Federal Assistance Program File Procedures Flow Process

This image is a flow chart that shows the process for FAP File Procedures.

March 2011

• At the top there are five headings: Programs, Financial Advisors, Contribution Coordinator, Others, Executives
• Under Programs the first box says: Program's funding proposal presented to Contribution Coordinator (CC), Preliminary consultations take place
• This box leads to a box that spans all five headings that says: If required, further discussions between Program, Financial Services and Procurement to decide on most appropriate funding mechanism Contract versus Contributions versus Other (IS, budget transfer . . .)?
• This box leads to three boxes:
  • The box on the left under Financial Advisor says: Other - Financial Management Advisor (FMA)
  • The box in the middle under Contribution Coordinator says: Contribution - CC to provide Program with Request for Funding (assign application ID#)
  • The box on the right under Others says: Contract - Procurement
• The box in the middle leads to a box that says: Program shares application with potential recipient and jointly fill out form
• This box leads to a box under Financial Advisor that says: CC to consult with Resource Advisor (RA) / FMA's on all financial issues
• This box leads to a box under Contribution Coordinator that says: Receive completed request for funding
• This box leads to a box under Contribution Coordinator that says: Capture tombstone information into contribution database
• This box leads to a box under Contribution Coordinator that says: File Assessment - Verify program information, Assess client and project eligibility, Review expenses and revenues
• This box leads to a box under Contribution Coordinator that says: Prepare recommendation approval form (RAF) with adequate justification and BN to EVP
• This box leads to a box that says: RA / FMA transfer funds to contributions, commits funding and provides commitment number
• This box leads back to the box under Contribution Coordinator that says: Prepare
• recommendation approval form (RAF) with adequate justification and BN to EVP
• This box leads right to a box under Executives that says: Route RAF for appropriate signing authorities - VP, FAIT, EVP
• This box leads to a box under Contribution Coordinator that says: CC request cash flow information and produces contribution agreement
• This box leads to a box on the right under Others that says: If necessary review contribution agreement with procurement and legal
• This box leads back to the box under Contribution Coordinator that says: CC request cash flow information and produces contribution agreement
• This box leads to a box under Programs that says: Program reviews agreement and sends 2 copies to recipient for signature
• This box leads in two directions:
  • On the right:
    • This box leads to a box on the left under Contribution Coordinator that says: CC receives an original copy countersigned by program to put to file
    • This box leads to a box under Contribution Coordinator that says: Assure follow-up with program is done to obtain final results and close file
    • This box leads to a box under Others that says: Proactive Disclosure for items greater than $25K / ATIP /IM and IT
  • Underneath:
    • This box leads to a box under Programs that says: Program submits initial request for funding from recipient bases on cash flow requirement
    • This box has an arrow saying "Initial Advance" which leads to a box on the right under Contribution Coordinator that says: Initial Advance - CC to review FAP advance request form
    • This box leads to a box on the right under Others that says: A/P require copy of signed contribution agreement, FAP Advance Request signed Section 34 by Program Manager and initialled by CC
    • Under these boxes is a note that says: *Prepayments may be releases based on TBS Transfer Payment Policy and applicant's cash flow requirements
  • Underneath:
    • This box leads to a box under Programs that says: Program receives cash flow forecast, statement of revenue and expenses and completed FAP Payment Claim Form with eligible invoices
    • This box has an arrow saying "Subsequent Payments" which leads to a box on the right under Contribution Coordinator that says: Subsequent Payment(s) - CC to review documentation and reconcile payments made versus eligible claims received. CC to recommend subsequent payment amount(s)
    • This box leads to a box on the right under Others that says: A/P require Payment Claim with eligible invoices signed Section 34 by Program Manager and initialled by CC
  • Underneath:
    • This box leads to a box under Programs that says: Program receives final report, statement of revenue and expenses, FAP Payment Claim form with eligible
    • This box has an arrow saying "Final Payment" which leads to a box on the right under Contribution Coordinator that says: Final Payment - CC to review documentation and reconcile payments made versus eligible claims received. CC to recommend final payment amount
    • This box leads to a box on the right under Others that says: A/P require Payment Claim with eligible invoices signed Section 34 by Program Manager and initialled by CC; Final 10% Holdback
    • Under this box it says: If payment is greater than $50,000, QA - High (before release); if payment is less than $50,000, QA - medium/low (sample pop'n)