23,"n_cols":6,"rows_kept":23,"cut":false,"hidden":false,"merged":[[11,0,11,1],[20,0,20,1],[0,0,0,1],[1,0,1,1],[2,0,2,1]]}
["HOPWA Grantee Oversight Resource Guide. Chapter 6: Chapter Checklist"]
["Facility-Based Projects (Community Residences)",null,null,null,null,"yes"]
["Section 1: Items to Monitor for All Facility-Based Activities",null,null,null,null,"no"]
["* Supervision of Care and Support","Yes/No"]
["Does the HOPWA-assisted project have adequate residential supervision to ensure housing and services standards are met, individual participant service needs are evaluated, and services delivered are appropriate to their needs?"]
["Habitability Standards","Yes/No"]
["Are habitability standards being monitored and met for the project?"]
["* Rent Calculation","Yes/No"]
["Are resident rent payments accurately calculated and re-examined at least annually, with adequate supporting documentation in participant files, including income verifications?"]
["* Prohibition Against Fees","Yes/No"]
["Are projects charging participant rents as the only participant fee?"]
["Section 2: Items to Monitor for Rehabilitation or New Construction"]
["Satisfactory and Cost-Effective Development","Yes/No"]
["If a HOPWA-funded project included construction, rehabilitation, repair, or conversion, was the work performed in a satisfactory and cost-effective manner, following development standards, including environmental clearances in advance of disbursement, resident relocation and adherence to lead-based paint requirements?"]
["Timely Occupancy of New Projects","Yes/No"]
["Were projects occupied by residents in a timely manner during the monitoring review period and based on approved development plans, with no more than 5% of the units remaining vacant at any given time?"]
["Tracking and Enforcement of 'Minimum Use Periods'","Yes/No"]
["Does the sponsor track, enforce, and comply with the 'Minimum Use Periods' for development activities related to acquisition, conversion, lease, and repair of facilities to provide housing and services?"]
["Energy Star","Yes/No"]
["Is the sponsor familiar with HUD's Energy Star program and its commitment to promoting the use of energy-efficient products and practices when funding rehabilitation or construction of new housing?"]
["Section 3: Items to Monitor for Community Residences"]
["* Agreements and Funding for Service Providers","Yes/No"]
["Does the sponsor have agreements in place for the provision of services at a community residence, with qualified service providers, and do these agreements demonstrate adequate funding and sufficient capacity to provide services?"]

{"sheet":"CH 7 Chapter Checklist","index":11,"n_rows":10,"n_cols":6,"rows_kept":10,"cut":false,"hidden":false,"merged":[[0,0,0,1],[1,0,1,1]]}
["HOPWA Grantee Oversight Resource Guide. Chapter 7: Chapter Checklist"]
["Supportive Services, Housing Information, and Permanent Housing Placement",null,null,null,null,"yes"]
["Tracking and Reporting of Detail","Yes/No",null,null,null,"no"]
["Does the sponsor track the delivery of supportive services in detail sufficient to adequately categorize and report them to the grantee?"]
["* Adequate Documentation of Supportive Service Activities","Yes/No"]
["Does the sponsor have adequate documentation of supportive service activities, in order to back up reporting and demonstrate the eligibility of recipients, conformance with the grant agreement, adequacy to levels of need, and the eligibility of the activity itself?"]
["* Compliance with Health Care Expense Limitations","Yes/No"]
["Does the sponsor comply with limitations on the use of HOPWA monies for health services for persons with HIV/AIDS, including the limits of purchase of pharmaceuticals?  Does the sponsor adequately document efforts to secure other assistance for such costs?"]
["Proper Categorization of Housing Information and Permanent Housing Placement Activities and Costs","Yes/No"]
["Does the sponsor properly track housing information and permanent housing placement activities and housing costs (including security deposits) as separate housing support activities?"]

{"sheet":"CH 8 Chapter Checklist","index":12,"n_rows":27,"n_cols":6,"rows_kept":27,"cut":false,"hidden":false,"merged":[[22,0,22,1],[0,0,0,1],[12,0,12,1],[4,0,4,1],[5,0,5,1],[6,0,6,1],[1,0,1,1]]}
["HOPWA Grantee Oversight Resource Guide. Chapter 8: Chapter Checklist"]
["Audits",null,null,null,null,"yes"]
["* Does the Sponsor Meet the Audit Threshold?","Yes/No",null,null,null,"no"]
["Does the sponsor meet the audit threshold of $500,000 in annual federal income or applicable state audit thresholds?"]
["If \"yes,\" then proceed with reviewing audit process and results."]
["If \"no,\" determine if the sponsor performed an audit, even below federal or state thresholds.  If so, review audit results.  If not, skip the audit review.  Recommended: perform a detailed review of the sponsor's financial system, as outlined in Chapter 9, as an alternative to audit review."]
["Section 1: Audit Basics"]
["* Audit Timelines/Frequency","Yes/No"]
["Does the sponsor conduct an audit annually, unless it meets criteria for biennial audits?"]
["Procurements and Qualifications of Auditor","Yes/No"]
["Did the sponsor follow prescribed procurement standards for hiring the auditor?  Does the auditor meet the auditor qualifications of Government Auditing Standards?"]
["* Audit Contents","Yes/No"]
["Does the audit report include opinions on whether or not:"]
["• The sponsor's financial statements are presented fairly in all material aspects in conformity with Generally Accepted Accounting Principles?"]
["• The sponsor's schedule of expenditures is presented fairly in all material respects?"]
["• The sponsor has complied with laws, regulations, and provisions of contracts or grant agreements that may have a direct and material effect on each of its major programs?"]
["• The sponsor's records adequately reflect the sponsor's financial position? "]
["• The sponsor has adequate controls and systems in place?"]
["Timely Submission of Audit Results","Yes/No"]
["Was the audit report submitted within 30 days after receipt of the auditor's report, but not later than nine months after the end of the audit period (or such longer period agreed to in advance by the grantee)?"]
["* Audit Charge Pro-rated to Grant","Yes/No"]
["Did the sponsor designate audit costs appropriately, either allowable as a direct cost, or as an allocated indirect cost?"]
["Section 2: Audit Results"]
["* Audit Findings Tracked","Yes/No"]
["Does the sponsor have any audit findings from prior audits?  If so, has the sponsor tracked prior audits findings by preparing a 'summary schedule of prior audit findings'?"]
["* Means to Resolve Audit Findings in Timely Manner - 'Corrective Action Plan'","Yes/No"]
["Did the sponsor's most recent audit report any findings?  If so, did the sponsor prepare a 'corrective action plan' and implement corrective actions to resolve the findings in a timely manner?"]

{"sheet":"CH 9 Chapter Checklist","index":13,"n_rows":42,"n_cols":6,"rows_kept":42,"cut":false,"hidden":false,"merged":[[35,0,35,1],[30,0,30,1],[25,0,25,1],[0,0,0,1],[2,0,2,1],[1,0,1,1],[4,0,4,1],[16,0,16,1]]}
["HOPWA Grantee Oversight Resource Guide. Chapter 9: Chapter Checklist"]
["Financial System and Internal Controls",null,null,null,null,"yes"]
["Section 1: Internal Controls",null,null,null,null,"no"]
["* Financial Procedures and Policies","Yes/No"]
["Does the sponsor have written procedures or a policy manual(s) covering the following:"]
["•  How transactions are recorded"]
["•  Who has authority to approve financial transactions"]
["•  How transactions are classified and tracked, based on a chart of accounts and other documentation of proper accounting"]
["Do these policies and documents separate duties effectively, in order to reduce the opportunity for someone to perpetrate or conceal errors or irregularities in the normal course of duties?"]
["Is there an organizational chart that shows the lines of responsibility in regards to the oversight and management of HOPWA grant activities specifically and fiscal management generally?"]
["Cash Controls","Yes/No"]
["In addition to the separation of duties and approval controls, does the sponsor have adequate controls on the management of cash disbursements?"]
["Communication with Management of Problems and Noncompliance","Yes/No"]
["Is it clear that all personnel are responsible for communicating 'upward' to management regarding operating problems and noncompliance with laws and regulations?"]
["Fidelity Bond Coverage","Yes/No"]
["Has the sponsor obtained fidelity bond coverage for responsible officials?"]
["Section 2: Financial Systems and Fund Tracking"]
["* Grant-based Tracking and Accuracy of Records","Yes/No"]
["Does the sponsor's financial record-keeping system track expenditures by grant or funding source, so that HOPWA expenditures can be identified per approved budget line items?"]
["Do the sponsor's financial records accurately track unexpended balances by budget line item?"]
["Does the financial information in the sponsor's financial records for the HOPWA project match the records from the corresponding invoice(s) and annual performance report?"]
["Tracking of Pass-through Funds","Yes/No"]
["Does the sponsor have a system to track the pass-through of HOPWA grant funds to sub-recipients?"]
["Tracking and Use of Project Income","Yes/No"]
["Does the sponsor track income received by the HOPWA project, such as resident rent payments, and is such income re-used for eligible program purposes?"]
["Section 3: Salaries and Wages"]
["* Treatment and Approval of Salary and Wage Charges","Yes/No"]
["Are charges to the HOPWA program for salaries and wages, whether treated as direct or indirect costs, consistent with the written policies of the sponsor organization?"]
["For employees supported wholly or in part by the HOPWA grant, are charges for personnel costs supported by personnel activity reports or equivalent time documentation?"]
["Were all employee personnel activity reports signed by the employee or by an authorized staff person with direct knowledge of the work performed?"]
["Section 4: Cost and Allocation Principles"]
["Direct and Indirect Costs","Yes/No"]
["Are indirect costs charged by the sponsor?  If so, are they being charged in compliance with OMB Circulars A-87 and A-122; that is, do they have an adequate cost allocation plan or an approved indirect rate?"]
["* Administrative Costs","Yes/No"]
["Does the sponsor correctly allocate administrative costs?"]
["Section 5: Record-Keeping and Documentation"]
["* Records Reflect Eligible Costs","Yes/No"]
["Does a review of sample transaction records indicate that grant expenditures were eligible costs under program regulations?"]
["* Source Documentation of Expenditures","Yes/No"]
["Are the financial transactions drawn for this review supported by adequate source documentation?"]
["* Spot Check of Selected Items","Yes/No"]
["Review the following items for compliance with OMB cost principles: travel, entertainment, contributions, fines and penalties, and political costs."]

{"sheet":"CH 10 Chapter Checklist","index":14,"n_rows":49,"n_cols":6,"rows_kept":49,"cut":false,"hidden":false,"merged":[[40,0,40,1],[20,1,23,1],[24,0,24,1],[0,0,0,1],[1,0,1,1],[12,0,12,1],[2,0,2,1],[32,1,39,1]]}
["HOPWA Grantee Oversight Resource Guide. Chapter 10: Chapter Checklist",null,null,null,null,"yes"]
["Procurement and Property and Equipment Management",null,null,null,null,"no"]
["Section 1: Procurement Management"]
["* Written Procurement Procedures","Yes/No"]
["Does the sponsor have written procurement procedures in place that describe how goods and services will be obtained?"]
["Excluded Parties","Yes/No"]
["Is the program participant ensuring that its awards are not made to any party that was excluded, disqualified, or otherwise ineligible (e.g., suspension, debarment, or limited denial of participation) for Federal procurement and non-procurement programs?"]
["* Basis for Selection","Yes/No"]
["For the sample of procurement files reviewed, is there a rationale documenting the selection of the method of procurement, the selection of contract type, the contractor selection or rejection, and the basis for the cost or price of the contract?"]
["Prohibition on 'Cost Plus' Contracts","Yes/No"]
["Is contract pricing based on a method other than the 'cost-plus-a-percentage-of-cost' method?"]
["* Procurement and Contract Controls","Yes/No"]
["Are procurement procedures in place to ensure that:"]
["a. Purchase orders and contracts are signed by an authorized program official?"]
["b. Items delivered and paid for are consistent with the items contained in the corresponding purchase order and/or contract?"]
["c. Timely payment of vendors occurs, once requested, when orders have been delivered, inspected, accepted, and payment to the vendor has been approved?"]
["d. A cost or price analysis is performed in connection with every procurement action, including contract modifications?"]
["Contract Provisions","Yes/No"]
["Are required contract provisions appropriately included in HOPWA-assisted contracts?"]
["Bonding and Insurance","Yes/No"]
["If contracts have been awarded for construction or facility improvements under the grant program(s), does the program participant:"]
["a. Follow its own requirements relating to big guarantees, performance bonds and payment bonds for construction contracts or subcontracts valued at or below $100,000?"]
["OR"]
["b. Meet the minimum Federal requirements for bid guarantees, performance bonds and payment bonds for construction contracts or subcontracts valued above $100,000?"]
["Section 2: Procurement Methods"]
["* Small Purchases","Yes/No"]
["Can the program participant document receipt of an adequate number of price or rate quotations from qualified sources for procurements of $100,000 or less?"]
["Competitive Sealed Bids","Yes/No"]
["For construction, rehabilitation, or repair projects, were bids gathered through a competitive, sealed bid process, in compliance with applicable regulations?"]
["Competitive Proposals","Yes/No"]
["Were competitive proposal processes handled in compliance with applicable regulations?"]
["Non-Competitive Proposals","Yes/No"]
["If the program participant procured services non-competitively, can it show that other methods of procurement (small purchases, sealed bids, or competitive proposals) were infeasible because:"]
["• The items were available from a single source;"]
["OR"]
["• A public exigency or emergency was of such urgency to not permit use of competitive solicitation, after solicitation of a number of sources;"]
["OR"]
["• Competition is determined inadequate;"]
["OR"]
["• Approval was granted by HUD."]
["Section 3: Property Controls and Disposition"]
["* Effective Internal Controls of Property and Other Assets","Yes/No"]
["Do fiscal records indicate evidence that the sponsor has effective internal control and accountability of all property and other assets purchased with HOPWA funds?"]
["Does the project sponsor have procedures to identify HOPWA property and assets?"]
["Does the project sponsor have procedures in place to ensure adequate safeguards for preventing loss, damage, or theft of sponsor-held property?"]
["Sale of Equipment - Proceeds","Yes/No"]
["If the program participant sold equipment purchased with HOPWA funds, were the proceeds from the sale kept as program income?"]
["Sale of Equipment - Best Price","Yes/No"]
["If the program participant has disposed of equipment by sale, do sales procedures indicate that efforts were made to obtain the highest possible return?"]