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...
