Energy Assistance Program FFY20 Annual Training
Description: Energy Assistance Program FFY20 Annual Training Local Plan ICD Contract Local Plan ICD Contract Natasha Fedorova Minnesota Energy Assistance Program 2 Local Plan ICD Contract Topics Local Plan (LP)Internal Controls
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slide1. Energy Assistance Program FFY20
Annual Training Local Plan & ICD & Contract<br>
slide2. Local Plan & ICD & Contract Natasha Fedorova
Minnesota Energy Assistance Program 2<br>
slide3. Local Plan & ICD & Contract Topics
Local Plan (LP)/Internal Controls Documentation (ICD)
General Information
LP Format
FFY20 Changes
Attachments
Tips on Completing LP/ICD
Submitting the Initial LP/ICD & Attachments
Contract
Timeline
Checklist
Signature Requirements 3<br>
slide4. Local Plan & ICD & Contract LP/ICD General Information
Format has not changed
A fillable PDF form
Commerce sent LP/ICD to SPs with some prior year information already pre-filled
SPs can certify prior year responses, where applicable 4<br>
slide5. Local Plan Format Enter responses in highlighted blue fields. Local Plan & ICD & Contract 5<br>
slide6. Local Plan Format Local Plan & ICD & Contract If the info has not changed substantially, click the “No Change” box. 6<br>
slide7. Local Plan Format If any info has changed, click the “Change” box. Local Plan & ICD & Contract 7<br>
slide8. Local Plan Format Local Plan & ICD & Contract If the response field is blank, the info must be updated. 8<br>
slide9. Local Plan Format If an item with checkboxes to the right does not have any pre-filled info, it must be updated. Once new info is entered, check the ‘Change’ box. Local Plan & ICD & Contract 9<br>
slide10. Local Plan & ICD & Contract LP/ICD FFY20 Changes
Additional fiscal questions in ICD
To help assess financial stability of Nongovernmental Organizations (NGOs)
Policy 08-06, Office of Grants Management
Ensure NGOs have the financial stability to carry out the grant
NGO is defined as a nonprofit by State of Minnesota
Applies to nonprofit SPs only
Not applicable to counties or tribes
Anticipate future refinements 10<br>
slide11. Local Plan & ICD & Contract LP/ICD FFY20 Changes
May require input from fiscal staff
Most of the questions are grouped together
On pp. 17-18, some on pp. 7 & 19 11<br>
slide12. Local Plan & ICD & Contract LP/ICD FFY20 Changes
Fiscal or Executive Assistance (p. 7)
Does your organization receive fiscal or executive management assistance from any other organization?
Helps determine a nonprofit’s independence from outside resources
Examples:
Key financial or management functions
Loaned executive
Financial assistance, etc., received from an outside agency 12<br>
slide13. Local Plan & ICD & Contract LP/ICD FFY20 Changes
Organization’s financial position (p. 17)
Focus on debt (line of credit, loan, etc.)
Debt obligations may cause future cash flow issues
Description of lines of credit
Has any other debt been incurred in the past year?
Description of the new debt
What is the funding source for paying back the new debt?
Is the organization current on its debt payments?
If you have had any violations of the terms or covenants associated with the debt agreements in the past year, please explain (p. 18) 13<br>
slide14. Local Plan & ICD & Contract LP/ICD FFY20 Changes
Organization’s financial position (cont. p. 18)
Focus on an operating deficit
Consistent deficits deplete cash reserves
Could signify future cash flow issues
Has the organization had an operating deficit in the past three years?
If yes, what was the reason and how was it financed?
Is an operating deficit anticipated in the next year?
If yes, was is the organization’s plan to have an operating surplus in the future? 14<br>
slide15. Local Plan & ICD & Contract LP/ICD FFY20 Changes
Board and management liability (p. 18)
What measures the agency has taken to protect its assets
Whether there are any legal suits against the organization
Are the staff/officials who control the funds of the organization bonded?
Does the organization have Director’s and Officers (D&O) liability insurance?
Are there any current or pending lawsuits against the organization?
If yes, what would be the impact on the organization’s financial position?
Has the organization lost any funding due to the accountability issues, misuse, or fraud in the past year?
If yes, please describe the situation, including when it occurred 15<br>
slide16. Local Plan & ICD & Contract LP/ICD FFY20 Changes
Payroll accounting policies and procedures (p. 19)
Added a couple of new questions to existing ones
Which of the following best describes your organization’s accounting system?
Automated/Combination/Manual
Are time studies conducted for employees who are paid from multiple sources? 16<br>
slide17. Local Plan & ICD & Contract LP/ICD FFY20 Changes
Independent fiscal audit information (p. 19)
Replaced previous questions with new ones
Regarding audit firm and audit procedures
Name of audit firm
Number of consecutive years this firm has audited the agency
Have they performed any other professional services for the agency in the last two years?
Do you competitively bid out your audit every 3-5 years?
Next audit date 17<br>
slide18. Local Plan Attachments
FFY20 Current SP EAP Personnel and Hiring Plan
SP Risk Assessment
ERR Procurement Policies and Procedures
Only if changed from FFY19, including any minor changes Local Plan & ICD & Contract 18<br>
slide19. Local Plan Attachments
FFY20 Current SP EAP Personnel and Hiring Plan
Generally includes some changes each year
Completed and submitted with your Local Plan/ICD
Worksheet has two tabs:
Current SP EAP Personnel
FFY20 EAP Hiring Plan Local Plan & ICD & Contract 19<br>
slide20. Local Plan Attachments
SP Risk Assessment
Format has not changed (an Excel spreadsheet)
Last year’s responses were provided in the version sent to each SP
Consider improving your responses and/or revising the risks (adding/subtracting) Local Plan & ICD & Contract 20<br>
slide21. Local Plan Attachments
SP Risk Assessment
Prevention is the action of stopping something from happening
Mitigation is the action of reducing the severity of something Local Plan & ICD & Contract 21<br>
slide22. Tips on Completing the LP/ICD
If there are not enough rows in a table for your answers, let us know
Please try to fit your responses in the space provided
During visits PPAs often review LP/ICD issues
Review your notes and make improvements
Previously identified areas of improvement may be rejected if not addressed
Any questions on content, format, etc. should be submitted to eap.mail@state.mn.us Local Plan & ICD & Contract 22<br>
slide23. Submitting the Initial LP/ICD & Attachments
LP/ICD are due by 4 PM Friday, August 16, 2019
LP/ICD do not need to be signed prior to initial submittal
Signatures will only be needed when final copies are submitted with your FFY20 Grant Agreement (contract)
Make sure ED and other stakeholders are aware
Commerce sent letter with timeline to your agency
Contact us immediately if timeline will not work
Please submit early Local Plan & ICD & Contract 23<br>
slide24. Submitting the Initial LP/ICD & Attachments
Keep the original format of all forms
Layout
Fonts, etc.
Do not change file names
Initial submittals must be electronic copies in their original file format (e.g., PDF, XLSX, etc.)
Include SP name and “FFY2020 Local Plan & ICD” in email subject line
Submit to eap.mail Local Plan & ICD & Contract 24<br>
slide25. Contract Timeline
August 1 – September 5, 2019 – Commerce reviews initial LP/ICD & Attachments
SPs may be asked for additional information during review
By Friday, September 6, 2019 – Contract package mailed to SPs for signatures
Monday, September 16, 2019 – Signed contract package due to Commerce
By Tuesday, October 1, 2019 – Commerce executes and distributes contract documents Local Plan & ICD & Contract 25<br>
slide26. Contract Checklist Local Plan & ICD & Contract 26<br>
slide27. Contract Signature Requirements
Plan ahead
Ensure all required signatories are available to sign relevant documents between 09/06/19 and 09/16/19
Executive Director
Board Chair
Department of Human Rights
eHEAT Admin User(s)
FFY20 Contracts must be fully executed to receive FFY20 funding Local Plan & ICD & Contract 27<br>
Annual Training Local Plan & ICD & Contract<br>
slide2. Local Plan & ICD & Contract Natasha Fedorova
Minnesota Energy Assistance Program 2<br>
slide3. Local Plan & ICD & Contract Topics
Local Plan (LP)/Internal Controls Documentation (ICD)
General Information
LP Format
FFY20 Changes
Attachments
Tips on Completing LP/ICD
Submitting the Initial LP/ICD & Attachments
Contract
Timeline
Checklist
Signature Requirements 3<br>
slide4. Local Plan & ICD & Contract LP/ICD General Information
Format has not changed
A fillable PDF form
Commerce sent LP/ICD to SPs with some prior year information already pre-filled
SPs can certify prior year responses, where applicable 4<br>
slide5. Local Plan Format Enter responses in highlighted blue fields. Local Plan & ICD & Contract 5<br>
slide6. Local Plan Format Local Plan & ICD & Contract If the info has not changed substantially, click the “No Change” box. 6<br>
slide7. Local Plan Format If any info has changed, click the “Change” box. Local Plan & ICD & Contract 7<br>
slide8. Local Plan Format Local Plan & ICD & Contract If the response field is blank, the info must be updated. 8<br>
slide9. Local Plan Format If an item with checkboxes to the right does not have any pre-filled info, it must be updated. Once new info is entered, check the ‘Change’ box. Local Plan & ICD & Contract 9<br>
slide10. Local Plan & ICD & Contract LP/ICD FFY20 Changes
Additional fiscal questions in ICD
To help assess financial stability of Nongovernmental Organizations (NGOs)
Policy 08-06, Office of Grants Management
Ensure NGOs have the financial stability to carry out the grant
NGO is defined as a nonprofit by State of Minnesota
Applies to nonprofit SPs only
Not applicable to counties or tribes
Anticipate future refinements 10<br>
slide11. Local Plan & ICD & Contract LP/ICD FFY20 Changes
May require input from fiscal staff
Most of the questions are grouped together
On pp. 17-18, some on pp. 7 & 19 11<br>
slide12. Local Plan & ICD & Contract LP/ICD FFY20 Changes
Fiscal or Executive Assistance (p. 7)
Does your organization receive fiscal or executive management assistance from any other organization?
Helps determine a nonprofit’s independence from outside resources
Examples:
Key financial or management functions
Loaned executive
Financial assistance, etc., received from an outside agency 12<br>
slide13. Local Plan & ICD & Contract LP/ICD FFY20 Changes
Organization’s financial position (p. 17)
Focus on debt (line of credit, loan, etc.)
Debt obligations may cause future cash flow issues
Description of lines of credit
Has any other debt been incurred in the past year?
Description of the new debt
What is the funding source for paying back the new debt?
Is the organization current on its debt payments?
If you have had any violations of the terms or covenants associated with the debt agreements in the past year, please explain (p. 18) 13<br>
slide14. Local Plan & ICD & Contract LP/ICD FFY20 Changes
Organization’s financial position (cont. p. 18)
Focus on an operating deficit
Consistent deficits deplete cash reserves
Could signify future cash flow issues
Has the organization had an operating deficit in the past three years?
If yes, what was the reason and how was it financed?
Is an operating deficit anticipated in the next year?
If yes, was is the organization’s plan to have an operating surplus in the future? 14<br>
slide15. Local Plan & ICD & Contract LP/ICD FFY20 Changes
Board and management liability (p. 18)
What measures the agency has taken to protect its assets
Whether there are any legal suits against the organization
Are the staff/officials who control the funds of the organization bonded?
Does the organization have Director’s and Officers (D&O) liability insurance?
Are there any current or pending lawsuits against the organization?
If yes, what would be the impact on the organization’s financial position?
Has the organization lost any funding due to the accountability issues, misuse, or fraud in the past year?
If yes, please describe the situation, including when it occurred 15<br>
slide16. Local Plan & ICD & Contract LP/ICD FFY20 Changes
Payroll accounting policies and procedures (p. 19)
Added a couple of new questions to existing ones
Which of the following best describes your organization’s accounting system?
Automated/Combination/Manual
Are time studies conducted for employees who are paid from multiple sources? 16<br>
slide17. Local Plan & ICD & Contract LP/ICD FFY20 Changes
Independent fiscal audit information (p. 19)
Replaced previous questions with new ones
Regarding audit firm and audit procedures
Name of audit firm
Number of consecutive years this firm has audited the agency
Have they performed any other professional services for the agency in the last two years?
Do you competitively bid out your audit every 3-5 years?
Next audit date 17<br>
slide18. Local Plan Attachments
FFY20 Current SP EAP Personnel and Hiring Plan
SP Risk Assessment
ERR Procurement Policies and Procedures
Only if changed from FFY19, including any minor changes Local Plan & ICD & Contract 18<br>
slide19. Local Plan Attachments
FFY20 Current SP EAP Personnel and Hiring Plan
Generally includes some changes each year
Completed and submitted with your Local Plan/ICD
Worksheet has two tabs:
Current SP EAP Personnel
FFY20 EAP Hiring Plan Local Plan & ICD & Contract 19<br>
slide20. Local Plan Attachments
SP Risk Assessment
Format has not changed (an Excel spreadsheet)
Last year’s responses were provided in the version sent to each SP
Consider improving your responses and/or revising the risks (adding/subtracting) Local Plan & ICD & Contract 20<br>
slide21. Local Plan Attachments
SP Risk Assessment
Prevention is the action of stopping something from happening
Mitigation is the action of reducing the severity of something Local Plan & ICD & Contract 21<br>
slide22. Tips on Completing the LP/ICD
If there are not enough rows in a table for your answers, let us know
Please try to fit your responses in the space provided
During visits PPAs often review LP/ICD issues
Review your notes and make improvements
Previously identified areas of improvement may be rejected if not addressed
Any questions on content, format, etc. should be submitted to eap.mail@state.mn.us Local Plan & ICD & Contract 22<br>
slide23. Submitting the Initial LP/ICD & Attachments
LP/ICD are due by 4 PM Friday, August 16, 2019
LP/ICD do not need to be signed prior to initial submittal
Signatures will only be needed when final copies are submitted with your FFY20 Grant Agreement (contract)
Make sure ED and other stakeholders are aware
Commerce sent letter with timeline to your agency
Contact us immediately if timeline will not work
Please submit early Local Plan & ICD & Contract 23<br>
slide24. Submitting the Initial LP/ICD & Attachments
Keep the original format of all forms
Layout
Fonts, etc.
Do not change file names
Initial submittals must be electronic copies in their original file format (e.g., PDF, XLSX, etc.)
Include SP name and “FFY2020 Local Plan & ICD” in email subject line
Submit to eap.mail Local Plan & ICD & Contract 24<br>
slide25. Contract Timeline
August 1 – September 5, 2019 – Commerce reviews initial LP/ICD & Attachments
SPs may be asked for additional information during review
By Friday, September 6, 2019 – Contract package mailed to SPs for signatures
Monday, September 16, 2019 – Signed contract package due to Commerce
By Tuesday, October 1, 2019 – Commerce executes and distributes contract documents Local Plan & ICD & Contract 25<br>
slide26. Contract Checklist Local Plan & ICD & Contract 26<br>
slide27. Contract Signature Requirements
Plan ahead
Ensure all required signatories are available to sign relevant documents between 09/06/19 and 09/16/19
Executive Director
Board Chair
Department of Human Rights
eHEAT Admin User(s)
FFY20 Contracts must be fully executed to receive FFY20 funding Local Plan & ICD & Contract 27<br>