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EFAP-T Section 9

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EFAP-Tribal Procedures Manual Section 9: Program and Compliance Management

9.1 Tribal Lead Agency Program Management

  1. Award amount based on the availability of funds and county allocation formula. 
    1. Awards are based on the amount of EFAP funds available, and the allocation formula approved by Food Assistance.
    2. If there is a reduction or increase in the amount of program funds available, Food Assistance may reduce or increase the amount of a Tribal Lead Agency's original award.
  2. Expenditures are limited by the Agreement.
    1. Funds are allocated to each tribe based on the tribe’s declared tribal enrollment prior to the beginning of the biennium, by state fiscal year. Expenditures are limited to the amounts on the Agreement face sheet for each state fiscal year, even though Agreements cover a two-year period.
      1. Funds not spent in the first year may not be carried over to the second year of the Agreement.
      2. Second-year funds must not be spent in the first year.
  3. EFAP is a reimbursement program.
    1. Costs are reportable for the month in which the expenditures incurred, and goods must be received prior to reimbursement.
    2. Sub Agencies must provide their Tribal Lead Agency with all requested backup documentation of costs incurred and goods must be received prior to reimbursement.
    3. The Tribal Lead Agency must reimburse their Sub Agencies before requesting reimbursement from Food Assistance.
  4. Funds may be reallocated among food pantries within a county.
    1. At any time during the Agreement, the Tribal Lead Agency or participating tribal Food Pantry may request a reallocation of funds if the need among the existing participating Food Pantries changes.
      1. Reallocations among Food Pantries do not need the permission of Food Assistance; however, Tribal Lead Agencies must notify Food Assistance in writing, explaining the reason for the reallocation, and provide verification that the parties involved were in agreement.
    2. If the reallocation is due to a Food Pantry closure or termination, then the Tribal Lead Agency must follow the process as outlined in Section 9.3 Tribal Lead Agency Compliance Management. 
  5. Process for adding new Food Bank (s) and Food Pantries, including reallocation of funds due to closures or terminations.
    1. See Section 9.3 Tribal Lead Agency Compliance Management.
  6. Tribal Lead Agencies must have and maintain the required documentation for Sub Agencies on file.
    1. See Section 4.1 Eligibility Criteria and Capabilities for Tribal Lead Agencies.
  7. Tribal Lead Agencies must provide Sub Agencies with program information.
    1. Tribal Lead Agencies must:
      1. Pass-through and/or amend program information that affects the management of EFAP to its Sub Agencies. 
      2. Offer technical assistance to help Sub Agencies carry out their EFAP obligations.
      3. Provide EFAP updates to Sub Agencies, which may include:
        1. Regularly scheduled Sub Agency meetings.
        2. Quarterly email updates.
        3. Updates provided by Food Assistance.
  8. Tribal Lead Agencies may require Sub Agencies to attend meetings or trainings to help carry out their EFAP obligations.
    1. Required training.
    2. Required meetings.
  9. Tribal Lead Agencies and their Sub Agencies must provide match.
    1. Tribal Lead Agencies and Sub Agencies must at least match 35 percent of their EFAP Agreement with funds from other sources.
    2. At least 50 percent of the minimum required match must be cash (hard match).
      1. If a tribal sub agency does not have sufficient cash match, they may match EFAP-Tribal funds with at least two hundred percent (200%) of in-kind donations of food, labor, transportation, and the like (soft match).
    3. The balance of the required match may be in-kind contributions (soft match). Soft match may include the value of foods from TEFAP, CSFP, FDPIR, and other programs serving EFAP clients and Food Pantries.
    4. These requirements pertain to tribes that participate in the Food Pantry Program and/or Voucher Program.

9.2 Food Assistance Program Management

  1. Award amount based on the availability of funds and county allocation formula.
    1. Awards are based on the amount of EFAP funds made by the state legislature, and the allocation formula approved by Food Assistance.
    2. If there is a reduction or increase in the amount of program funds available, Food Assistance may reduce or increase the amount of a Tribal Lead Agency's original award.
    3. Unless otherwise specifically identified in the Agreement, or as Amended, funds must be treated in accordance with EFAP regulations.
      1. Any discretionary funding provided will be done so by Agreement or by Amendment and clearly outline the purpose and use of the funding.
  2. Food Assistance must have and maintain all required documentation for Tribal Lead Agencies on file.
    1. Be advised that all documentation is considered public information and subject to public disclosure.
  3. Food Assistance must provide Tribal Lead Agencies and other partners with program information.
    1. At a minimum, this includes:
      1. Passing-through and/or amending program information that affects the management of EFAP-Tribal to its Tribal Lead Agencies.
      2. Offering technical assistance to help Tribal Lead Agencies carry out their EFAP obligations. This includes information on program-related guidelines, helping to identify other resources, offering information on best practices, and assistance with fiscal issues.
      3. Conducting regularly scheduled general check-in meetings for Tribal Lead Agencies, Tribal Sub Agencies, and the hunger relief community.
      4. Provide EFAP updates to Tribal Lead Agencies, which may include:
        1. Regularly scheduled monthly Tribal Lead Agency Meetings.
        2. Sub Agency meetings.
        3. Topic specific meetings.
        4. Quarterly email updates.
        5. Other updates provided by Food Assistance.
      5. Updating the Food Assistance webpage.
      6. Sharing updates through the Washington Food Coalition (WFC).
      7. Active involvement with the WFC Food Assistance Advisory Committee.
      8. Presentations at the WFC annual conference.
      9. Annual EFAP report.
  4. Food Assistance may require Tribal Lead Agencies to attend meetings or trainings.
    1. Notification of required attendance at meetings will be sent by Food Assistance. These may include meetings for:
      1. Updating the Tribal Lead Agency on EFAP requirement clarifications.
      2. Providing information on changes in legislation affecting EFAP.
      3. Providing training that would result in better service to clients.
      4. Planning sessions.
  5. Determining in-kind values. In-kind contribution is the value that is placed on donated services, materials, equipment, food, vouchers, and other, as determined by EFAP, or fair market value as determined by the Tribal Lead Agency and Sub Agency in conjunction with their CPA or tax advisor. The determination is based on the following:
    1. Services/Labor – Identify the number of hours provided, and the hourly value (to be determined by the agency, based on a fair market salary, minimum wage, or Food Assistance's current suggested biennial value of $18.74 per hour. Calculate the total for each volunteer.
      1. This in-kind labor rate is used solely for EFAP closeout reporting. Agencies may use this rate, or a Fair Market Value rate, established in conjunction with their CPA or tax advisor as per the EFAP Procedures Manual and Agreements.
      2. The EFAP in-kind labor rate is to be used internally by agencies and is not a rate to be used in receipting donors for their in-kind donations of labor. Donors are responsible for determining the fair market value of their own donations in conjunction with their own personal accountants or tax advisors.
    2. Equipment/Supplies – Use the amount the donor has declared. If not available, estimate a fair market value.
    3. Transportation – Donated volunteer mileage is calculated at the current state rate. Use the actual cost of donated transportation as declared by commercial carriers.
    4. Food – Estimate a fair market value or use Food Assistance’s current suggested biennial value of $2.16 per pound.
      1. This in-kind food donation value rate is used solely for EFAP closeout reporting. Agencies may use this rate, or a fair market value rate, established in conjunction with their CPA or tax advisor as per the EFAP Procedures Manual and Agreements.
      2. The EFAP in-kind food donation value rate is to be used internally by agencies and is not a rate to be used in receipting donors for their in-kind donations of food. Donors are responsible for determining the fair market value of their own donations in conjunction with their own personal accountants or tax advisors.
      3. For EFAP reporting, FDPIR, TEFAP and CSFP commodities can be valued as in-kind match at the rate of $2.16 per pound. However, for audit purposes, FDPIR, TEFAP and CSFP commodities must be valued based on the actual product cost of each commodity received based on the current USDA price list published by Food Assistance each October 1.

9.3 Tribal Lead Agency Compliance Management

  1. Conduct program reviews of Sub Agencies’ performance.
    1. Tribal Lead Agencies must review Sub Agencies' activities to assure they are following EFAP-Tribal policies. This includes:
      1. Verifying that the Sub Agency meets all criteria listed in the Agreement, Procedures Manual, and other required instructions.
      2. Verifying all EFAP expenditures are appropriate and reported monthly, and that other applicable policies are followed.
    2. Tribal Lead Agencies must conduct program site reviews of Sub Agencies at least once per Agreement period (once every other year).
    3. Tribal Lead Agencies must produce a written report summarizing their program review visits with any corrective action needed.
    4. Tribal Lead Agencies must follow up on any findings and make a notation in the Sub Agency’s file of any corrective action.
    5. Tribal Lead Agencies must notify Food Assistance of any significant corrective action, this does not include items listed as required general follow-up.
    6. Tribal Lead Agencies must ensure that their review document, at a minimum, meets the standards set forth in the Sub Agency Agreement.
      1. Food Assistance must approve the review document that the Tribal Lead Agency is using for their Sub Agency reviews.
  2. Tribal Lead Agencies must take action to correct Sub Agencies’ performance.
    1. The Tribal Lead Agency must take action to correct any Sub Agency noncompliance in conformance with the program requirements for each program under which the Sub Agency receives food or funds.
    2. The Tribal Lead Agency may give a Sub Agency a specific period of time to comply and must follow the process for suspending or terminating a Sub Agency as outlined in the Agreement when a Sub Agency does not comply within that given timeframe.
  3. Tribal Lead Agencies may suspend or terminate the Sub Agency Agreement in part or in whole.
    1. Tribal Lead Agencies may terminate or suspend the Agreement, with 30 days' advance notice, as outlined in the Tribal Lead Agency's corrective action policies and as the Agreement allows.
      1. Regardless of whether or not the termination is for cause or at will.
    2. Tribal Lead Agencies may elect to recapture and reallocate unclaimed funds.
  4. The Tribal Lead Agency may select a new Food Bank due to closures or terminations.
    1. If a Food Bank vacancy occurs during an Agreement period, the Tribal Lead Agency will have flexibility in the selection process to mitigate gaps in service.
      1. The Tribal Lead Agency will determine any prospective Sub Agency’s eligibility prior to selection.
      2. The Tribal Lead Agency will enter into an Agreement with the new Sub Agency and notify Food Assistance of the outcome of the meeting.
  5. May reallocate funds when a Sub Agency closes or is terminated.
    1. During the agreement period, the Tribal Lead Agency may reallocate the funds if it can adequately provide Food Assistance with documentation of the change in need.
      1. All tribes involved in the transfer of funds must approve of the transfer with the exception of termination of a tribe for noncompliance or nonperformance and that tribe’s remaining funds are being reallocated.
      2. Tribal Lead Agencies must notify Food Assistance in writing the result of the reallocation, and if applicable, provide verification that the parties involved were in agreement of reallocation.

9.4 Food Assistance Compliance Management

  1. Food Assistance will conduct an initial Risk Assessment prior to executing Agreements.
    1. Prior to executing Agreements, Tribal Lead Agencies will have completed FA Accounting System and Financial Capability Questionnaire (AGR-2383).
    2. The Questionnaire must be submitted to Food Assistance and used to initially assess risk based upon responses provided.
      1. The Tribal Lead Agency must have submitted at least one Financial Capability Questionnaire within the last 12-months. One completed Questionnaire is required per year, regardless of the various types of funding an entity receives. 
    3. Responses will be scored according to the Questionnaire’s scoring rubric and total score will be rated as low, medium, or high-risk.
    4. Tribal Lead Agencies with a High-Risk rating will require additional program reviews and more in-depth monitoring.
  2. Food Assistance will monitor Agreements.
    1. Food Assistance will conduct monitoring of Tribal Lead Agencies by evaluating monthly submitted expenditure reports and responses to other requests that include program reviews on-site, virtual, or by a desk review. At any time, Food Assistance may request a Tribal Lead Agency to send in all supporting documentation for expenditures.
    2. Food Assistance will conduct program reviews every four years with Tribal Lead Agencies who are performing at an adequate level.
      1. Serious performance issues will merit additional program reviews.
      2. High risk ratings will merit additional program reviews and/or more in-depth monitoring processes to ensure compliance.
    3. Tribal Lead Agencies with EFAP budgets of less than $40,000 per year may receive desk reviews in lieu of on-site/virtual reviews unless there are serious performance issues.
  3. Food Assistance will conduct Tribal Lead Agency program reviews.
    1. Food Assistance will schedule program reviews prior to the visit by sending a written notice by email to the program and fiscal staff who will be involved in the visit. Written notice may also be sent to the director.
    2. Food Assistance will request Tribal Lead Agencies to submit documentation prior to the review.
    3. A copy of the FA Tribal Lead Agency Review (AGR-2242) will be sent to the Tribal Lead Agency’s signature authority, as well as applicable program and fiscal staff. Food Assistance will keep a copy of the review on file.
    4. If necessary, Food Assistance will develop an action plan with the Tribal Lead Agency, including due dates of responses, to ensure that identified findings are addressed in a timely and appropriate manner.
    5. Food Assistance reserves the right to visit any of the Tribal Lead Agencies Sub Agencies in order to evaluate the Tribal Lead Agency’s ability to effectively administer EFAP at the local level.
  4. Food Assistance may recapture and reallocate Agreement funds.
    1. Throughout the Agreement, Food Assistance monitors the Tribal Lead Agency’s performance. If Tribal Lead Agencies fail to achieve 65 percent of their yearly performance goals (expenditures and activities) stated on the Agreement face sheet by March 31 or the date designated by Food Assistance, then Food Assistance may reduce funds available based on actual performance and negotiation between Food Assistance and the Tribal Lead Agency.
      1. Tribal Lead Agencies may reallocate funds from one of its Sub Agency Food Pantries to another if a Sub Agency does not claim, or only partially spends, its portion of the allocated funds.
    2. Food Assistance may recapture unclaimed funds if a Tribal Lead Agency does not submit expenditure reports on time.
      1. If the Tribal Lead Agency fails to file monthly expenditure reports for three consecutive months, then Food Assistance may elect to terminate the Agreement.
  5. Food Assistance may suspend or terminate the Agreement in part or in whole.
    1. Food Assistance must follow the process for termination or suspension as provided in the General Terms and Conditions in the Agreement.
    2. Food Assistance may terminate or suspend the Agreement, with 30 days’ advance notice, as outlined in the Tribal Lead Agency’s corrective action policies and as the subcontract allows.
      1. Regardless of whether the termination is for cause or at will.
    3. If Food Assistance determines to terminate because the Tribal Lead Agency fails to comply with the Agreement (termination for cause), Food Assistance may provide notice and offer the Tribal Lead Agency the opportunity to correct the noncompliance. The notice will provide a time by which the Tribal Lead Agency must return to compliance.
    4. If the Tribal Lead Agency fails to correct the noncompliance within the time Food Assistance allows, Food Assistance may then immediately terminate the Agreement.
  6. Food Assistance will select a new Tribal Lead Agency during an Agreement period if the Tribal Lead Agency closes or is terminated.
    1. If a Tribal Lead Agency vacancy occurs during an Agreement period, a new Tribal Lead Agency may be selected for the remainder of the Agreement period – as applicable. Note: this only applies to Tribal Lead Agencies with Sub Agencies. The process will be as follows:
      1. Food Assistance will contact the Sub Agencies to inform them that a new Tribal Lead Agency must be selected and seek input on prospective Tribal Lead Agencies (and Food Bank, if applicable).
        1. Food Assistance will determine the selection process and make the final selection for the new Tribal Lead Agency when a Tribal Lead Agency closes or is terminated.
          1. Food Assistance may also opt to select the new Tribal Lead Agency and Food Bank(s) based on a two-thirds majority vote of eligible agencies.
        2.  If a Tribal Lead Agency is also a Food Bank, then Food Assistance will select a new organization or multiple organizations to fill those roles.
        3. Food Assistance will determine any prospective Tribal Lead Agency’s eligibility prior to selection.
      2. Food Assistance will enter into an Agreement with the new Tribal Lead Agency.
      3. The new Tribal Lead Agency will enter into new Agreements with the Tribal Sub Agencies and with the continuing or new Food Bank, as applicable.

9.5 Tribal Lead Agency Dispute Policy

  1. When a dispute arises between the Tribal Lead Agency and a Sub Agency that cannot be resolved by direct negotiation, the Sub Agency must follow the Tribal Lead Agency’s dispute process. The Tribal Lead Agency dispute resolution process may not include WSDA or Food Assistance as the arbitrator. Food Assistance is available to review and provide feedback to Tribal Lead Agencies when they are dealing with a Sub Agency dispute.
  2. The Tribal Lead Agencies must establish a dispute process.
    1. The Tribal Lead Agency must establish a policy for when disputes arise between the Tribal Lead and a Sub Agency. The Tribal Lead Agency must have their dispute process completed no later than 30 days after the execution of the Agreement. This policy must be approved by Food Assistance.
  3. The Tribal Lead Agencies must provide this dispute process in writing to all Sub Agencies.
    1. The Tribal Lead Agencies must provide a copy of the dispute process to all Sub Agencies within 45 days of the Agreement execution date.
  4. Dispute resolution resources:
    1. Authorized by the state legislature in the 1984 Court Improvement Act, Dispute Resolution Centers (DRCs) help create solutions to resolve disagreements by offering voluntary, confidential, informal, and non-adversarial alternatives to the legal system. Each DRC is a private, nonprofit organization or a service of local government with community-based facilitators. A list of DRC’s by county may be found at: https://www.courts.wa.gov/court_dir/?fa=court_dir.dispute 

9.6 Food Assistance Dispute Policy

  1. When a dispute arises between Food Assistance and the Tribal Lead Agency that cannot be resolved by direct negotiation, the Tribal Lead Agency may a request review by WSDA's Director, who may designate another person (designee) to hear the dispute, as follows:
  2. Disputing a Food Assistance decision.
    1. Tribal Lead Agencies may appeal to Food Assistance any substantive decision of Food Assistance to deny, award, recapture, reallocate, suspend, or terminate funds that are believed to be to be unfair, unreasonable, or have a major adverse impact on local delivery of services.
    2. Food Assistance must provide Tribal Lead Agencies with a copy of the dispute policy prior to or with any substantive decision.
    3. Any decision of Food Assistance to deny, award, recapture, reallocate, suspend, or terminate funds will stand until the dispute review process is completed and will only be modified or reversed as a result of the dispute review process.
  3. The Tribal Lead Agency dispute review process.
    1. The request must:
      1. Be written;
      2. Identify the Tribal Lead Agency’s name, address, and Agreement number;
      3. State the disputed issue(s);
      4. State each party’s position;
      5. Be sent to the Director, with a copy to the Food Assistance Program Manager within 15 working days after the parties agree that they cannot resolve the issue.
    2. The Food Assistance Program Manager must submit a written answer to the request to both the Director or the Director’s designee and the requestor within 10 working days.
    3. The Director or Director’s designee must review the written statements and provide a decision in writing to both parties within 15 working days. At the discretion of the Director or Director’s designee, the time in which to make a decision may be extended upon notice to both parties.
    4. The decision of the Director or the Director’s designee will be the final agency decision.
    5. The parties must attempt to resolve the dispute under this policy and as in the Disputes section of the Agreement, before filing a claim in any tribunal.
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Section 8
Revision History
Section 9 Revision 2024-07-01