Common use of File Organization and Maintenance Clause in Contracts

File Organization and Maintenance. A subrecipient should structure its project/case files and other records to comply with the general requirements specified in the preceding section and to facilitate preparation of progress and other reports, including all submissions necessary for the grantee’s input into the Integrated Disbursement and Information System (IDIS) and its Consolidated Annual Performance and Evaluation Report (CAPER). In setting up (or reviewing the adequacy of) its record-keeping system, a subrecipient should use this handbook to develop a list of all the items for which it must maintain documentation on a case/project basis and/or an activity basis. For example, if a subrecipient is carrying out a housing rehabilitation program using private contractors, each project case file should contain appropriate records, including:  The owner’s application for assistance, including the address of the property.  Household size and income documentation for the owner and other households in the structure (if a multi-unit building) and other information to determine program eligibility and the appropriate level of financial assistance (underwriting).  Other demographic information on the anticipated and actual beneficiaries of the activity for this project/case.  The work write-up on the property.  Evidence of any required owner contribution or private loan match.  The financial assistance agreement between the subrecipient and owner (specifying levels of assistance, intended uses for funds, matching requirements, general program requirements, repayment and recapture procedures, requirements for occupancy by low- and moderate-income households if rental property, etc.).  Evidence of liens to secure loan.  Documentation of contractor solicitation and selection.  Documentation of rent affordability, where applicable.  A copy of executed construction contract, with all necessary provisions.  Documentation of compliance, as applicable, with historic preservation, flood insurance, lead- based paint, Xxxxx-Xxxxx, relocation/anti-displacement, and other relevant program rules.  Evidence of the subrecipient’s periodic on-site inspection and sign-off on rehabilitation work, including final inspection.  Copies of all change orders, with proper authorization.  Records of disbursements made for completed and approved work. (In regard to this last item, a subrecipient must ensure that the data in its project files agree with its financial records.) For each type of activity undertaken, a subrecipient in consultation with the grantee should determine the comparable data that must be maintained in the individual case files and establish a system for ensuring that every file contains the necessary information. Although the list will vary from activity to activity, each project or case file should include documentation of the National Objective being met, the characteristics and location of beneficiaries, the eligibility of the activity, the compliance with special program requirements, the allowability of the costs, and the status of the case/project. A subrecipient must also devote attention to implementing an efficient method for compiling cumulative data on its activities for inclusion in periodic reports required by the grantee. The subrecipient should develop logs for recording and totaling programmatic data (by type of activity, for units of service, numbers of beneficiaries, etc.) as cases are initiated and as they progress to avoid searching through all of its individual case files to obtain aggregate statistics every time a progress report is due. The establishment of such logs at the commencement of a CDBG activity, based on the reporting requirements specified by the grantee (see Section 5.5 in the following section), can save a subrecipient considerable time and effort over the course of the activity. With an automated reporting system, it is critical to structure the computer database to permit the collection and manipulation of all data elements (i.e., characteristics of projects and beneficiaries) necessary for the production of currently required reports and reports that may be desired in the future. This requires a careful appraisal of current and anticipated future operations and an assessment of the “interface” between the computer system and the individuals who will input the data and those who will use the generated reports.

File Organization and Maintenance. A subrecipient should structure its project/case files and other records to comply with the general requirements specified in the preceding section and to facilitate preparation of progress and other reports, including all submissions necessary for the grantee’s input into the Integrated Disbursement and Information System (IDIS) and its Consolidated Annual Performance and Evaluation Report (CAPER). In setting up (or reviewing the adequacy of) its record-keeping system, a subrecipient should use this handbook to develop a list of all the items for which it must maintain documentation on a case/project basis and/or an activity basis. For example, if a subrecipient is carrying out a housing rehabilitation program using private contractors, each project case file should contain appropriate records, including:  • The owner’s application for assistance, including the address of the property.  • Household size and income documentation for the owner and other households in the structure (if a multi-unit building) and other information to determine program eligibility and the appropriate level of financial assistance (underwriting).  • Other demographic information on the anticipated and actual beneficiaries of the activity for this project/case.  • The work write-up on the property.  • Evidence of any required owner contribution or private loan match.  • The financial assistance agreement between the subrecipient and owner (specifying levels of assistance, intended uses for funds, matching requirements, general program requirements, repayment and recapture procedures, requirements for occupancy by low- and moderate-income households if rental property, etc.).  • Evidence of liens to secure loan.  • Documentation of contractor solicitation and selection.  • Documentation of rent affordability, where applicable.  • A copy of executed construction contract, with all necessary provisions.  • Documentation of compliance, as applicable, with historic preservation, flood insurance, lead- based paint, Xxxxx-Xxxxx, relocation/anti-displacement, and other relevant program rules.  • Evidence of the subrecipient’s periodic on-site inspection and sign-off on rehabilitation work, including final inspection.  • Copies of all change orders, with proper authorization.  • Records of disbursements made for completed and approved work. (In regard to this last item, a subrecipient must ensure that the data in its project files agree with its financial records.) For each type of activity undertaken, a subrecipient in consultation with the grantee should determine the comparable data that must be maintained in the individual case files and establish a system for ensuring that every file contains the necessary information. Although the list will vary from activity to activity, each project or case file should include documentation of the National Objective being met, the characteristics and location of beneficiaries, the eligibility of the activity, the compliance with special program requirements, the allowability of the costs, and the status of the case/project. A subrecipient must also devote attention to implementing an efficient method for compiling cumulative data on its activities for inclusion in periodic reports required by the grantee. The subrecipient should develop logs for recording and totaling programmatic data (by type of activity, for units of service, numbers of beneficiaries, etc.) as cases are initiated and as they progress to avoid searching through all of its individual case files to obtain aggregate statistics every time a progress report is due. The establishment of such logs at the commencement of a CDBG activity, based on the reporting requirements specified by the grantee (see Section 5.5 in the following section), can save a subrecipient considerable time and effort over the course of the activity. With an automated reporting system, it is critical to structure the computer database to permit the collection and manipulation of all data elements (i.e., characteristics of projects and beneficiaries) necessary for the production of currently required reports and reports that may be desired in the future. This requires a careful appraisal of current and anticipated future operations and an assessment of the “interface” between the computer system and the individuals who will input the data and those who will use the generated reports.

File Organization and Maintenance. ‌ A subrecipient should structure its project/case files and other records to comply with the general requirements specified in the preceding section and to facilitate preparation of progress and other reports, including all submissions necessary for the grantee’s input into the Integrated Disbursement and Information System (IDIS) and its Consolidated Annual Performance and Evaluation Report (CAPER). In setting up (or reviewing the adequacy of) its record-keeping system, a subrecipient should use this handbook to develop a list of all the items for which it must maintain documentation on a case/project basis and/or an activity basis. For example, if a subrecipient is carrying out a housing rehabilitation program using private contractors, each project case file should contain appropriate records, including:  • The owner’s application for assistance, including the address of the property.  • Household size and income documentation for the owner and other households in the structure (if a multi-unit building) and other information to determine program eligibility and the appropriate level of financial assistance (underwriting).  • Other demographic information on the anticipated and actual beneficiaries of the activity for this project/case.  • The work write-up on the property.  • Evidence of any required owner contribution or private loan match.  • The financial assistance agreement between the subrecipient and owner (specifying levels of assistance, intended uses for funds, matching requirements, general program requirements, repayment and recapture procedures, requirements for occupancy by low- and moderate-income households if rental property, etc.).  • Evidence of liens to secure loan.  • Documentation of contractor solicitation and selection.  • Documentation of rent affordability, where applicable.  • A copy of executed construction contract, with all necessary provisions.  • Documentation of compliance, as applicable, with historic preservation, flood insurance, lead- based paint, Xxxxx-Xxxxx, relocation/anti-displacement, and other relevant program rules.  • Evidence of the subrecipient’s periodic on-site inspection and sign-off on rehabilitation work, including final inspection.  • Copies of all change orders, with proper authorization.  • Records of disbursements made for completed and approved work. (In regard to this last item, a subrecipient must ensure that the data in its project files agree with its financial records.) For each type of activity undertaken, a subrecipient in consultation with the grantee should determine the comparable data that must be maintained in the individual case files and establish a system for ensuring that every file contains the necessary information. Although the list will vary from activity to activity, each project or case file should include documentation of the National Objective being met, the characteristics and location of beneficiaries, the eligibility of the activity, the compliance with special program requirements, the allowability of the costs, and the status of the case/project. A subrecipient must also devote attention to implementing an efficient method for compiling cumulative data on its activities for inclusion in periodic reports required by the grantee. The subrecipient should develop logs for recording and totaling programmatic data (by type of activity, for units of service, numbers of beneficiaries, etc.) as cases are initiated and as they progress to avoid searching through all of its individual case files to obtain aggregate statistics every time a progress report is due. The establishment of such logs at the commencement of a CDBG activity, based on the reporting requirements specified by the grantee (see Section 5.5 in the following section), can save a subrecipient considerable time and effort over the course of the activity. With an automated reporting system, it is critical to structure the computer database to permit the collection and manipulation of all data elements (i.e., characteristics of projects and beneficiaries) necessary for the production of currently required reports and reports that may be desired in the future. This requires a careful appraisal of current and anticipated future operations and an assessment of the “interface” between the computer system and the individuals who will input the data and those who will use the generated reports.

File Organization and Maintenance. A subrecipient should structure its project/case files and other records to comply with the general requirements specified in the preceding section and to facilitate preparation of progress and other reports, including all submissions necessary for the grantee’s input into the Integrated Disbursement and Information System (IDIS) and its Consolidated Annual Performance and Evaluation Report (CAPER). In setting up (or reviewing the adequacy of) its record-keeping system, a subrecipient should use this handbook to develop a list of all the items for which it must maintain documentation on a case/project basis and/or an activity basis. For example, if a subrecipient is carrying out a housing rehabilitation program using private contractors, each project case file should contain appropriate records, including:  • The owner’s application for assistance, including the address of the property.  • Household size and income documentation for the owner and other households in the structure (if a multi-unit building) and other information to determine program eligibility and the appropriate level of financial assistance (underwriting).  • Other demographic information on the anticipated and actual beneficiaries of the activity for this project/case.  • The work write-up on the property.  • Evidence of any required owner contribution or private loan match.  • The financial assistance agreement between the subrecipient and owner (specifying levels of assistance, intended uses for funds, matching requirements, general program requirements, repayment and recapture procedures, requirements for occupancy by low- and moderate-income households if rental property, etc.).  • Evidence of liens to secure loan.  • Documentation of contractor solicitation and selection.  • Documentation of rent affordability, where applicable.  • A copy of executed construction contract, with all necessary provisions.  • Documentation of compliance, as applicable, with historic preservation, flood insurance, lead- lead-based paint, Xxxxx-Xxxxx, relocation/anti-displacement, and other relevant program rules.  • Evidence of the subrecipient’s periodic on-site inspection and sign-off on rehabilitation work, including final inspection.  • Copies of all change orders, with proper authorization.  • Records of disbursements made for completed and approved work. (In regard to this last item, a subrecipient must ensure that the data in its project files agree with its financial records.) For each type of activity undertaken, a subrecipient in consultation with the grantee should determine the comparable data that must be maintained in the individual case files and establish a system for ensuring that every file contains the necessary information. Although the list will vary from activity to activity, each project or case file should include documentation of the National Objective being met, the characteristics and location of beneficiaries, the eligibility of the activity, the compliance with special program requirements, the allowability of the costs, and the status of the case/project. A subrecipient must also devote attention to implementing an efficient method for compiling cumulative data on its activities for inclusion in periodic reports required by the grantee. The subrecipient should develop logs for recording and totaling programmatic data (by type of activity, for units of service, numbers of beneficiaries, etc.) as cases are initiated and as they progress to avoid searching through all of its individual case files to obtain aggregate statistics every time a progress report is due. The establishment of such logs at the commencement of a CDBG activity, based on the reporting requirements specified by the grantee (see Section 5.5 in the following section), can save a subrecipient considerable time and effort over the course of the activity. With an automated reporting system, it is critical to structure the computer database to permit the collection and manipulation of all data elements (i.e., characteristics of projects and beneficiaries) necessary for the production of currently required reports and reports that may be desired in the future. This requires a careful appraisal of current and anticipated future operations and an assessment of the “interface” between the computer system and the individuals who will input the data and those who will use the generated reports.