Form 1 Document Request List

<Grantee> - ACF Policy Review
Document Request List Tracker
XX/XX/20XX
Due to ACF: XX/XX/20XX
NOTE: The process areas in the "Scope Section" column are broken out by ACF review area. ACF recognizes that grantee organizations do not necessarily maintain policies and procedures using this same breakout. If the document your organization is providing to cover one of these process areas covers other non-related areas, please specify in the "Documents Received" column where each of these areas (as further defined in the "Documents Requested" column) are covered (section, page range, etc.) within the overall document.
Process Area #	Scope Section (Process Area)	Documents Requested	Document(s) Received (Name/Page References)	ACF Date Received	ACF Status (Open/Closed)
1	All Process Areas	1. Grant Management Manual used by the grantee to administer federal awards, if available. Individual policies and procedures for specific process areas (outlined below) are also acceptable in lieu of one comprehensive manual. Please label location of all individual areas below within the manual if provided in this manner.			Open
2	Accounting of Federal Awards	1. Accounting policy and procedure documentation for federal awards (if not included in Grant Management Manual) including:			Open
		- Registration updates to the System of Award Management (SAM).			Open
		- Recording, supporting, and tracking transactions pertaining to federal awards			Open
		- Monitoring compliance, through internal controls, with federal statutes, regulations, and the terms and conditions of the federal award			Open
		- Proper completion of revisions to budget plans.			Open
3	Compensation	1. Policy and procedure documentation for personnel compensation and fringe benefits charged to federal awards (if not included in Grant Management Manual) including:			Open
		- Determining whether compensation costs (including fringe benefits) are allowable, allocable and reasonable			Open
		- Documenting and approving time worked on federal awards			Open
4	Cost Principles	1. Policy and procedure documentation for compliance with the 45 CFR 75 Subpart E - Cost Principles (if not included in Grant Management Manual) including:			Open
		- Determining the allowability of costs to the Federal award			Open
		- Determining when prior written approvals are required			Open
		- Properly identifying and segregating direct vs. indirect (and administrative) costs			Open
5	Information Technology (IT)	1. Policy and procedure documentation for security over accounting and financial systems used to manage federal awards including:			Open
		- Maintaining user segregation of duties			Open
		- Maintaining data recovery and business continuity			Open
		- Safeguarding against system destruction			Open
		- Preventing/identifying external system threats			Open
		- User access			Open
6	Legal and Regulatory	1. Policy and procedure documentation for legal and regulatory requirements for federal awards (if not included in Grant Management Manual) including, but not limited to:			Open
		- Single Audit requirements			Open
		- Drug-Free Workplace Act of 1988			Open
		- Whistleblower protections			Open
		- Suspension and debarment requirements			Open
		- Lobbying restrictions			Open
		- Safeguarding Personally Identifiable Information (PII)			Open
		- Safeguarding Protected Health Information (PHI)			Open
7	Management of Federal Cash	1. Policy and procedure documentation for managing and controlling cash associated with federal awards (if not included in Grant Management Manual) including:			Open
		- Processing, recording, and depositing cash drawdowns			Open
		- Use and reporting of program income			Open
		- Repaying excess funds (interest)			Open
8	Monitoring	1. Policy and procedure documentation for monitoring processes (if not included in Grant Management Manual) including:			Open
		- Establishment, operation, and evaluation of monitoring activities over internal controls			Open
		- Remediation of identified deficiencies and/or instance of non-compliance			Open
9	Entity Controls	1. Policy and procedure documentation for the following, related to federal grants (if not included in Grant Management Manual) including, but not limited to:			Open
		- Standards/Code of Conduct			Open
		- Conflicts of interest including disclosures			Open
		- Disclosing violations involving fraud, bribery, or gratuity violations to federal entities			Open
10	Procurement	1. Policy and procedure documentation for procurement processes associated with federal awards (if not included in Grant Management Manual) including:			Open
		- Procurement procedures for the entity			Open
		- Conflicts of interest, including disclosures			Open
		- Specifying contracts to include provisions of 45 CFR 75 Appendix II			Open
11	Property Management	1. Policy and procedure documentation for the management of property, equipment, or supplies acquired or improved using federal funding (if not included in Grant Management Manual) including:			Open
		- Insurance coverage on property acquired with Federal funds			Open
		- Use and disposition of real property			Open
		- Treatment of equipment, supplies, and intangible property and copyrights (if applicable)			Open
12	Record Retention	1. Policy and procedure documentation for maintaining, collecting, storing, and accessing records (if not included in Grant Management Manual)			Open
					Open
13	Reporting	1. Policy and procedure documentation for generating and submitting financial and performance reports (if not included in Grant Management Manual) including:			Open
		- Proper collection and reporting of financial information (SF-425 FFR)			Open
		- Reporting on real property			Open
14	Risk Assessment	1. Policy and procedure documentation for grantee-level risk assessment processes, and risk assessment for federal grant programs (if not included in Grant Management Manual)			Open
15	Subrecipients	1. Policy and procedure documentation for awarding, managing and monitoring federal grants to subrecipients, as well as required reporting (if not included in Grant Management Manual)			Open
PAPERWORK REDUCTION ACT OF 1995 (Pub. L. 104-13) STATEMENT OF PUBLIC BURDEN: The purpose of this information collection is to support the completion of a financial monitoring review over the organization to which this document is being submitted. Public reporting burden for this collection of information is estimated to average three and one half hours per grantee, including the time for reviewing instructions, gathering and maintaining the data needed, and reviewing the collection of information. This is a mandatory collection of information (Title 2, Code of Federal Regulations (CFR), Part 200, Subsection 300, "Statutory and National Policy Requirements" [also codified at Title 45, CFR, Part 75, Subsection 300]). An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information subject to the requirements of the Paperwork Reduction Act of 1995, unless it displays a currently valid OMB control number. The OMB # is 0970-0558 and the expiration date is 11/30/2023. If you have any comments on this collection of information, please contact OGM at [email protected].