Documentation Collection For Use Date Received Document Comments in Section (or N/A) This Section provides a list of documents required to answer the questions within this Checklist. Description: Execute this Section prior to beginning the review. Procurement Policies and Procedures 2.1 Contracting Policies and Procedures 2.2 Financial Management Policies and Procedures 2.3 Monitoring Policies and Procedures 2.4 Record Keeping Policies and Procedures (onsite 2.5 only) Most Recent Draw Request/Request for Payment and 3.4 supporting documentation Appropriate Audit/Financial Report An A-133 if the Subrecipient has expended more than $500,000 in federal funds within a fiscal 3.3 year Annual sworn financial statement if revenue 3.3 received was $50,000 or less Annual compilation if revenue received was 3.3 more than $50,000 but less than $200,000 An annual review along with the required agreed upon procedure report if revenue received was 3.3 $200,000 or more but less than $500,000 Federally Approved Indirect Cost Plan, if applicable 3.4 504 Self Evaluation 4.1 Section 504 Assurance 4.1 Evidence of the administration of a Fair Housing 4.2 Activity Title VI Record Documentation 4.3
Documentation Collection Document For Use in Section Date Received (or N/A) Comments Description: This Section provides a list of documents required to answer the questions within this Checklist. Execute this Section prior to beginning the review. Procurement Policies and Procedures 2.1 Contracting Policies and Procedures 2.2 Financial Management Policies and Procedures 2.3 Monitoring Policies and Procedures 2.4 Record Keeping Policies and Procedures (onsite only) 2.5 Most Recent Draw Request/Request for Payment and supporting documentation 3.4 Appropriate Audit/Financial Report An A-133 if the Subrecipient has expended more than $500,000 in federal funds within a fiscal year 3.3 Annual sworn financial statement if revenue received was $50,000 or less 3.3 Annual compilation if revenue received was more than $50,000 but less than $200,000 3.3 An annual review along with the required agreed upon procedure report if revenue received was $200,000 or more but less than $500,000 3.3 Federally Approved Indirect Cost Plan, if applicable 3.4 504 Self Evaluation 4.1 Section 504 Assurance 4.1 Evidence of the administration of a Fair Housing Activity 4.2 Title VI Record Documentation 4.3
Exhibit12-3_Core_Checklist_v3.6.docx