Unified funding agency STANDARD OPERATING PROCEDURES Part I: ufa operating system

1. Unified funding agencySTANDARD OPERATING PROCEDURES Part I:ufa operating system NY-503 Albany County Coalition on Homelessness Presented by CARES oF NY, Inc. October 2018

2. GOAL • Detail key points about the Unified Funding Agency (UFA) Operating System as described in Part I of the Standard Operating Procedures Manual, including: • UFA Grant Administration • Roles and Responsibilities of Stakeholders • Benefits of UFA designation for HUD, CoC Agencies and our Clients. 2

3. UFA Grant Administration process 3

4. UFA Subrecipient agreements • FY17 (02/01/18 - 08/31/19): 36 (projects) UFA Subrecipient Agreements (contracts) signed • FY18 (09/01/19 – 08/31/20): 15 (agencies) UFA Subrecipient Agreements to be signed

5. HUD: The funder • HUD remains the Legal Authority to execute and direct the CoC program: • In collaboration with the CoC, determines program outcomes and priorities • Establishes legally binding contract with the UFA for the entire CoC • Maintains direct communication primarily with the UFA only • Monitors the UFA

6. CARES of NY, Inc. : unified funding agency • As UFA, CARES is legally responsible to HUD as a direct grantee; therefore on an annual basis: • Enters into a grant agreement with HUD • Enters into subrecipient agreements with each CoC-funded agency • Applies to HUD for all new and renewal projects and planning funding for the CoC • Reapplies for UFA designation

7. Administrative Responsibilities of CARES, aSufA • As UFA, CARES also: • Receives and distributes funding to subrecipients • Focuses on maximizing CoC resources and minimizing unspent funding • Assumes a level of autonomy to determine how CoC funds should be allocated among projects • Assumes accountability for funding at least the number of units and serving at least the number of homeless individuals as stated in the application each contract year

8. Compliance Responsibilities of CARES, aSufA • As UFA, CARES is responsible for: • Programmatic monitoring of subrecipients • Fiscal monitoring of subrecipients • Submitting all required reports to HUD (e.g., APRs, budget amendment requests) • Providing documentation of 25% match for CoC This Photo by Unknown Author is licensed under CC BY-NC-ND

9. CoC funded agencies: UFA Subrecipients • Under UFA designation, CoC funded agencies are required to: • Enter into a legally binding grant agreement with the UFA • Meet all program requirements and budget obligations as stated in the CoC Program application • Maintain fiscal control & accounting practices to ensure proper disbursal of funds • Allow UFA monitoring to ensure the project remains compliant with all responsibilities 9

10. Benefits as UFA Subrecipient • As a UFA Subrecipient, CoC Agencies will no longer be required to: • Complete Annual Renewal Applications • Access eSnaps • Complete APRs • Access Sage • Manage financials through eLOCCS (vouchers) • Complete annual eLOCCS certification This Photo by Unknown Author is licensed under CC BY-SA-NC This Photo by Unknown Author is licensed under CC BY-SA-NC

11. Ufa stakeholders • Albany County Coalition on Homelessness (ACCH) • Collaborative Applicant (CARES) • ACCH Board • Fiscal Advisory Committee

12. Responsibilities of the CoC • Albany County Coalition on Homelessness (ACCH) • In collaboration with HUD, the ACCH remains responsible for determining community and funding priorities • Approving all projects applying for CoC funding This Photo by Unknown Author is licensed under CC BY-SA

13. Responsibilities of the ACCH Board • ACCH Board • Reviews and provides feedback on fiscal policies and procedures • Provides final approval of redirecting funds This Photo by Unknown Author is licensed under CC BY-SA

14. Collaborative Applicant role under ufa designation • The Collaborative Applicant (CA) is: • Selected by the CoC to serve as UFA • Is required to reapply annually for continued UFA-designation AND continue carrying out CA-required responsibilities, including: • Successfully submitting the annual application • Submitting the annual Housing Inventory Count (HIC) and Point-in-Time (PIT) • Ensuring that the Continuum remains in compliance with HEARTH regulations through CoC governance.

15. Role of the Fiscal Advisory Committee • The Fiscal Advisory Committee plays a key role during the UFA Transition period (2/1/18 – 8/31/19) to provide feedback as the UFA develops: • Internal financial controls and accountability policies • Useful financial reports for the Fiscal Advisory Committee and ACCH Board • Policies to ensure that CoC monies are utilized efficiently

16. Role of the Fiscal Advisory Committee continued • The Committee will provide ongoing guidance to ensure: • Financial policies & procedures are documented in a Standard Operating Procedures (SOP) Manual which will be reviewed at least once annually and updated (as necessary) • Financial policies and procedures are consistently followed • Review of project financials (via vouchering) occurs each month • In-depth fiscal monitoring of CoC agencies occurs on an annual basis

17. UFA & Fiscal Advisory Committee collaboration • In collaboration with the UFA, the Fiscal Advisory Committee will: • Develop recommendations to address issues identified via monthly expenditure reports and annual fiscal monitoring • Make recommendations to the ACCH Board regarding redirecting funds This Photo by Unknown Author is licensed under CC BY This Photo by Unknown Author is licensed under CC BY-SA

18. pRior / Future ufa topic webinars • UFA Standard Operating Procedures 101 • Part I: UFA Operating System • Part II: Financial Management - Policies & Procedures • Part III: Subrecipient / Project Monitoring