CONTRACTOR POLICIES AND PROCEDURES MANUAL - August 2021 - First 5 San Joaquin
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CONTRACTOR
POLICIES AND PROCEDURES
MANUAL
August 2021
1|Page
SECTION I:
INTRODUCTION
2|Page
INTRODUCTORY LETTER FROM THE EXECUTIVE DIRECTOR
Dear First 5 San Joaquin Contractors,
First 5 San Joaquin (F5SJ) looks forward to seeing the ongoing impact that will be made in the lives of
children and families over the next fiscal year. There is much that we can continue to celebrate as we
continue in partnership with gratefulness of your work.
We also acknowledge starting, once again, the new fiscal year amidst COVID-19, thus so many unknowns
await all of us. The importance of communication cannot be overstated, whether it be a need for
additional technical assistance, an extension on a program or fiscal report, or the need to shift staff due
to health issues.
This updated version of the Contractor Policies and Procedures Manual has been provided for F5SJ
Contractor program and fiscal use. Enclosed is vital information on program and fiscal reporting
requirements, as well as general compliance guidelines. As F5SJ continues to seek ways to utilize
technology, the website www.sjckids.org remains the resource for all forms and documents. Should there
be any discrepancies in these forms, please contact the F5SJ office to inform us so changes can be made.
As always, F5SJ is committed to doing everything possible to help programs succeed in reaching desired
goals. Please do not hesitate to direct any questions that may arise regarding the enclosed information to
the assigned program or fiscal staff.
Finally, a personal note – this Contractor Manual is the last one I will sign. It’s been a privilege working
with all of you – this has been the greatest job of my life.
Sincerely,
Lani Schiff-Ross
Lani Schiff-Ross
Executive Director
3|PageFIRST 5 SAN JOAQUIN COMMISSION MEMBERS
Commission Chairperson
▪ Miguel Villapudua, District 1 Board of Supervisors, San Joaquin County
Commission Vice Chairperson
▪ Chris Woods, Director, San Joaquin County Human Services Agency
Commissioners
▪ Tony Anderson, Executive Director, Valley Mountain Regional Center
▪ Zienna Blackwell-Rodriquez, DNP, RN, PHN, Director, San Joaquin County Public Health Services
▪ Vena M. Ford, Director, Community, Marketplace and Member Engagement at Health Plan of San
Joaquin
▪ Michael Miller, Retired Director, San Joaquin County Human Services Agency
▪ Maggie Park, MD, Public Health Officer, San Joaquin County Public Health Services
▪ Carl Toliver, Retired Superintendent, Stockton Unified School District
▪ Lisa Vela, Chief Executive Officer, San Joaquin County Hispanic Chamber of Commerce
FIRST 5 SAN JOAQUIN COMMISSION STAFF
▪ Lani Schiff-Ross, Executive Director
▪ Tanimu Dasin, Accountant II
▪ Santana Garcia, Accountant I
▪ So Kuen (Louella) Li, Accountant III
▪ Jose Morales, Contracts Analyst
▪ Dawn Narayan, Contracts Analyst
▪ Dezarae Quilantang, Contracts Analyst
▪ Kimerli Sawyer, Contracts Analyst
▪ Kathleen Smith, Office Assistant
▪ Cathy Sprints, Contracts Analyst
▪ Veronica Verduzco, Administrative Assistant
▪ Jovanna Vialdores, Contracts Analyst
▪ Billi Jo Zopfi, Contracts Analyst
CONTACT INFORMATION
▪ Telephone Number: 209-953-KIDS (5437)
▪ Website: www.sjckids.org
▪ Email: sjckids@sjgov.org
▪ Human Services Agency Site Address: 102 S. San Joaquin Street, Stockton, CA 95202
▪ Site Address: 400 E. Main Street, Stockton, CA 95202
▪ Mailing Address: P.O. Box 201056, Stockton, CA 95201
4|PageTABLE OF CONTENTS
SECTION I: INTRODUCTION
INTRODUCTORY LETTER FROM THE EXECUTIVE DIRECTOR ............................................................... 3
FIRST 5 SAN JOAQUIN COMMISSION MEMBERS ............................................................................... 4
FIRST 5 SAN JOAQUIN COMMISSION STAFF ...................................................................................... 4
CONTACT INFORMATION ................................................................................................................. 4
TABLE OF CONTENTS ........................................................................................................................ 5
SECTION II: PROGRAM AND GENERAL REPORTING POLICIES
AUDIT REQUIREMENT ………………………………………………………………………………………………………………………8
CLIENT CONSENT TO SERVICES AND RELEASE AND EXCHANGE OF INFORMATION …………………………11
CONTRACTOR MEETING ATTENDANCE …………………………………………………………………………………………..12
COMPLIANCE MONITORING FRAMEWORK POLICY …………………………………………………………………………13
COMPUTER SPECIFICATIONS …………………………………………………………………………………………………………..15
CONFIDENTIALITY POLICY …………………………………………………………………………………………………………......16
CORRECTIVE ACTION PLAN AND MONTHLY REPORTING …………………………………………………….............17
CORRESPONDENCE AND REPORTING SCHEDULES ………………………………………………………………………....21
DOCUMENTATION AND RECORD KEEPING ……………………………………………………………………………………..22
EVALUATION REPORTING POLICY ……………………………………………………………………………………………………23
FOOD POLICY ………………………………………………………………………………………………………………………………….24
LEAD AGENCY RESPONSIBILITIES …………………………………………………………………………………………………….27
MANDATORY REPORTING PROCEDURES FOR THE PROTECTION OF CLIENTS ………………………………….29
MEDIA RELATIONS ………………………………………………………………………………………………………………………….30
MONITORING AND COMPLIANCE ……………………………………………………………………………………………………32
ORGANIZATIONAL CHARTS, JOB DESCRIPTIONS, PERSONNEL AND POSITION ALLOCATION TRACKER
AND STAFF QUALIFICATIONS ………………………………………………………………………………………………………....33
PENALTIES FOR SUBMITTAL OF LATE REPORTS AND RESPONSES TO REQUESTS FOR
INFORMATION ………………………………………………………………………………………………………………………………..34
PRIORITY OF PROVISIONS ……………………………………………………………………………………………………………….36
PROHIBITION OF ORAL AGREEMENTS ……………………………………………………………………………………….......36
QUARTERLY PROGRESS REPORT POLICY ………………………………….………………………………………………….….36
5|PageREQUEST OF FUNDS OUTSIDE OF USUAL FUNDING PROCESSES ……………………………………………………..37
SECTION III: FISCAL REPORTING POLICIES
BUDGET REVISION POLICY ………………………………………………………………………………………………………….....39
CAPITAL EXPENDITURE/INVENTORY POLICY …………………………………………………………………………………..42
FISCAL BACKUP DOCUMENTATION REQUIREMENTS ………………………………………………………………………43
INDIRECT RATE POLICY ……………………………………………………………………………………………………………………47
ITEMIZED BUDGET EXPENDITURE REPORT ……………………………………………………………………………………..48
PAYMENT OF ITEMIZED BUDGET EXPENDITURE REPORT AND
AGREEMENT COMPLIANCE …………………………………………………………………………………………………………....53
RECOVERY OF OVERPAYMENT ………………………………………………………………………………………………………..53
UNALLOWABLE EXPENSES ………………………………………………………………………………………………………………54
SECTION IV: PROGRAM & FISCAL FORM INSTRUCTIONS
CONTACT HIERARCHY FORM INSTRUCTIONS ………………………………………………………………………………….56
ITEMIZED BUDGET EXPENDITURE REPORT INSTRUCTIONS ………………………………………………………….….57
PERSONNEL/POSITION ALLOCATION TRACKER INSTRUCTIONS ……………………………………………………….58
SCOPE OF WORK REVISION INSTRUCTIONS …………………………………………………………………………………….58
TOTAL FUNDING FORM INSTRUCTIONS ………………………………………………………………………………………….59
SECTION V: SUPPLEMENTAL INFORMATION
SUPPLEMENTAL BACKGROUND INVESTIGATION GUIDELINES ………………………………………………………..61
SECTION VI: PRESCHOOL
ENROLLMENT POLICY ………………………………………………………………………………………………………………….…64
REIMBURSEMENT POLICY ……………………………….……………………………………………………………………………..67
QUALITY PROGRAM REQUIREMENTS AND CRITERIA ………………………………………………………………………69
PRESCHOOL TEACHER POLICY……………….…………………………………………………………………………………………71
SUBSTITUTE TEACHER POLICY………………………………………………………………………………………………………….72
6|PageSECTION II:
PROGRAM AND GENERAL
REPORTING POLICIES
7|PageAUDIT REQUIREMENT
POLICY:
Each First 5 San Joaquin (F5SJ) Contractor is required to maintain books, records, documents, and other
evidence sufficient to properly reflect the amount, receipt, and disposition of all F5SJ Commission funds.
This evidence must allow for the tracking of F5SJ Commission funds from receipt to a level of expenditure
adequate to ensure that the funds were expended in a lawful manner and within the scope set forth in
the Agreement.
The Contractor is required to submit an audit to F5SJ every two years, if the most recent audit indicates
an unqualified opinion and no audit findings. In the event that the Contractor includes an annual audit
allocation in its budget, regardless of the audit’s outcome, the Contractor will be required to submit the
annual audit, as outlined in the procedure below. Should the most recent audit contain other than an
unqualified opinion or material findings, the Contractor is required to submit an audit annually, as outlined
in the procedure below.
PROCEDURE:
1. Methods used by the contractor to track and report costs must conform to Generally Accepted
Accounting Principles (GAAP).
2. Contractors are required to submit a copy of the annual financial audit or audits that include
receipt or expenditure of any F5SJ Commission funds. F5SJ may, at its own discretion, require
copies of other financial documents including, but not limited to, the Contractor’s documentation
of follow-up with auditors or the Contractor’s governing board on corrective action taken as a
result of audit findings.
3. If a Contractor’s audit covers a fiscal year that does not correlate with the F5SJ funding
period, the audit will be acceptable, provided it includes a sampling from within the funding
period (see item number five below).
4. The audit must be conducted by an independent auditor and meet auditing standards generally
accepted in the United States of America and Government Auditing Standards (GAS) issued by the
Comptroller General of the United States.
5. If a Contractor is required to have an audit performed in accordance with the Single Audit Act and
Office of Management and Budget (OMB) Circular A-133, or already otherwise conducts an
agency-wide audit, the independent auditor must include this program as part of the testing in
order for the audit to be accepted by F5SJ. Although the programs tested under these provisions
are selected on a risk-based approach, and for Federal Government purposes, F5SJ requires that
at least a representative number of transactions be selected for testing from the F5SJ
grant/contracted funds. The number of transactions selected may be based on a statistical
sampling method, materiality levels and/or on the auditor’s judgment as long as the auditor
determines that the expenditures made are appropriate under the guidelines of the Agreement.
The sample method must be specified in the audit engagement letter and a copy of the audit
engagement letter must be submitted to F5SJ along with the Itemized Budget Expenditure Report
(IBER) backup for the period in which the letter was signed.
6. The audit must be completed and submitted to F5SJ within 120 days of the Contractor’s fiscal
year-end. A Contractor’s audit will be acceptable, provided it includes sampling from within the
funding period. F5SJ may agree to extend this deadline upon written request, if providing the
required audit within this time period represents an unreasonable hardship for the Contractor.
7. If the Contractor is not required to have an audit performed in accordance with the Single Audit
Act and OMB Circular A-133, or is not otherwise already audited, then the Contractor is required
to submit a program-specific audit to F5SJ. Program-specific audits must include a full review of
8|Pagerevenues and expenditures, including the identification of eligible, allowable, and claimable costs,
as well as the identification of any questionable costs.
8. Subject to Agreement negotiations, Contractors may budget for and include costs associated with
completion of an annual audit.
9. F5SJ, at its own discretion, reserves the right to require a program-specific audit to address any
fiscal concerns. F5SJ reserves the right to require the Contractor to fully bear all costs associated
with the audit.
10. The Contractor acknowledges that the conditions of any Agreement may be suspended or
terminated until all audit procedures and requirements, as stated in this policy, have been
completed and reviewed to the satisfaction of F5SJ.
11. The Contractor shall bear all costs in connection with, or resulting from, any audit and/or
inspections that result in the payment/repayment of an expenditure disallowed by F5SJ, County,
or State, including any assessed interest and penalties.
12. F5SJ reserves the right to disallow reimbursement for an audit if any audit requirements are not
met.
Required Documents:
At a minimum, the audit must provide the following reports to F5SJ:
▪ Financial statement that includes:
o 1) A balance sheet of assets, liabilities, and equities
o 2) A statement which includes all revenues received, including but not restricted
to, funds received from F5SJ, interest accrued Expenditures and encumbrances
classified by type and program. The information on program expenditures may
be included in either the financial statement or audited supplementary
information.
▪ Notes regarding the financial statement should include the auditor’s opinion of the
financial report, and the identification of any findings related to the use of funds.
▪ Report on compliance from auditor that includes:
o 1) Comments regarding the agency’s compliance with laws, regulations, and
requirements affecting the program’s management of funds received by F5S,
o 2) State laws and regulations that affect the use, reporting and auditing of fiscal
information apart from the supplant requirement
o 3) A statement specifying that F5SJ Commission funds have been used only to
supplement, but not to supplant, existing programs must be included
▪ Report on internal controls from the auditor that includes:
o 1) Comments regarding an agency’s establishment of policies and procedures
related to the accounting records
o 2) Processes for receipt, deposit, and disbursement of all funds disbursed by F5SJ
The report on compliance and report on internal controls may be included in one letter with both pieces
of information.
Other Items That May Be Included In the Audit:
The following recommendations will assist F5SJ to effectively manage funds and may be included in the
audit:
A management letter describing the evaluation of internal controls. The auditor should evaluate
the procedures and policies established to ensure that funds are expended according to the
stated purpose. The auditor should include a description of the scope of the audit in obtaining an
understanding of the internal control structure and in assessing the control risk.
9|Page▪ Description of the types of financial statements and documents covered, and the periods
covered.
▪ An opinion from the auditor as to whether all generally required audit scope materials
were available for review and were satisfactory. If an unqualified opinion cannot be
expressed, state the nature of the qualification, reservation, or exception.
▪ A management letter describing immaterial instances of non-compliance and/or matters
involving internal control.
10 | P a g eCONSENT TO SERVICES AND RELEASE AND EXCHANGE OF INFORMATION
POLICY:
If applicable, each Contractor must complete the designated F5SJ Consent to Services and Release and
Exchange of Information form, which may be copied into an existing agency form, provided all required
information is retained and included on the form. The form must be signed by the appropriate authorized
person(s), stating the agreement to voluntarily participate in the Contractor’s activities, to receive needed
services, and to release and exchange personal information. The form is to be retained by the Contractor
in the client’s record. The form is available in English and Spanish on the F5SJ website www.sjckids.org.
Each Contractor will maintain confidentiality of their client’s personal information and client’s records.
The Contractor will comply with all Federal, State, and local laws in restricting access to client and family
personal and health information.
Clients may be asked for informed authorization to collect and share information among authorized
programs. A client’s determination not to authorize collection and sharing of information will not be
grounds for refusing service. Services will be provided whether a family consents to provide or share
information. Clients may end their consent at any time by requesting to remove information from
existing computer files (if applicable) and paper files. Any withdrawal of consent will not be grounds
for exclusion from services. If a client refuses to sign the form, it must be documented.
PROCEDURE:
1. Each Contractor will have a signed and dated F5SJ Consent to Services and Release and Exchange
of Information form in the client’s record.
2. The completed form must:
▪ State the child’s name
▪ Be signed and dated by the client
▪ List the authorized signatory’s relationship to child
11 | P a g eCONTRACTOR MEETING ATTENDANCE
POLICY:
Attendance at F5SJ Contractor Meetings is required by the F5SJ funded agency’s Primary or Secondary
Contact, as listed in the Contact Hierarchy. Excused absences should be due to exceptional circumstances,
only. Should a F5SJ funded agency’s Primary and/or Secondary Contact be unable to attend, an alternate
representative (preferably from the F5SJ funded program) from that agency must attend. In the event the
Primary or Secondary Contact, nor an alternate representative can attend the Contractor Meeting, an
email must be sent to sjckids@sjgov.org with a copy to the assigned F5SJ Contracts Analyst (CA) no later
than 5pm on the day prior to the scheduled Contractor Meeting.
Failure to submit written notice stating the reason for the agency’s absence will be considered unexcused
and a letter of noncompliance will be sent to the funded agency’s Agreement Signer.
12 | P a g eCOMPLIANCE MONITORING FRAMEWORK POLICY
PURPOSE:
To promote sound management of public funds through the use of a Compliance Monitoring Framework
(CMF), a risk assessment tool used for determination of program fiscal review and monitoring.
POLICY:
All F5SJ funded programs will be assessed annually with the CMF. The results of the CMF for each F5SJ
program assessment will be provided electronically after Agreements are finalized.
PROCEDURE:
The Internal Control Questionnaire (ICQ) form will be included as part of all funding packets or
supplemental information for renewals. The ICQ is to be completed by the Contractor Executive Director,
Department Head, or Designee and returned to F5SJ. Agencies that have multiple Agreements with F5SJ
are only required to submit one ICQ.
▪ Only the funding applicant or lead agency is required to complete the ICQ.
▪ The ICQ will be submitted by the Contractor with the funding/renewal packet. The ICQ will be
used to complete the CMF.
▪ During the applicable funding process, assigned F5SJ staff will follow the Internal CMF Instructions
provided on the CMF Scoring Grid.
▪ Only the funding applicant or lead agency will be assessed with the CMF.
▪ Once an Agreement is approved, the F5SJ CA will send a notification letter electronically to the
Contractor. This letter will define the level of fiscal compliance monitoring review for the fiscal
year (or funded year if the Agreement start date is not July 1st).
Compliance Review Status
Low Review (score of 0-13):
Abide by current F5SJ Policies and Procedures with the following exceptions:
▪ Up to 20 percent line-item overage allowed before budget revision is required.
o An exception is any overage of the indirect line-item amount. Indirect Costs cannot go
over the Year-to-Date (YTD) budget amount. Agencies may bill actual indirect expense
per period as long as the total does not exceed the total budgeted amount.
Moderate Review (score of 14-27):
Abide by current F5SJ Policies and Procedures with the following exceptions:
▪ Up to 10 percent line-item overage allowed before budget revision is required.
o An exception is the indirect line item, as this line item cannot exceed budgeted amount.
High Review (score of 28-40):
Abide by current F5SJ Policies and Procedures with the following additions:
▪ Backup documentation for fixed or recurring expenses is required in the first reporting
period.
▪ Backup documentation for all other variable operating expenses is required (including
items with a unit cost of less than $500).
13 | P a g e▪ Line-item overages are not allowed. All overages require a Budget Revision Request with
prior F5SJ approval.
14 | P a g eCOMPUTER SPECIFICATIONSRECOMMENDED)
POLICY:
Organizations must have adequate computer capacity to carry out projects and participate in F5SJ
evaluation activities. A program should not purchase a new computer to meet the below
recommendations if additional memory or enhancements can be added to achieve the recommended
capacity. Organizations receiving F5SJ funding are encouraged to have computers that meet the minimum
following standards.
Desktop Recommendation:
Basic Desktop PC (For regular PC users, managers, supervisors, etc.)
> Intel Core i7TM
> Small Form Factor (Recommended)
> Operating System (Windows 10)
> 8 GB RAM
> 21.5” LCD Flat Panel Color Display (dual monitors are appropriate for some users)
> 256 GB Solid State Drive
> 10/100/1000 PCI Ethernet Network Interface
> Keyboard and Optical Mouse
> VPRO Technology
> Basic Hardware Next Day On-Site Warranty for the Initial Year
> DVD Writer
Laptop Recommendation:
> Intel Core i7TM
> Operating Systems (Windows 10 Pro 64 / 10 Enterprise 64)
> 15.6" FHD IPS (1920x1080)
> 8 GB RAM
> 256 GB Solid State Drive
> Front Battery: 4 cell Battery
> Integrated Sound, Stereo Speakers
> Basic Hardware Next Day On-Site Warranty for the Initial Year
15 | P a g eCONFIDENTIALITY POLICY
PURPOSE:
To safeguard the confidentiality of client information collected for program evaluation purposes.
POLICY:
Contractors are required to report the number of clients served to demonstrate intended outcomes.
Contractors are also required to collect information about service users and report on benefits realized
by those users, over time. F5SJ uses this information to evaluate the rate and level of progress toward
stated goals, to demonstrate the effectiveness of programs and services, and to identify opportunities for
improvement, accountability, and learning. For the purpose of evaluation and to document work and
accomplishments, Contractors are required to file reports that may include client data. Sharing client data,
even for limited purposes, requires that specific measures and practices are followed to preserve the
confidentiality of client information.
F5SJ’s Contractors are required to adhere to the confidentiality responsibilities described below. The
responsibilities may include measures legally required in accordance with the Health Insurance Portability
and Accountability Act of 1996 (HIPAA) regulations. These procedures, if applicable, will be reviewed
during a Contractor’s site visit. Maintaining the privacy of personally identifiable data about clients and
their families requires clear policies which restrict access to data and data use. This document describes
the responsibilities F5SJ requires of its Contractors providing direct client services. F5SJ may also assign
specific report requirements using forms and/or online databases, which will be accompanied by any
necessary training or instructions about additional confidentiality procedures.
PROCEDURE:
Management Responsibilities for Privacy:
1. Review existing internal agency privacy standards, policies and procedures to ensure compliance
with F5SJ standards and all Federal, State, and local privacy laws and regulations.
2. Protect the privacy of clients in conversations, in handwritten, typed, or printed documents or in
electronic formats. Agencies funded by F5SJ that provide direct client services are required to
develop and maintain procedures that prohibit access to client data by anyone not authorized to
use such data. This is applicable to all Contractors, staff members and volunteers who are
responsible for, or have access to client information.
3. Each Contractor must have a written confidentiality policy that:
▪ Clearly defines the agency confidentiality policy.
▪ Identifies persons authorized to view, enter, or change personally identifiable client data.
▪ Defines a legitimate interest to access confidential records.
▪ States the procedures needed to ensure that all records are updated when changes are
made.
16 | P a g eCORRECTIVE ACTION PLAN AND MONTHLY REPORTING
PURPOSE:
To set forth consistent standards for monitoring F5SJ Agreements not in full compliance with Agreement
terms.
POLICY:
Monthly Reporting and a Corrective Action Plan (CAP) are administrative procedures used to promote
success of all programs and to communicate the expectations and the consequences of not meeting
program goals. Unless otherwise stated, Monthly Reporting and a CAP will be implemented for a period
of 90 days, to be reviewed at the end of each 90-day period.
Definition of CAP:
A CAP is a plan enacted when a program has not achieved stated goals outlined in the Scope of Work
(SOW). A CAP is generally used for programs having provided service(s) for one full year. A CAP is
submitted, reviewed, and approved by F5SJ. The program must adhere to the specific quarterly milestone
targets stated in the CAP. A CAP includes monthly narrative reports on each underachieving milestone, as
well as required back-up documentation to demonstrate monthly progress. A CAP also provides an
opportunity to re-evaluate the SOW and determine when a strategy needs to be eliminated or adjusted
and determine if there are subsequent impacts to the program budget.
Each quarter, a program is evaluated on the achievement of annual target quantities, as described in the
milestones of the SOW. Milestones that can be easily prorated, are evaluated on a prorated basis (85
percent of expected target) and based on the number of months/quarters reported. Please note there
are milestones that require full achievement by the end of the first quarter.
One Quarter = 21 percent
Two Quarters = 43 percent
Three Quarters = 64 percent
Four Quarters = 100 percent (To be in full compliance with Agreement)
Cause for Corrective Action:
At any time during the term of the Agreement, an existing or new program may be placed on a CAP for
the following reasons:
▪ Due diligence has not been demonstrated in the performance of the Agreement and the
program is in jeopardy of being terminated
▪ There is misrepresentation of work completed
▪ There is lack of program oversight
▪ Work performed is not in conformance with the SOW
▪ Responses to requests or submissions of reports are not made in a timely manner on a
recurring basis
An existing program will be put on a CAP for the following reasons:
▪ It has not met the target quantity achievement rate, or after four quarters, for multi-year
funding streams, a program is not at 100 percent, without cause
▪ A service or service requirement has not yet been implemented (for example, teaching
permits are not in place or up to date, a curriculum has not been implemented, etc.)
17 | P a g e▪ A vacancy has occurred for a staff providing services that impacts a milestone for three
months or more
Extenuating Circumstances:
In the event a program experiences extenuating circumstances, they need to:
▪ Provide clarification that explains the extenuating circumstance(s) as being a result of an
acceptable cause (This will be evaluated by the assigned F5SJ CA, indicated as “other” on the
Program Progress Update form, and be determined to meet contractual requirements for the
quarter in question)
▪ Submit a SOW reporting form
Allowable SOW Revisions:
Allowable SOW Revisions may include the following situations:
▪ A subcontractor’s services were terminated
▪ The revision enhances a current strategy shown to be effective
▪ The revision coincides with an approved budget revision
▪ Extenuating circumstances have occurred
Unallowable SOW Revisions:
Unallowable SOW revisions include the following situations:
▪ An agency has not been able to hire in a timely manner (in accordance with the SOW) to provide
the services, unless good faith efforts can be documented
▪ An agency has not been able to reach targeted numbers due to insufficient outreach efforts to
provide the services
Options for Existing Programs:
If a program has the potential of being renewed another year, options include either not renewing, or
reduction of services and funding related to unmet milestones. Termination at the annual review, or at
any time during the Agreement period may be recommended. F5SJ staff may also make a
recommendation to the F5SJ Commission that the program/service is transferred to another agency (i.e.,
an agency providing similar services).
The recommendation, whether to transfer a program, terminate a program, or release a Request for
Proposal will be made by F5SJ staff based on providing continuity of services for clients, the F5SJ Strategic
Plan, and community needs.
PROCEDURE:
The F5SJ CA will review target quantity achievement for existing programs (any funded program
subsequent to year one), at each Quarterly Progress Report and site visit. The CA will notify the Primary
and Secondary Contact, in writing, that requirements are not being met if the program is not meeting
targeted quantity achievement rates, without cause. The program will be placed on a CAP.
When a program is placed on a CAP, the program will be informed, in writing. Written notification will be
addressed to the Primary and Secondary Contact via the Quarterly Progress Report, Site Visit Response
Letter, or other letter with a copy to the “next level up” per the most current Contact Hierarchy. The
response will include the following language, “Agreement funding is contingent on full compliance of
18 | P a g eAgreement. If further action is needed, further action may be taken, up to and including recommendation
for termination of Agreement.” In addition, the following will also be included:
▪ Program Progress Update form
▪ CAP form
The F5SJ CA will fill in the section marked “Issue” and “Implementation Date”, on the CAP form, and send
it to the agency. The agency will complete the “Actions” and “Resolution Dates” and submit the CAP form
back to the F5SJ CA for approval. The F5SJ CA will finalize the CAP and return it to the Primary and
Secondary Contact to be implemented for a period of 90 days, or until further notice.
The CAP only covers the milestones not being achieved. CAP reports may require additional back-up to
be submitted. The timelines for reporting (due dates) will be provided to programs in writing (due the
tenth day of the following report month, except when the tenth day falls on a weekend or holiday, then
it is the next business day).
Role of Evaluation Committee:
All programs on Monthly Reporting and CAP will be provided to the Evaluation Committee. A printed list
of all programs on CAP will be available at each Evaluation Committee meeting. Programs that continue
to demonstrate insufficient milestone achievement may be placed on the agenda for discussion at the
Evaluation Committee. Unless the Evaluation Committee directs the Executive Director to place a program
on the agenda for the F5SJ Commission meeting, the agency will not be placed on the F5SJ Commission
meeting agenda.
Definition of Monthly Reporting:
Monthly reporting is generally used for new programs in the first year of a multi-year funding stream.
Monthly Reporting consists of narrative reports on each milestone that are not meeting the targeting
quantity achievement rate. A program may remain on Monthly Reporting, if goals are not being met, yet
progress is demonstrated.
A new program may be put on Monthly Reporting after the first quarterly review for the following reasons:
▪ Program has not met target quantity achievement rate
▪ A service or service requirement has not yet been implemented
▪ A vacancy has occurred for a staff providing services that impacts a milestone
Options for New Programs:
If sufficient progress has not been demonstrated by the end of year one, (100 percent milestone
achievement, without cause) the program could start year two on a CAP (see CAP procedures). In addition,
the program may be required to renew at a reduced program and funding level.
Monthly Reporting:
For new programs placed on Monthly Reporting, the Site Visit Response Letter or the Quarterly Progress
Report Receipt will be accompanied by the Program Progress Update form and will be sent to the Primary
and Secondary Contact and copied to the “next level up” per the Contact Hierarchy. This response will
include the following language, “Agreement funding is contingent upon full compliance of Agreement. If
further action is needed, further action may be taken, up to and including recommendation for
termination of Agreement.”
19 | P a g eThe F5SJ CA will review the Monthly Report and respond via email to the Primary and Secondary Contact
to confirm that the report has been reviewed and no further clarification is needed. If clarification is
needed, the F5SJ CA will request additional information.
20 | P a g eCORRESPONDENCE AND REPORTING SCHEDULES
POLICY:
All correspondence and reports sent to F5SJ by the Contractor require Contractor’s Name, Agreement
Period, Reporting Month(s), and F5SJ assigned program or fiscal staff. Documents should be submitted
electronically to sjckids@sjgov.org, whenever possible, or unless otherwise indicated on the SOW.
Monthly Fiscal Reporting:
Agencies/Organizations that have elected monthly expenditure reimbursements are required to submit
an Itemized Budget Expenditure Report (IBER) and all required backup documentation on the last day of
each month (except when the last day falls on a weekend or holiday, then it is the next business day)
following the report month.
Quarterly Fiscal Reporting:
Agencies/Organizations that have elected quarterly expenditure reimbursements are required to submit
an IBER and all required backup documentation, on a quarterly basis, on the last day of the month (except
when the last day falls on a weekend or holiday, then next business day) following the report quarter.
Quarterly Program Reporting:
All Contractors are required to submit a Quarterly Progress Report. The required program report form
and all required backup documentation, according to the SOW, are to be submitted on the last day of the
month (except when the last day falls on a weekend or holiday, then it is the next business day) following
the report quarter.
PROCEDURE TO REQUEST AN EXTENSION OF THE REPORT DUE DATE:
Program and fiscal report extension requests are only accepted electronically. Requests must be emailed
to sjckids@sjgov.org no later than noon on the due date of the report. F5SJ retains sole discretion on the
approval of any and all extension requests and may deny an extension request, if the request interferes
with any other project timelines, schedules, or deadlines. Current schedules are posted on the F5SJ
website www.sjckids.org.
F5SJ staff will respond, in writing (email), to the request for extensions the same day received. Should the
Contractor not receive a response, they should contact the main office at (209) 953-5437 or email
sjckids@sjgov.org by 3:00 p.m. of the date submitted to ensure that their email was received in the office.
If the Contractor does not receive a written response from F5SJ, then the request for an extension is not
approved.
Extension requests should be for no more than 14 calendar days from the regularly scheduled due date
for program or fiscal reports. Extension dates may be shortened at certain times, such as at fiscal year-
end, to be determined by F5SJ. Requests for additional time may be approved in the event of extenuating
circumstances.
DOCUMENTATION AND RECORD KEEPING
21 | P a g ePOLICY:
Each Contractor, if applicable, will have a tracking/filing system and procedures in place for documenting
all client assessments/contacts, including interventions, follow-up, outreach/waiting lists, and/or other
activities.
PROCEDURE:
The Contractor staff and team members will document all services and contacts on the date of contact.
Documentation should include:
▪ Date, time, purpose, and location of contact (specify physical location, virtual, telephone, etc.)
▪ The name and title of the person making the contact
▪ Pertinent details, including the ongoing assessments, interventions, referrals, and outcomes
▪ Client responses to interventions
▪ Any other pertinent details
▪ Commonly used abbreviations, acceptable terminology
▪ The complete signature and title of the staff person entering the data on the client
Client Records:
Client records, including all copies, must be kept in a secure location or on a secure device or drive at the
program site or secure server that is locked, password protected or otherwise inaccessible to
unauthorized persons. Client records must be kept for a minimum of five years from the date of final
payment under the Agreement. Agencies have the option to scan hard copies of closed files and retain
electronic files for a minimum of up to five years, making scanned/electronic documents available to F5SJ
staff by request. In such cases, proper security and confidentiality protocol must be followed for
destruction of hard copies.
22 | P a g eEVALUATION REPORTING POLICY
PURPOSE:
To measure outcomes, as related to the goals and objectives of the F5SJ Commission and promote results-
based accountability.
POLICY:
F5SJ is committed to measuring outcomes, collecting and analyzing data to evaluate program
effectiveness. F5SJ requires each Contractor to participate in reporting and evaluation activities, which
may vary depending on the type and degree of direct services provided, the SOW, applicable Agreement
period, and other variables. Each report or data collection tool has specific instructions, including
timelines, and may require training of agency staff. Each Contractor is provided with a SOW Report form
to guide evaluation activities.
General Information:
1. Evaluation Data is submitted as part of the Quarterly and Semi-Annual Progress Report Packets.
2. Electronic transmission of the Client and Services Database, San Joaquin Treatment & Education
for Everyone on Teeth & Health (SJ TEETH), and/or Help Me Grow Database is required.
3. Electronic transmission of survey data is preferred. When originals are required, data is
submitted hard copy.
4. Evaluation Data is collected and submitted from each Lead Contractor per the SOW.
5. Out of date forms may not be accepted to fulfill the requirements of the SOW.
6. Evaluation Data is required to be retained on file as documentation of services provided, unless
otherwise specified. The Contractor will use the data sources to demonstrate that services have
been provided in accordance with the Evaluation Plan and the SOW during site visits throughout
the Agreement period. After the Agreement period, data may be stored electronically or hard
copy, for the five years required by F5SJ. Data is not required to be stored both electronically
and hard copy.
7. Contractors should make efforts to incorporate data into program planning to provide effective
community services.
23 | P a g eFOOD POLICY
PURPOSE:
To establish standards and guidelines consistent with United States Dietary Administration (USDA)
Guidelines for healthy choices of food and beverages provided at F5SJ funded events.
POLICY:
Healthy food and beverage options and portions in standard serving sizes may be offered at all F5SJ
funded meetings, presentations, seminars, and other funded events. Food and beverage purchases must
be budgeted (refer to UNALLOWABLE EXPENSES).
F5SJ strives to create conditions in which families can enjoy a healthy lifestyle. The strongest message is
often the behavior modeled to the agencies and individuals served. Current public concerns such as
obesity, diabetes, cardiovascular disease, certain cancers, and other chronic diseases affecting
communities are directly affected by nutrition and physical activity practices. F5SJ has an opportunity to
create healthier environments and convey healthy messaging by introducing appropriate nutritional
options at F5SJ events and F5SJ funded program events for which food and/or beverages are provided.
This policy was adopted from the San Joaquin County Public Health Services and has been revised to
promote alignment with existing law (AB 2084) regarding the provision of healthy beverages in childcare
settings.
Scope:
This policy is applicable for all meetings, presentations, seminars, trainings, receptions, and any other
functions for which F5SJ plans and/or provides funds. The following provisions should also be made when
providing beverages to children participating in activities such as playgroups, during childcare at parent
meetings/workshops, and other F5SJ functions. However, F5SJ funded preschool programs are not
required to modify existing school lunch provisions that abide by USDA Guidelines.
Guidelines:
1. General principles, foods and beverages purchased with F5SJ funds should:
▪ Provide variety, nutritional benefits and choice.
▪ Foods and beverages that have moderate or reduced levels of fat, saturated fat,
cholesterol, sodium or sugar, and high levels of dietary fiber are preferred.
▪ Consideration should be taken to provide only beverages and not offer food at meetings,
presentations and seminars that convene at mid-morning or mid-afternoon. If it is
decided to provide food, only fruits, vegetables and/or other healthy foods will be
offered.
2. Suggestions for foods and beverages:
a. Beverages
i. Ice water
ii. Bottle spring or sparkling water - regular or flavored with no sugar
iii. 100 percent fruit or vegetable juices - avoid large-size bottles
iv. Skim or one percent milk
v. Coffee and flavored coffees - regular and decaffeinated
vi. Tea – regular, decaffeinated, and herbal teas – hot or cold
vii. Coffee/tea creamers of skim milk, 1 percent milk or fat-free half & half
24 | P a g eviii. Water (required as a beverage option at all functions where beverages are provided)
b. Snacks
i. Fresh fruit – cut up and offered with low-fat yogurt dip
ii. Raw vegetables – cut up and offered with fat-free or low-fat dressing or salsa dip
iii. Nuts – 1 ½ oz. servings of almonds, pecans, walnuts, or peanuts
iv. Pretzels – served with sweet mustard dip
v. Tortilla chips – baked and offered with salsa dip
vi. Popcorn – lower fat (5g fat or less/serving)
vii. Whole grain crackers – (5g fat or less/serving)
viii. Angel food cake with fruit topping
ix. Beverages from “Beverages” list
c. Breakfast Meetings
i. Fresh fruit
ii. Yogurt – flavored non-fat or fat-free
iii. Bagel – 3 ½ diameter or less; serve with low-fat cream cheese, jam, or jelly
iv. Muffins – small or mini (5g fat or less/muffin)
v. Fruit bread (5g fat or less/1 oz. slice) – skip serving with butter or margarine
vi. Granola bars – low-fat (5g fat or less/bar)
vii. Beverages from “Beverages” list
d. Catered Lunches and Dinners
i. Select an entrée with no more than 12g to 15g fat
ii. Offer a vegetarian entrée
iii. Avoid fried foods or cream sauces
iv. Include fresh fruit
v. Include at least one vegetable – fresh or cooked with no butter or cream sauce
vi. Serve salads with dressing on the side – offer at least one low-fat or fat-free dressing
vii. Include whole grain breads-skip the butter or margarine
viii. Choose lower fat/lower calorie desserts: cut up fresh fruit and offer with low-fat fruit
yogurt dip, low-fat ice cream or frozen yogurt, sherbet or sorbet, angel food cake with
fruit topping
ix. Beverages from “Beverages” list
e. Catered Receptions
i. Fresh fruit – cut up and offered with low-fat yogurt
ii. Raw vegetables – cut up and offered with fat-free or low-fat dressing, salsa, or tofu dip
iii. Raw vegetable salads marinated in fat-free or low-fat dressing
iv. Vegetable spring rolls – fresh, not fried
v. Vegetable sushi rolls
vi. Cheese – cut into ¾” squares or smaller
vii. Whole grain crackers – 5g fat or less/serving
viii. Salmon (poached or steamed, no breading)
ix. Lean beef or turkey – 1oz slices
x. Cake – cut into small 2” squares
xi. Angel food cake slices with fruit topping
xii. Beverages from “Beverages” list
3. Selecting Foods Lower in Fat and Calorie:
25 | P a g e▪ Ask caterer to use lower fat or fat-free preparation method, to serve added fats like
dressings or condiments on the side and to provide you with the number of calories and
fat grams in entrée, if available
▪ Select lower fat entrée – approximately 12g to 15g fat or less
▪ Select items that are broiled, baked, grilled, or steamed rather than fried or sautéed
▪ Choose entrée in tomato-based sauces rather than cream, butter, or cheese sauces
▪ Include fresh fruit
▪ Include at least one vegetable – fresh or cooked, with no butter or cream sauces
▪ include whole grain breads – skip the butter or margarine
▪ Choose lower fat and calorie dessert: cut up fresh fruit and offer with low-fat fruit yogurt
dip, low-fat ice cream or frozen yogurt, sherbet or sorbet, angel food cake with fruit
topping.
26 | P a g eLEAD AGENCY RESPONSIBILITIES
PURPOSE:
To establish lead agency performance responsibilities.
POLICY:
The lead agency is responsible to ensure that all funded subcontractor reports, both fiscal and program,
are reviewed, corrected and recommended for approval prior to submittal to F5SJ. All issues involving the
lead agency or subcontractor must be directed to F5SJ via communication through the lead agency.
Lead Agency Requirements:
1. Ensure subcontractors use the IBER to verify that all YTD figures are correct and that no single
line-item is in danger of exceeding the budgeted allocation.
2. Ensure all subcontractors are meeting program goals and reporting expenditures accurately and
as budgeted
3. Ensure all subcontractors are adhering to the established policies and procedures as outlined in
this Contractor Policies and Procedures Manual.
4. Review and pre-approve IBER reports, and other budget requests submitted by the subcontractor
before forwarding to F5SJ.
5. Ensure copies of F5SJ updates are given to all subcontractors and that subcontractors understand
the material distributed, as new policies arise.
6. Submit budget revision requests with the IBER and on a separate form to avoid any delay. The
lead agency will then submit a signed copy of the Subcontractor Budget Revision Request for final
approval.
7. Notify the subcontractor of the approval and effective date for the Budget Revision, following
approval of a subcontractor Budget Revision request. If a subcontractor budget revision is not
approved, a letter explaining the denial will be sent to the lead agency, who will notify the
subcontractor of the denial.
8. Provide subcontractor with site visit letters.
PROCEDURE:
The following first period documents are to be submitted by the subcontractor and kept on file by the
lead agency (if there are changes from the previous year):
▪ Organization Chart
▪ Job Descriptions and Staff Qualifications
▪ Indirect Cost Rate Plan
▪ Monthly/Quarterly Expenditure Report Backup Documentation Affidavit (one per
Agreement period)
▪ Monthly/Quarterly Expenditure Report Fiscal System Affidavit
The following subcontractor documents are to be submitted by the lead agency directly to F5SJ staff:
▪ Memoranda of Understanding (MOU) or original Agreement with the lead agency
▪ Subcontractor Inventory Reports
As a reminder, San Joaquin County (SJC) requires submittal of insurance certificates from the lead agency
only, not the subcontractor, as outlined in the agency’s Agreement with SJC. The requirement for the
subcontractor to submit appropriate insurance certificates to the lead agency is subject to the policy and
procedures of the respective lead agency.
27 | P a g eYou can also read
