(800)-Tell-TDA
835-5832
Compliance

TDA's Compliance Unit ensures that grant recipients are in compliance with federal, state and TxCDBG Program requirements. Compliance also provides oversight for administration of the TxCDBG Program. Compliance is composed of three departments: Monitoring, Audit and Environmental Review.

Compliance Monitoring

The Monitoring Department is responsible for conducting reviews of grant recipients' records in order to assess comprehensive compliance with TxCDBG project implementation policies. Monitoring is conducted primarily onsite but may also be performed as desk reviews. Key compliance areas include Financial Management, Procurement, Environmental Review, Labor Standards, Civil Rights & Fair Housing, Force Account and Acquisition of Real Property. Additionally, monitors are charged with examining a grant recipient's Project Completion Report prior to determining fulfillment of the contract performance requirements.

Program Monitoring Objectives:

  • Review Grant Recipients' overall compliance with TxCDBG Project Program requirements.
  • Identify necessary corrective actions.
  • Identify technical assistance needs.
  • Provide programmatic oversight.
  • Provide quality assurance for project completion data (financial, beneficiaries and quantitative project completion accomplishments) reported to HUD.
  • Examine grant recipient financial documents in order to determine proper expenditure of TxCDBG grant funds.
  • Determine whether adequate internal controls are in place for responsible management of TxCDBG grant funds.
  • Detect and prevent fraud and abuse

Compliance Audit

The Audit Department is responsible for tracking and enforcing grant recipients compliance with Single Audit reporting requirements in accordance with the Single Audit Act (1984), the United States Office of Management and Budget (OMB)-Circular-A-133 and or the Uniform Grant Management Standards-Texas Single Audit Circular.

Compliance Audit Objectives:

  • Collect financial information via the submission of the Audit Certification Form (ACF) and the Single Audit Report (SA).
  • Provide technical assistance in the completion and submission of the ACF and SA report.
  • Track ACF and SA report submissions and notifying communities of their status.
  • Perform audit desk reviews on ACFs and SA reports.
  • Identify non-compliance issues and obtain from recipient a corresponding response and planned corrective actions.

Grant recipients including Local Governments (cities and counties) or nonprofits must submit an annual ACF when the grant recipient has open TDA contracts. Grant recipients that expend $500,000 or more per year in total federal or total state awards must complete and submit a Single Audit or a Program Specific Audit. Compliance Audit staff perform audit desk reviews of both the ACF and SA reports submitted. The audit desk review is a process used to assess a grant recipient's financial capacity. Through the audit desk review of a SA report, Compliance Audit will verify whether or not the grant recipient has the financial capacity to properly safe guard grant funds and related assets, to manage and administer contractual performance requirements, comply with state and federal regulatory requirements and report financial information timely and accurately.

Access the Online Audit Certification Form.

Environmental Regulatory Officer:

The Environmental Regulatory Officer (ERO) ensures that grant recipients comply with requirements under the National Environmental Policy Act (1969) and HUD provisions under 24 CFR Part 58 and related regulations.

ERO Duties:

  • Determines the level of environmental review necessary before awarding of a TxCDBG grant.
  • Reviews certifications of completed Environmental Assessments (EA) and authorizes satisfactory completion prior to the release of any grant funds.
  • Performs onsite monitoring of Environmental Review Records (ERR) to ensure that Environmental Reviews are conducted properly.
  • Provides technical assistance and training.

Monitoring State Office of Rural Health

The State Office of Rural Health's (SORH) monitoring staff is responsible for programmatic compliance of Rural Health grants administered through the SORH. The funding sources for the SORH grants are from the U.S. Health Resources and Services Administration, Tobacco Endowment and the State of Texas General Revenue and covers recruitment and retention as well as small rural facilities. The funding source for the TxCDBG grants is the U.S. Department of Housing and Urban Development. The SORH monitoring staff ensures compliance with contractual, state and federal requirements through a combination of desk and on-site reviews.

 

Additional Links

Uniform Grant Management Standards

OMB Circulars including Audit Requirements and Cost Principles

2 CFR 200 - Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards