RES 2000-1774 - Agmt with Douglas county for lead-based paint hazard control program funding 0/77
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City of Omaha O M AH A`" C�E ) a Robert C.Peters
Acting Director
Hal Daub,Mayor June 6 2000
Honorable President
and Members of the City Council,
The attached proposed Resolution approves an Inter-Local Agreement between the City of
Omaha and Douglas County, for Fiscal Year 1999 HUD Lead-Based Paint Hazard Control
Program funding and cash match in the amount of $610,580 to be used to address lead-based
paint hazards for low income households primarily in a nine zip code area of east Omaha. Under
this Inter-Local Agreement, the Douglas County Health Department would administer the Lead-
based Paint Hazard Control Program with monitoring and technical assistance from the City
Planning Department.
As you may recall, the City of Omaha has been awarded grant funding of$2,000,000 under the
U. S. Department of Housing and Urban Development Lead-Based Paint Hazard Control
Program. On December 14, 1999, by Resolution No. 3248, the Omaha City Council accepted
and authorized the Mayor to execute the U. S. Department of Housing and Urban Development
Lead-Based Paint Hazard Control Program Grant Award Document: NELHB0142-99 and further
specified that the City match of$100,000 shall be paid from the contingent liability reserve fund.
The City of Omaha Planning Department prepared the successful Lead-based Paint Hazard
Control Grant proposal in cooperation with the Douglas County Health Department, proposing a
cooperative arrangement for implementing the Lead-based Paint Hazard Control Program. This
partnership is designed to bring together the housing expertise of the City of Omaha Planning
Department and the public health expertise of the Douglas County Health Department to address
the problem of childhood lead poisoning in Omaha.
The proposed Inter-Local Agreement will formally establish the cooperative arrangement
between the City of Omaha Planning Department and the Douglas County Health Department 1
for the purpose of implementing the Lead-based Paint Hazard Control Program. The program
will be effective for a 36-month period beginning January 1, 2000 and may be extended with
approval from the HUD Office of Lead Hazard Control. The City Planning Department will
collaborate with the Douglas County Health Department on any changes to the lead hazard
control program work plan that may be necessary to successfully accomplish this program.
Honorable President
and Members of the City Council
Page 2
We urge your favorable consideration of this Resolution.
Sincerely, Referred to City r • ncil f Co ideration:
71'1" 1717 5 AVra
Robert C. Peters Date ayor's Office/Title 40 5 Date
Acting Planning Director
Approved As to Funding:
AII lil.41;4/4.) „5/9 00
Stanley P. Ti Date
Acting Finance Di ector
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•
•
INTER-LOCAL AGREEMENT
THIS AGREEMENT is entered into by and between the City of Omaha, a Municipal
Corporation in Douglas County, Nebraska (sometimes hereinafter referred to as "City") and
Douglas County, (sometimes hereinafter referred to as "Contractor") on the terms, conditions
and provisions as set forth below:
? RECITALS:
WHEREAS, the City of Omaha is a municipal corporation located in Douglas County,
Nebraska, and is organized and exists under the laws of the State of Nebraska,and is authorized
and empowered to exercise all powers conferred by the State constitution, laws, Home Rule
Charter of the City of Omaha, 1956, as amended, and,local ordinances including, but not limited
to,the power to contract; and,
WHEREAS, the Douglas County is an entity of local government, and is organized and
exists under the laws of the State of Nebraska, and is authorized and empowered to exercise all
powers conferred by the Nebraska State constitution, laws and local ordinances including, but
not limited to,the power to contract; and,
WHEREAS, the City of Omaha has been awarded grant funding of$2,000,000 under the
U. S. Department of Housing and Urban Development "Lead-Based Paint Hazard Control
Program", for a 36-month period effective January 1, 2000; and,
WHEREAS, the grant proposal included $100,000 cash match from the City of Omaha
and $125,000 in-kind match from Douglas County; and,
WHEREAS, on December 14, 1999, by Resolution No. 3248, the Omaha City Council
accepted and authorized the Mayor to execute the U. S. Department of Housing and Urban
Development Lead-Based Paint Hazard Control Program Grant Award Document: NELHB0142-
99 and further specified that the City match of$100,000 shall be paid from contingent Liability
Reserve Fund 104; and,
WHEREAS, City of Omaha Planning Department prepared the successful Lead-based
Paint Hazard Control Grant proposal in cooperation with the Douglas County Health
Department, proposing a cooperative arrangement for implementing the Lead-based Paint
Hazard Control Program; and,
WHEREAS, this partnership will bring together the housing expertise of the City of
Omaha Planning Department and the public health expertise of the Douglas County Health
Department to address the problem of childhood lead poisoning in Omaha; and,
WHEREAS, in order to formally establish the cooperative arrangement between the City
of Omaha Planning Department and the Douglas County Health Department for the purpose of
implementing the Lead-based Paint Hazard Control Program.
NOW, THEREFORE, in consideration of these mutual covenants Douglas County and
the City of Omaha do hereby agree as follows:
SECTION 1. DEFINITIONS -ABBREVIATIONS
1.1 "City" shall mean-the City of Omaha, a Nebraska Municipal Corporation.
1.2 "Contractor" shall mean - Douglas County, 1819 Farnam Street, Omaha,
Nebraska.
1.3 "Director" shall mean -the Planning Department Director of the City of Omaha.
1.4 "Recipient" shall mean-the City of Omaha.
1.5 "Subrecipient" shall mean - a public entity receiving an allocation of Lead-based
Paint Hazard Control Funds to undertake eligible activities. In this Inter-Local
Agreement, the subrecipient is Douglas County.
1.6 "HUD" shall mean - the U.S. Department of Housing and Urban Development,
Office of Lead-based Paint Hazard Control, 490 East L'Enfant Plaza, Suite
P3206, Washington, D. C. 20024.
1.7 "Lead-based Paint Hazard Control Program"- shall mean- the program conducted
under the provisions of the Lead-based Paint Hazard Control Grant Program
NOFA — Federal Register/Vol. 64, No. 38/page 9699, Friday, February 26,
1999/Notices. (Exhibit"A", attached)
1.8 "Lead-based Paint Hazard Control Funds" shall mean - the portion of the Lead-
based Paint Hazard Control Program funds awarded to the City and cash match to
be made available to the Contractor during the 36-month grant period in an
amount not to exceed $610,580 subject to the terms, conditions, and requirements
of this Inter-Local Agreement.
1.9 "DCHD" shall mean—the Douglas County Health Department.
1.10 "HCD" shall mean — the Housing and Community Development Division of the
City of Omaha Planning Department.
1.11 "Grant Award Document" shall mean — the HUD Lead-based Paint Hazard
Control Assistance Award Instrument No. NELHB0142-99, including all items
incorporated by reference (Exhibit "B", attached), and all subsequent Award
Amendments that may be approved by HUD and accepted by the DCHD and the
City of Omaha.
2
1.12 "Management and Work Plan" shall mean — the Management and Work Plan
prepared as a condition of the Grant Award Document and approved by HUD
(Exhibit "C, attached) and all subsequent amendments that may be approved by
HUD.
1.13 "Office of Lead Hazard Control Grantee Quarterly Progress Report" shall mean—
the Quarterly Progress Report required by HUD. (Exhibit"D, attached)
SECTION 2. CONDITIONS OF THIS AGREEMENT
2.1 The City agrees to make available to Contractor Six Hundred Ten Thousand Five
Hundred and Eighty Dollars ($610,580) Lead-based Paint Hazard Control Funds
for the purposes set forth in this Inter-Local Agreement, and as detailed in Exhibit
"E"DCHD Budget, incorporated herein by this reference.
2.1.1 Funding pursuant to this Section shall be contingent upon receipt of and
subject to the availability of Lead-based Paint Hazard Control Funds in
amounts adequate to meet any contractual obligations in force upon the
date of execution of this Inter-Local Agreement as well as this proposed
obligation. Should adequate funding not be available, the City shall notify
the Contractor as soon as reasonably possible. At this time, the
responsibilities of the Contractor under Section 3 of this Inter-Local
Agreement shall be released, the provisions of Section 5, Paragraph 5.10
will be exercised and this Inter-Local Agreement will be terminated.
2.1.2 Reimbursement shall be on a monthly basis for the attached budget line
item expenditures. Payments shall be made on the basis of monthly
requests for payment and shall be reimbursements for actual documented
expenditures. See Exhibit "E", DCHD Budget.) Line item amounts may
be adjusted as the progress of the work may require, subject to the
conditions of the Grant Award Document, Section 22.
2.1.3 Monthly billing reports shall be submitted to the Director not later than
fifteen (15) days following each monthly billing period. Quarterly
progress reports shall be submitted thirty days after the completion of each
quarter.
2.1.4 The City shall review and monitor the monthly billing reports and the
required Quarterly Reports that identify the progress/accomplishments of
Contractor on the activities included in this Inter-Local Agreement and on
contracts entered into with third parties pursuant thereto. Key City
personnel as identified in the Management and Work Plan shall meet
regularly with DCHD personnel to provide technical assistance regarding
program activities.
3
2.1.5 The City shall prepare monthly payment vouchers based upon
contractor's monthly request for payment.
2.1.6 Contractor may not request disbursement of funds under this Inter-Local
Agreement until the funds are needed for payment of eligible costs. The
amount of each request shall be limited to the actual amount needed.
2.2 Contractor agrees to abide by the Lead-based Paint Hazard Control Grant
Program NOFA — Federal Register/Vol. 64, No. 38/page 9699, Friday, February
26, 1999/Notices, the Grant Award Document and any subsequent Amendments
to the Grant Award, in the performance of this Inter-Local Agreement. (Exhibits
"A"and `B"attached.)
2.3 Contractor agrees to make the required contributions of in-kind match as
identified in DCHD Budget (Exhibit "E", attached) and any in-kind match which
may be included in subsequent Amendments to the Grant Award; and to report
these contributions in quarterly and final reports as required in the Grant Award
Document, Section 9.
SECTION 3. DUTIES AND RESPONSIBILITIES OF THE CONTRACTOR
3.1 Contractor shall use the Lead-based Paint Hazard Control Funds to carryout the
Lead-based Paint Hazard Control activities, as depicted in Exhibit "B" Grant
Award Document, and Exhibit"C", Management and Work Plan.
3.2 Contractor shall submit to the Director an operating budget by line item indicating
all proposed expenditures and sources of revenue for activities.
3.3 Contractor shall submit Quarterly Progress Reports thirty days after the
completion of each quarter to the Director and to HUD delineating
accomplishments on the specific activities undertaken pursuant to this Inter-Local
Agreement, in the format required by the HUD Office of Lead Hazard Control
(See Exhibit "D" for example). In addition, the Contractor shall meet at least
monthly with key City personnel to discuss the progress of program activities.
3.4 Contractor shall submit monthly financial reports to the Director delineating the
revenue and line item expenditures for activities undertaken pursuant to this Inter-
Local Agreement. In addition, a monthly check register is to be submitted listing
each expenditure by check number,payee, date and amount.
3.5 The requirements of OMB Circular No. A-87 are applicable to the Contractor.
3.6 Contractor shall comply with all provisions and regulations of Lead-based Paint
Hazard Control Grant Program NOFA — Federal Register/Vol. 64, No. 38/page
9699, Friday, February 26, 1999/Notices and the Grant Award Document and any
subsequent Amendments to said Grant Award, and have an annual audit
4
completed in compliance with OMB Circular A-133. The auditor shall determine
the appropriate type of audit to be conducted; i.e. limited scope or full
compliance. A single Audit is not an allowable expense unless the subrecipient
expends total Federal funds over$300,000.00 in each fiscal year. A limited-scope
audit may be allowable provided the auditor conducts the audit in accordance with
generally accepted auditing standards and the subrecipient expends less than
$300,000.00 in each fiscal year. OMB Circular A-133 is attached as Exhibit"F".
3.7 Contractor specifically hereby states, agrees and certifies that it is familiar with
the limited purpose set forth in the Federal Laws, Rules and Regulations, and in
the laws of the State of Nebraska, for which personal information requested may
be used and that the information received will be used solely for those limited
purposes and not to harass, degrade or humiliate any person. The information
released shall be used solely for the limited purpose stated, and the Contractor
further agrees to indemnify and hold harmless the City of Omaha for any liability
arising out of the improper use by the Contractor of information provided.
3.8 Contractor shall maintain such records and accounts, including property,
personnel and financial records, as are deemed necessary by the City to assure a
proper accounting for all expenses. The Comptroller General of the United States
of America or any duly authorized representatives, or any duly authorized
representatives of the City of Omaha, as approved by the Planning Director, shall
have access to any books, documents, papers, records and accounts of the
Contractor or subcontractors which are directly pertinent to this undertaking for
the purpose of making audit, examination, excerpts and transcriptions. Such
records and accounts shall be retained for five years from the contract period
completion. Any contract entered into by the Contractor with any Subcontractors
shall include this Section to ensure said access.
3.8.1 Contractor shall establish and maintain sufficient records to enable HUD
to determine whether the Contractor has met the requirements of the Lead-
based Paint Hazard Control Grant Program NOFA, the Grant Award
Document and any future amendments to said document.
3.9 Contractor shall assume responsibility for environmental - review, decision
making, and action for each activity that it carries out with Lead-based Paint
Hazard Control Funds, in accordance with the requirements imposed on a
recipient under 24 CFR Part 58. No funds may be committed to a Lead-based
Paint Hazard Control Funds activity or project before the completion of the
environmental review and approval of the request for release of funds and related
certification by the City, except as authorized by 24 CFR Part 58.
3.10 Contractor shall ensure that it has taken all reasonable steps to minimize the
displacement of persons (families, individuals, businesses, nonprofit
organizations, and farms) as a result of a project assisted with Lead-based Paint
Hazard Control Funds. A displaced person must be provided relocation assistance
5 L
at the levels described in, and in accordance with the requirements of the Uniform
Relocation Assistance and Real Property Acquisition Policies Act of 1970. (URA)
(42 U.S.C. 4201-4655) and 49 CFR Part 24.
3.11 Contractor must comply with Section 504 of the Rehabilitation Act of 1973 in the
provision of reasonable accommodation to prospective clients and must adopt
procedures to make available information on the existence and locations of
facilities and services that are accessible to persons with a handicap and maintain
evidence of implementation of the procedures.
3.12 Contractor shall ensure housing assisted with Lead-based Paint Hazard Control
funds is subject to the Lead-Based Paint Poisoning Prevention Act (42 U.S.C.
4821 et seq.) and 24 CFR Part 35.
SECTION 4. TERM OF THE AGREEMENT
This Agreement shall be in full force and effect from January 1, 2000 through and
including December 31, 2002 and shall be extended in accordance with any extension of
the Period of Performance for the NELHB0142-99 Lead Hazard Grant that may be
approved by HUD.
SECTION 5. PROVISIONS OF THE AGREEMENT
5.1 Equal Employment Opportunity/Section 3 Clause. Attached hereto as Exhibit
"G" and made a part hereof by reference are the equal employment provisions of
this Agreement.
5.2 Non-Discrimination. The Contractor shall not in the performance of this
Agreement discriminate or permit discrimination in violation of race, color, sex,
age, political or religious opinions, affiliations, national origin, familial status,
disability, or handicap.
5.3 Captions. Captions used in the Agreement are for convenience and are not used
in the construction of this Inter-Local Agreement.
5.4 Applicable Law. Parties to this Agreement shall conform with all existing and
applicable city ordinances, resolutions, state laws, federal laws, and all existing
and applicable rules and regulations. Nebraska law will govern the terms and the
performance under this Agreement.
5.5 Interest of the City. Pursuant to Section 8.05 of the City Home Rule Charter, no
elected official or any officer or employee of the City shall have a financial
interest, direct or indirect, in any City Agreement. Any violation of this section
with the knowledge of the person or corporation contracting with the City shall
render this Agreement voidable by the Mayor or the City Council.
6
5.6 Merger. This Agreement shall not be merged into any other oral or written
Agreement, lease or deed of any type.
5.7 Modification. This Agreement contains the entire agreement of the parties. No
representations were made or relied upon by either party other than those that are
expressly set forth herein. No agent, employee or other representative of either
party is empowered to alter any of the terms herein unless done in writing and
signed by an authorized officer of the respective parties, pursuant to Section 10-
142 of the Omaha Municipal Code.
5.8 Assignment. The Contractor may not assign its rights or obligations under this
Agreement without the express prior written consent of the City.
5.9 Strict Compliance. All provisions of this Agreement and each and every
document that shall be attached shall be strictly complied with as written, and no
substitution or change shall be made except upon written direction from
authorized representatives of the parties, pursuant to Section 10-142 of the Omaha
Municipal Code.
5.10 Termination. This Agreement may also be suspended or terminated in accordance
with 24 CFR 85.43, Enforcement, or 24 CFR 85.44, Termination for Convenience
(Exhibit "H"). Upon termination of this Agreement, all funds and interest in any
account hereunder become the property of the City and shall be returned to the
City of Omaha.
5.11 Other Program Requirements. The Contractor shall be required to carry out each
activity of this Agreement in compliance with all Federal laws and regulations
described in the Lead-based Paint Hazard Control Grant Program (NOFA —
Federal Register/Vol. 64, No. 38/page 9699, Friday, February 26, 1999/Notices).
(Exhibit"A", attached.
5.12 Reversion of Assets. Upon the expiration of this Agreement, the Owner shall
transfer to the City of Omaha any Lead-based Paint Hazard Control Funds on
hand at the time of expiration and not required for the purpose of this Agreement.
5.13 Indemnification. The Contractor shall indemnify and hold the City harmless from
and against: (1) any and all claims arising from contracts between the Contractor
and third parties made to effectuate the purposes of this Agreement; and (2) any
and all claims, liabilities or damages arising from the preparation or presentation
of any of the work covered by this Agreement.
5.14 Default. If, through any cause, the Contractor shall fail to fulfill in a timely and
proper manner any obligations under this Agreement, or violate any of the
covenants, representations or agreements hereof, the City may upon written notice
terminate this Agreement or such parts thereof as to this Agreement, and may
7
hold the Contractor liable for any damages caused to the City by reason of such
default and termination.
5.15 Unenforceable Provisions. Any provision of this Agreement which is prohibited
or unenforceable in any jurisdiction shall, as to such jurisdiction, be ineffective to
the extent of such prohibition of enforceability without invalidating the remaining
provisions hereof or affecting the validity or enforceability of such provision in
any other jurisdiction.
5.16 Drug-Free Workplace. The Contractor is subject to the requirements of Sections
5151-5160 of the Drug-Free Workplace Act of 1988 and HUD's implementing
regulations at 24 CFR Part 24.
5.17 Disclosure of Lobbying. The Contractor certifies, to the best of its knowledge
and belief, that:
(a) No Federal appropriated funds have been paid or will be paid, by or on
behalf of the undersigned, to any person for influencing or attempting to
influence an officer or employee of Congress, or an employee of a
member of Congress in connection with the awarding of any Federal
contract, the making of any Federal grant, the making of any Federal loan,
the entering into of any cooperative agreement, and the extension,
continuation, renewal, amendment or modification of any Federal
contract, grant, loan or cooperative agreement.
(b) If any funds other than federal appropriated funds have been paid or will
be paid to any person for influencing or attempting to influence an officer
or employee of any agency, a member of Congress, an officer or employee
of Congress, or an employee or a member of congress in connection with
this Federal contract, grant, loan or cooperative agreement, the
undersigned shall complete and submit Standard Form-LLL, "Disclosure
Form to Report Lobbying", in accordance with its instructions.
(c) The language of this certification shall be included in the award
documents for all subawards at all tiers (including subcontracts, subgrants,
and contracts under grants, loan and cooperative agreements) and that all
subrecipients shall certify and disclose accordingly.
SECTION 6. AUTHORIZED REPRESENTATIVES
In further consideration of the mutual covenants herein contained, the parties hereto
expressly agree that for purposes of notice, including legal service of process, during the
term of this Agreement, and for the period of any applicable statute or limitations
thereafter, the following named individuals shall be authorized representatives of the
parties:
8
BOARD OF COUNTY COMMISSIONERS
DOUGLAS COUNTY, NEBRASKA
Resolved
WHEREAS, THIS INTER-LOCAL AGREEMENT is entered into by and between the City of
Omaha, a Municipal Corporation in Douglas County, Nebraska, hereinafter
referred to as "City," and Douglas County, hereinafter referred to as
"Contractor"; and
WHEREAS, the City of Omaha has been awarded grant funding of $2,000,000 under the
U.S. Department of Housing and Urban Development "Lead-Based Paint
Hazard Control Program"for a 36-month period effective January 1, 2000; and
WHEREAS, the grant-proposal included $100,000 cash match from the City of Omaha and 5 ,
$230,145 in-kind match from Douglas County; and
WHEREAS, City of Omaha Planning Department prepared the successful Lead-based Paint
Hazard Control Grant proposal in cooperation with the Douglas County Health
Department, proposing a cooperative agreement for implementing the Lead
based Paint Hazard Control Program; and
WHEREAS, this partnership will bring together the housing expertise of the City of Omaha
Planning Department and the public health expertise of the Douglas County
Health Department to address the problem of childhood lead poisoning in
Omaha; and
WHEREAS, in order to formally establish the cooperative arrangement between the City of
Omaha Planning Department and the Douglas County Health Department for
the purpose of implementing the Lead-based Paint Hazard Control Program;
NOW, THEREFORE, BE IT RESOLVED BY THIS BOARD OF COUNTY COMMISSIONERS,
Douglas County, Nebraska, to hereby approve said Inter-local Agreement
between the City of Omaha and Douglas County, Nebraska, and the Chair of
this Board be and is hereby authorized to execute same on behalf of the
County.
DATED this 16th day of May, 2000.
Motion by Boyle, seconded by Harris
I move the adoption of the resolution.
ADOPTED: May 16, 2000
YEAS: Boyle, Duda ,harris, Hutchings, Pirsch, Borgeson
ABSENT: , McCallister
(Cep- •f'iee Cop`
DOUG14- COUNTY RK
Certiifed Co to: Commissioners, Health Dept.
(1) City of Omaha
Director, Planning Department
Omaha/Douglas Civic Center
1819 Farnam Street
Omaha,NE 68183
(2) Douglas County
Director, Douglas County Health Department
1819 Farnam Street
Omaha,NE 68183
- IN WITNESS WHEREOF, the parties have executed this Agreement as of the dates
indicated below.
ATTEST: r" '. f,. CITY O; OMAH. •
.. I ! ,
•
CITY LtERK`OF THE Ch-_ OF OMAHA AYOR OF THE CITY OF OMAHA
7 :(,)er
TE DATE 5-A3 /rb
AT T: DOUGLAS COUNTY:
)14
4
COUN Y CLE UGLAS COUNTY CHAIR O THE DO GL OUNTY
BOARD OF COMMISSI RS
4( X /Cofr
DATE DATE
APPROVED AS TO FORM APPROVED AS TO FORM:
<144/141qF31 °6
1 'o . ( ✓ ,b AS STANT CITY ATTORNEY DATE
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9 ��
SCHEDULE OF EXHIBITS
AGREEMENT
EXHIBIT LOCATION DESCRIPTION
A 1.7, 2.2 Lead-based Paint Hazard Control Grant Program
(NOFA — Federal Register/Vol. 64, No. 38/page
9699, Friday, February 26, 1999/Notices)
B 1.11, 1.12, Grant Award Document
2.1.2, 2.2, 2.3,
3.1, 3.6, 3.8.1
C 1.12, 2.14, 3.1 Management and Work Plan
D 1.13, 2.1.4 Office of Lead Hazard Control Grantee Quarterly
Progress Report
E 2.1, 2.1.2, 2.3 Douglas County Health Department Budget
F 3.6 OMB Circular A-133
G 5.1 Equal Employment Opportunity Clause/Affirmative
Action Plan
H 5.10 Termination- CFR 85.43 and CFR 85.44
Note: Regulations identified as exhibits and referenced herein as Exhibit A, are made a part of
the Agreement hereof by reference and are on file in the Planning City Department.
P:\PLN3\8440maf.doc
10 1111
Federal Register/Vol. 64, No. 38/Friday, February 26, 1999/Notices 9699
EXHIBIT "A"
DEPARTMENT OF HOUSING
AND URBAN DEVELOPMENT
•
LEAD-BASED PAINT HAZARD
CONTROL PROGRAM
BILLING CODE 4310-32-C
(1)
Federal Register/Vol. 64, No. 38/Friday, February 26, 1999/Notices 9701
Funding Availability for the Lead- the toll-free Federal Information Relay (a)Maximize both the number of
Based Paint Hazard Control Grant Service at 1-800-877-8339. children protected from lead poisoning
Program For Technical Assistance.Please refer and housing units where lead-hazards
Program Overview to the General Section of this are controlled;
SuperNOFA for information regarding (b)Target lead hazard control efforts
Purpose of the Program.The purpose the provision of technical assistance. at housing in which children are at
of the Lead-Based Paint Hazard Control The HUD Lead Hazard Control staff that greatest risk of lead poisoning;
Grant Program is to assist States,Indian will provide technical assistance for the (c) Stimulate cost-effective
Tribes and local governments in Lead-Based Paint Hazard Control approaches that can be replicated;
undertaking comprehensive programs to Program.Please see the"For Further (d)Emphasize lower cost methods of
identify and control lead-based paint Information"section above for the hazard control;
hazards in eligible privately-owned address and phone number. (e) Build local capacity to safely and
housing for rental or owner-occupants effectively address lead hazards during
in partnership with community-based H.Amount Allocated lead hazard control,renovation,
organizations. (A)Approximately fifty six million remodeling,and maintenance activities;
Available Funds.Approximately$56 dollars($56 million)will be available and
million. for the Lead-Based Paint Hazard Control (f)Affirmatively further fair housing
Eligible Applicants.States,Indian Grant Program. and environmental justice.
Tribes or local governments.If you are (B)Approximately 20-25 grants of$1 (2)The objectives of this program
a State or Tribal applicant,you must million-$4 million will be awarded.If include:
have a Lead-Based Paint Contractor you are an existing grantee or previously (a)Implementation of a national
Certification and Accreditation Program unfunded applicant,you are eligible to strategy,as defined in Title X,to build
authorized by EPA. apply for grants of$1 million-$4o the community's capacity necessary to
Application Deadline.May 26, 1999. million.A maximum of 60%of the eliminate lead-based paint hazards in all
Match.A minimum of 10%match in funds under this program section of the housing,as widely and quickly as
local funds. SuperNOFA shall be available to current possible by establishing a workable
Lead-Based Paint Hazard Control framework for lead-based paint hazard
Additional Information grantees.Applications from existing(or identification and control;
I.Application Due Date,Application previous)grantees will be evaluated and (b)Mobilization of public and private
Kits,Further Information,and scored as a separate group and will not resources,involving cooperation among
Technical Assistance be in direct competition with all levels of government,the private
applications from previously unfunded sector,and community-based
Application Due Date.Submit your applicants. organizations to develop,cost-effective
original and four copies of your (C)In the selection process,once methods for identifying and controlling
completed application to HUD on or available funds have been allocated to lead-based paint hazards;
before May 26, 1999. meet the requested or negotiated (c) Development of comprehensive
See the General Section of this amounts of the top eligible applicants, community approaches which result in
SuperNOFA for additional information HUD reserves the right to offer any integration of all community resources
regarding submitting your application. residual amount as partial funding to (governmental,community-based,and
Address for Submitting Applications. the next eligible applicant,provided private businesses) to address lead
Submit your completed application HUD is satisfied that the residual hazards in housing;
(original and four copies):Department amount is sufficient to support a viable, (d)Integration of lead-safe work
of Housing and Urban Development, though reduced effort,by such practices into housing maintenance,
Office of Lead Hazard Control,Room applicant(s).If you are an applicant repair,weatherization,rehabilitation,
P3206,451 Seventh Street,SW, offered a reduced grant amount you will and other programs which will continue
Washington,D.C.20410.Applications have a maximum of seven(7) calendar beyond your grant period;
which are hand carried or sent via days to accept such the reduced award. (e)Establishment of a public registry
overnight delivery should be delivered If you fail to respond within the seven (listing)of lead-safe housing;and
to Suite 3206,490 East L'Enfant Plaza, day limit,you shall be considered to (f)To the greatest extent feasible,
Washington,D.C.20024. have declined the award. promotion of job training,employment,
For Application Kits.You may obtain III.Program Description,Eligible and other economic opportunities for
an application kit from the SuperNOFA Applicants,and Eligible Activities low-income and minority residents and
Information Center at 1-800-HUD-8929, businesses that are owned by and/or
or the TTY number at 1-800-483-2209. (A)Program Description. employ low-income and minority
When requesting an application kit, The Lead-Based Paint Hazard Control residents as defined in 24 CFR 135.5
please refer to the Lead-Based Paint Grant Program assists States,Indian (See 59 FR 33881,June 30, 1994).
Hazard Control Grant Program.Please Tribes and local governments in
be sure to provide your name,address undertaking programs for the (B)Eligible Applicants.
(including zip code),and telephone identification and control of lead-based (1)To be eligible to apply for funding
number(including area code). paint hazards in eligible privately- under this program,you must be a State,
For Further Information.Contact Ellis owned housing units for rental and Indian Tribe,or unit of local
G.Goldman,Director,Program owner-occupants.The application kit government.Multiple units of a local
Management Division,Office of Lead for this program section of the government(or multiple local
Hazard Control,at the address above; SuperNOFA lists HUD-associated governments)may apply as part of a
telephone(202) 755-1785,extension housing programs which also meet the consortium;however,you must identify
112 (this is not a toll-free number).If definition of eligible housing. a single lead government or agency as
you are a hearing-or speech-impaired (1)Because lead-based paint is a "the applicant."You may submit only
person,you may reach the above national problem,these funds will be one application.In the event you submit
telephone numbers via TTY by calling awarded to: multiple applications,this will be
9702 Federal Register/Vol. 64, No. 38/Friday, February 26, 1999/Notices
considered a curable(minor)defect and from past and ongoing evaluations have (e)Performing blood lead testing and
the application review process delayed identified effective approaches.HUD is air sampling to protect the health of the
until you notify HUD in writing which interested in promoting lead hazard hazard control workers,supervisors,
application should be reviewed.Your control approaches that result in the and contractors.
other applications will be returned reduction of this health threat for the (f) Undertaking minimal housing
unevaluated. maximum number of low-income rehabilitation activities that are
(2)As an applicant,you must meet all residents,and that demonstrate specifically required to carry out
of the threshold requirements of Section techniques which are cost-effective, effective hazard control,and without
II(B)of the General Section of the efficient,and can be used elsewhere. which the hazard control could not be
SuperNOFA. HUD will allow flexibility within the completed and maintained.Hazard
(3)Consolidated Plans. parameters established below. Control grant funds may be used for
(a)If your jurisdiction has a current (1) Generally,funds will be available lead hazard control work done in
HUD approved Consolidated Plan,you only for projects conducted by conjunction with other housing
must submit documentation of the HUD contractors,risk assessors,inspectors, rehabilitation programs.HUD strongly
approval of the current program year workers and others engaged in lead- encourages integration of this grant
Consolidated Plan.You must submit,as based paint activities who meet the program with housing rehabilitation.
an appendix,a copy of the lead-based requirements of an EPA authorized State (g Conducting clearance dust-wipe
paint element included in the approved or Tribal Lead-Based Paint Contractor testing and laboratory analysis.
Consolidated Plan. Certification and Accreditation Program (h) Engineering and architectural
(b)If your jurisdiction does not have under the requirements of section 404 of activities that are required for,and in
a currently approved Consolidated Plan, the Toxic Substances Control Act direct support of,lead hazard control.
but it is otherwise eligible for this grant (TSCA).However,low level hazard (i)Providing lead-based paint worker
program,you must include your interventions(e.g.,dust control and or contractor certification training and/
jurisdiction's abbreviated Consolidated minor paint stabilization)do not require or licensing to low-income persons.
Plan,which includes a lead-based paint certified personnel. (j)Providing free training on lead-safe,
hazard control strategy developed in (2) Direct Project Elements that you essential maintenance practices to
accordance with 24 CFR 91.235. may undertake directly or through homeowners,renters,painters,
(4)If you are a local government,your subrecipients,include: remodelers,and apartment maintenance
application must provide written (a)Performing dust testing,hazard staff working in low-income private
documentation of partnerships or screens,inspections,and risk housing.
contractual relationships with assessments of eligible housing (k)Providing cleaning supplies for
community-based organizations to carry constructed before 1978 to determine lead-hazard control to community/
out the proposed work plan.Such the presence of lead hazards from paint, neighborhood-based organizations,
relationships may include program dust,or soil. homeowners,and renters in low-income
planning;public awareness,education, (b) Conducting pre-hazard control private housing.
and outreach;inspection and hazard blood lead testing of children under the (1)Conducting general or targeted
control;relocation;and other related age of six residing in units undergoing community awareness,education or
services. inspection,risk assessment,or hazard outreach programs on lead hazard
If you are a State government,you control. control and lead poisoning prevention.
must provide written documentation of (c)Conducting lead hazard control, This includes educating owners of
partnerships or contractual which may include any combination of rental properties on the Fair Housing
relationships with community-based the following:interim control of lead- Act and training on lead-safe
organizations prior to grant award.This based paint hazards in housing(which maintenance and renovation practices.
requirement does not apply to Indian may include intensive cleaning Upon request,this also would include
Tribes. techniques to address lead dust); making all materials available in
(5)If you are a State government or an abatement of lead-based paint hazards alternative formats to persons with
Indian Tribal government,you must using different methods for each unit disabilities(e.g.;Braille,audio,large
have an authorized EPA Lead-Based (based on the condition of the unit and type).
Paint Contractor Certification and the extent of hazards);and abatement of (m)Securing liability insurance for
Accreditation Program to be eligible. lead-based paint hazards,including soil lead-hazard control activities.
(6)If you were funded under the FY and dust,by means of removal, (n)Supporting data collection,
1998 Lead-Based Paint Hazard Control enclosure,encapsulation,or analysis,and evaluation of grant
NOFA issued March 31, 1998(63 FR replacement methods.Complete program activities.This includes
15555),you are not eligible for funding abatement of all lead-based paint or compiling and delivering such
under this program section of the lead-contaminated soil is not acceptable information and data as may be required
Su erNOFA. as a cost effective strategy unless by HUD.This activity is separate from
(77)The eligibility factors discussed in justification is provided and approved administrative costs.
(1) through(6)above are threshold by HUD.Abatement of lead- (o) Conducting applied research
requirements.If you do not satisfy the contaminated soil should be limited to activities directed at demonstration of
appropriate eligibility requirements areas with bare soil in the immediate cost effective methods for lead hazard
stated in these paragraphs,your HUD vicinity of the structure,i.e.,dripline or control.
will not review your application. foundation of the structure being (p)Purchasing or leasing equipment
(C)Eligible Activities treated,and children's play areas. having a per unit cost under$5,000,
g (d)Carrying out temporary relocation except for X-ray fluorescence(XRF)
HUD will provide considerable of families and individuals during the analyzers.
latitude to grantees in designing and period in which hazard control is (q)Purchasing or leasing up to two (2)
implementing the methods of lead- conducted and until the time the X-ray fluorescence analyzers for use by
based paint hazard control to be used in affected unit receives clearance for the Lead-Based Paint Hazard Control
their jurisdictions.Experience and data reoccupancy. Grant Program.
Federal Register/Vol. 64, No. 38/Friday, February 26, 1999/Notices 9703
(r)Preparing a final report at the by certified contractors,risk assessors, protective.If other applicable
conclusion of grant activities. inspectors,workers and others engaged requirements contain more stringent
(3) Support Elements. in lead-based paint activities. requirements than the HUD Guidelines,
(a)Administrative costs.There is a (D) Coastal Barrier Resources Act. the more rigorous standards shall be
10%maximum for administrative costs. Pursuant to the Coastal Barrier followed.
The application kit contains specific Resources Act(16 U.S.C.3501),you (I) Prohibited Practices.You must not
information on administrative costs in may not use grant funds for properties engage in practices that are not allowed
Annex 7. located in the Coastal Barrier Resources because of health and safety risks.
(b)Program planning and System. Methods that generate high levels of
management costs of sub-grantees and (E)Flood Disaster Protection Act. lead dust shall be undertaken only with
other sub-recipients. Under the Flood Disaster Protection Act requisite worker protection,
of 1973(42 U.S.C.4001-4128),you may containment of dust and debris,suitable
(D)Ineligible Activities not usegrant funds for lead-basedpaint
clean-up,and clearance.Prohibited
You may not use grant funds for any hazard control of a building or mobile practices include:
of the following: home that is located in an area (1)Open flame burning or torching;
(1)Purchase of real property. identified by the Federal Emergency (2)Machine sanding or grinding
(2)Purchase or lease of equipment Management Agency(FEMA)as having without a high-efficiency particulate air
having a per unit cost in excess of special flood hazards unless: (HEPA)exhaust control;
$5,000,except for X-ray fluorescence (1)The community in which the area (3)Uncontained hydroblasting or high
analyzers. is situated is participating in the pressure wash;
(3)Chelation or other medical National Flood Insurance Program in (4)Abrasive blasting or sandblasting
treatment costs related to children with accordance with the applicable without HEPA exhaust control;
elevated blood lead levels.Non-Federal regulations(44 CFR parts 59-79),or less (5) Heat guns operating above 1100
funds used to cover these costs may be than a year has passed since FEMA degrees Fahrenheit;
counted as part of the required matching notification regarding these hazards; (6)Chemical paint strippers
contribution. and containing methylene chloride;and
(4) Lead hazard control activities in (2)Where the community is (7)Dry scraping or dry sanding,
publicly owned housing,or project- participating in the National Flood except scraping in conjunction with
based Section 8 housing.A table listing Insurance Program,flood insurance on heat guns or around electrical outlets or
eligibility of various HUD programs is the property is obtained in accordance when treating no more than two(2)
included in Annex 5 of the application with section 102(a)of the Flood Disaster square feet in any one interior room or
kit. Protection Act(42 U.S.C.4012a(a)).You space,or totaling no more than 20
IV.Program Requirements are responsible for assuring that flood square feet on exterior surfaces.
insurance is obtained and maintained (J) Proposed Modifications From
In addition to the program for the appropriate amount and term. Current Procedures.Proposed methods
requirements listed in the General (F)National Historic Preservation Act. that differ from currently approved
Section of.this SuperNOFA,you,the The National Historic Preservation Act standards or procedures will be
applicant,must comply with the of 1966(16 U.S.C.470) and the considered on their merits through a
following requirements: regulations at 36 CFR part 800 apply to separate HUD review and approval
(A) Budgeting. (1)Matching the lead-based paint hazard control process after the grant award is made
Contribution.You must provide a activities that are undertaken pursuant and a specific justification has been
matching contribution of at least 10%of to this program.HUD and the Advisory presented.When you make such a
the requested grant sum.This may be in Council for Historic Preservation have request,either in the application or
the form of a cash or in-kind(non-cash) developed an optional Model during the planning phase,HUD may
contribution or a combination of both. Agreement for use by grantees and State consult with experts from both the
With the sole exception of Community Historic Preservation Officers in public and private sector as part of its
Development Block Grant(CDBG) carrying out activities under this final determinations and will document
funds,Federal funds may not be used to program. its findings in an environmental
satisfy the statutorily required ten(10) (G) Waste Disposal.You must handle assessment.HUD will not approve
percent matching requirement.Federal waste disposal according to the proposed modifications that,in HUD's
funds may be used,however,for requirements of the appropriate local, opinion,involve a lowering of standards
contributions above the statutory State and Federal regulatory agencies. with potential to adversely affect the
requirement.If you do not show a You must handle disposal of wastes health of residents,contractors or
minimum 10%match in your from hazard control activities that workers,or the quality of the
application,you will be rated lower contain lead-based paint but are not environment.
during the evaluation process,and,if classified as hazardous in accordance (K) Written Policies and Procedures.
selected,you will be required to provide with the HUD Guidelines for the You must have clearly established,
the matching contribution before being Evaluation and Control of Lead-Based written policies and procedures for all
given the grant. Hazards in Housing(HUD Guidelines). phases of lead hazard control,including
(2)Applied Research Activities.You (H) Worker Protection Procedures. risk assessment,inspection,
may identify a maximum of five(5%) You must observe the procedures for development of specifications,pre-
percent of the total grant request for worker protection established in the hazard control blood lead testing,
applied research activities. HUD Guidelines,as well as the financing,relocation and clearance
(3)Administrative Costs.There is a requirements of the Occupational testing.Grantees,subcontractors,sub-
10%maximum for administrative costs. Health and Safety Administration grantees,sub-recipients,and their
(B)Period of Performance.The period (OSHA) (29 CFR 1926.62—Lead contractors must adhere to these
of performance is 36 months. Exposure in Construction),or the State policies and procedures.
(C) Certified Performers.You may use or local occupational safety and health (L) Continued Availability of Lead
grant funds only for projects conducted regulations,whichever are most Safe Housing to Low-Income Families.
9704 Federal Register/Vol. 64, No. 38/Friday, February 26, 1999/Notices
Units in which lead hazards have been (N) Cooperation With Related controlled under this program will be
controlled under this program shall be Research and Evaluation.You shall occupied by and/or continue to be
occupied by and/or continue to be cooperate fully with any research or available to low-income residents as
available to low-income residents as evaluation sponsored by HUD and required by Title X.You are required to
required by Title X.You must maintain associated with this grant program, maintain a registry of units in which
a registry(listing)of units in which lead including preservation of project data lead hazards have been controlled for
hazards have been controlled for and records and compiling requested distribution and marketing to agencies
distribution and marketing to agencies information in formats provided by the and families as suitable housing for
and families as suitable housing for researchers,evaluators or HUD.This children under six.
children under six. also may include the compiling of
(M) Testing.In developing your certain relevant local demographic, (8)Certification that you will carry
application budget,include costs for dwelling unit,and participant data not out your lead hazard control program
inspection,risk assessment,and contemplated in your original proposal. under an EPA authorized State lead-
clearance testing for each dwelling that Participant data shall be subject to based paint contractor certification and
will receive lead hazard control,as Privacy Act protection. accreditation program that is at least as
follows: (0)Data collection.You will be protective as the training and
(1)Testing. required to collect and maintain the certification program requirements cited
(a) General.All testing and sampling data necessary to document the various in the application kit for this program
shall conform to the current HUD lead hazard control methods used in section of the SuperNOFA.
Guidelines.It is particularly important order to determine the effectiveness and (R)Davis-Bacon Act.The Davis-Bacon
to provide this full cycle of testing for relative cost of these methods. Act does not apply to this program.
lead hazard control,including interim (P) Section 3 Employment
controls. Opportunities.Please see the General However,if you use grant funds in
(b)Pre-Hazard Control.A combined Section of this SuperNOFA.The Section conjunction with other Federal
inspection and risk assessment is 3 requirements are applicable to the programs in which Davis Bacon
recommended.You should ensure that Lead-Based Paint Hazard Control prevailing wage rates apply,then Davis-
the results of the pre-hazard control Program. Bacon provisions would apply to the
(i) Certifications and Assurances.In extent required under the other Federal
investigation are sufficient to support pro rams.
hazard control decisions.When addition to the certifications and P g
appropriate,you may elect to perform a assurances listed in the General Section V.Application Selection Process
lead hazard screen in lieu of an of the SuperNOFA,a single certification
inspection or risk assessment. form is included in the application kit (A)Rating and Ranking
(c) In the event you propose to for your signature.This includes: HUD intends to fund the hi hest
conduct lead hazard control work (1)Assurance of your compliance g
without identification of lead hazards with the environmental laws and ranked applications within the limits of
from paint,dust,and soil,you must authorities described in 24 CFR part 58. funding,but reserves the right to
rom justify the and other (2)Certification of your compliance advance other eligible applicants in
fullyrationalejusfor such a technicala an HUD must with the Uniform Relocation Assistance funding rank.A decision to advance an
such proposals.Approval is and Real Property Acquisition Policies applicant will be based on programs
approvepject to HUD environmental review Act of 1970,and the implementing that:foster local approaches or lead
sunder 24 CFR part 50 regulations at 49 CFR part 24;and HUD hazard control methods that have not
Handbook 1378(Tenant Assistance, been employed before,or provide lead
(d)Clearance Testing.Clearance dust Relocation and Real Property hazard control services to populations
testing must be conducted according to Acquisition). or communities that have hi h need(as
the HUD Guidelines.You are required (3)Assurance that your financial g
to meet the current post-hazard control management system meets the standards measured by the"Need"factor for
dust-wipe test clearance thresholds for fund control and accountability award)and have never received funding
contained in the HUD Guidelines(these described in 24 CFR 85.20. under this grant program.
are also provided in the application kit). (4)Assurance that you will conduct (B)Factors for Award Used To Evaluate
Wipe tests shall be conducted by a testing associated with pre-hazard and Rate Applications
certified inspector who is independent control and clearance conducted by
of the lead hazard control contractor. certified performers. The factors for rating and ranking
Dust-wipe and soil samples,and any (5)Assurance that,to the extent applicants,and maximum points for
paint samples to be analyzed by a possible,you will conduct the blood each factor,are stated below.The
laboratory,must be analyzed by a lead testing,blood lead level test results, maximum number of points to be
laboratory recognized by the EPA and medical referral and follow up for awarded is 102.This maximum
National Lead Laboratory Accreditation children under six years of age includes two EZ/EC bonus points as
Program(NLLAP).Units treated shall occupying affected units according to described in the General Section of the
not be reoccupied until clearance is the recommendations of the Centers for SuperNOFA.Also,Section III(C)(2)of
achieved. Disease Control and Prevention(CDC) the General Section,which addresses a
(2) Blood lead testing.Before lead publication Preventing Lead Poisoning court-ordered consideration,is
hazard control work begins,each in Young Children(1991). applicable to this program.The
occupant who is under six years old (6)Assurance that you will not use application kit will provide additional
must be tested for lead poisoning within Lead-Based Paint Hazard Control Grant guidance for responding to these factors.
six months prior to the housing Program funds to replace existing The application kit also contains
intervention.Any child with an resources dedicated to any ongoing definitions and references that will be
elevated blood lead level must be project.
referred for appropriate medical follow- (7)Assurance that the housing units incorporated into your grant award.
up. in which lead hazards have been
Federal Register/Vol. 64, No. 38/Friday, February 26, 1999/Notices 9705
Rating Factor 1:Capacity of the in terms of progress under the most adjustments for smaller and larger
Applicant and Relevant Organizational recent previous grant.You must provide families;
Experience (15 points for previously a description of your progress in (c)The number and proportion of
unfunded applicants;25 points for implementing your most recent grant children under six years(72 months)of
existing grantees) award within the period of performance, age at risk of lead poisoning;
This factor addresses your including the total number of housing (d)The extent of the lead poisoning
organizational capacity necessary to units completed as of the most recent problem in children under six years of
successfully implement the proposed calendar quarter. age in target areas;
(e)The health and economic impacts
activities in a timely manner.The rating Rating Factor 2:Needs/Extent of the of Superfund or Brownfields sites on the
of the"applicant"or the"applicant's Problem(20 Points) targeted neighborhoods or communities;
staff"for technical merit or threshold This factor addresses the extent to and
compliance,unless otherwise specified, which there is a need for the proposed (I)Other socioeconomic or
includes any community based program activities to address a environmental factors that demonstrate
organizations,sub contractors, documented problem in the target area. a need to establish or continue lead
consultants,sub-recipients,and (1) Document a critical level of need hazard control work in your
members of consortia which are firmly for your proposed activities in the area jurisdiction.
committed to your project.In rating this where activities will be carried out. (5)You also must provide
factor,HUD will consider: Since the principal objective of the documentation of the priority that the
(1)Your recent,relevant and program is to prevent at-risk children community's Consolidated Plan has
successful demonstrated experience from being poisoned,specific attention placed on addressing the needs you
(including governmental and must be paid to documenting such need described.
community-based partners)to undertake as it appliestargeted rather (6) application
eligible program activities.You must to the areas, If your a lication addresses
P g than the entire locality or state.If the needs that are in the Consolidated Plan,
describe the knowledge and experience target area is an entire locality or state, Analysis of Impediments to Fair
of the proposed overall project director then documenting need at this level is Housing Choice,court orders or consent
and day-to-day program manager in decrees,settlements,conciliation
planning and managing large and appropriate.
complex programs, (2)Document the extent of the agreements,and voluntary compliance
especially interdisciplinary n problem which will be addressed by agreements,you will receive more
P Y involving g your proposed activities.Examples of points than applicants that do not relate
rehabilitation,public health,or data that you might use to demonstrate their program to identified needs.
environmental programs.You must need,include,but are not limited to: (7) For you to receive maximum
demonstrate that you have sufficient (a)Numbers and proportions of points for this factor,there must be a
personnel or will be able to quickly children with elevated blood lead direct relationship between your
retain qualified experts or professionals, levels; proposed activities,community needs,
to immediately begin your proposed (b) Economic and demographic data and the purpose of the program funding.
work program and to perform your relevant to the tar et area,including
proposed activities in a timely and poverty and unemployment rates; Rating Factor 3:Soundness of Approach
effective fashion.In the narrative (c) Housing market data available (45 points for previously unfunded
response for this factor,you should from HUD,or other data sources, applicants and 35 points for existing
include information on your program including the Consolidated Plan/AI, grantees)
staff,their experience,commitment to Public Housing Authority's Five Year This factor addresses the quality and
the program,salary information,and Comprehensive Plan,State or local cost-effectiveness of your proposed
position titles.Resumes(for up to three Welfare Department's Welfare Reform work plan.You should present
key personnel),position descriptions, Plan;or information on your proposed lead-
and a clearly identified organizational (d)Lack of other Federal,State or based paint hazard control program and
chart for the lead hazard control grant local funding that could be,or is used, describe how it will satisfy the
program effort must be included in an to address lead hazard control. identified needs.To the extent possible,
appendix.Indicate the percentage of (3)To the extent that statistics and describe a comprehensive strategy to
time that key personnel will devote to other data contained in your address the need to protect entire
your project.We recommend using a community's Consolidated Plan or neighborhoods rather than individual
full-time day-to-day program manager. Analysis of Impediments to Fair units or homes.Your response to this
Describe how other principal Housing Choice(AI)support the extent factor should include the following
components of your agency or other of the problem,you should include elements:
organizations will participate in or references to the Consolidated Plan and (1)Lead Hazard Control Strategy(35
otherwise support the grant program. the AI in your response. points for previously unfunded
You may demonstrate capacity by prior (4)Provide information on your applicants;25 points for existing
experience in initiating and jurisdiction,or preferably,the areas grantees).Describe your strategy to plan
implementing lead hazard control targeted for the lead hazard control and execute your lead hazard control
efforts and/or related environmental, activities(data may be available in your grant program.You should provide
health,or housing projects and should currently approved Consolidated Plan, information on:
be thoroughly described.You should derived from 1990 Census Data,or (a) Implementing a Lead Hazard
indicate how this prior experience will special local studies): Control Program(15 points for
be used in carrying out your proposed (a)The age and condition of housing; previously unfunded applicants; 10
comprehensive Lead-Based Paint (b)The number and percentage of points for existing grantees).Describe
Hazard Control Grant Program. very-low(income less than 50%of the your overall strategy for your proposed
(2)If you have received previous HUD area median) and low(income less than lead hazard control program.The
Lead Hazard Control Grant funding, 80%of the area median) income description must include information
your past experience will be evaluated families,as determined by HUD,with on:
9706 Federal Register/Vol. 64, No. 38/Friday, February 26, 1999/Notices
(i)Your previous experience in approach would include making all (iii) Describe the lead hazard control
reducing or eliminating lead-based paint materials available in alternative methods you will undertake and the
hazards in conjunction with other formats to persons with disabilities(e.g., number of units you will treat for each
Federal,State or locally funded Braille,audio,large type),to the extent method selected(interim controls,
programs. possible. hazard abatement,and complete
(ii)Your overall strategy for the (ii)How you intend to involve abatement).Provide an estimate of the
identification,selection,prioritization, neighborhood or community-based per unit costs(and a basis for those
and enrollment of units of eligible organizations in your proposed estimates)for each lead hazard control
privately-owned housing for lead hazard activities.Your activities may include method proposed and a schedule for
control.Describe the proposed activities outreach,community education, initiating and completing lead hazard
that will occur in a high performing marketing,inspection(including dust control work in the selected units.
Empowerment Zone or Enterprise lead testing),and the conduct of lead Discuss efforts to incorporate cost-
Community(EZ/EC).Provide estimates hazard control activities.HUD will effective lead hazard control methods.If
of the total number of owner occupied evaluate the level of substantive you propose complete abatement,
and/or rental units which will receive involvement during the review process. provide HUD with a detailed rationale
lead hazard control. for that decision.
(iii)The degree to which the work (iii) Outreach strategies and iv Describe howyou will integrate
methodologies to affirmatively further ( ) g
plan focuses on eligible privately-owned fair housing and provide lead safe proposed lead hazard control activities
housing units with children under six with rehabilitation activities.
housing to all segments of the
years(72 months)old.Describe your (v)Describe your contracting process,
population:homeowners,owners of
planned approach to control lead including development of specifications
rental properties,and tenants;especially
hazards before children are poisoned for occupants least likely to receive its for selected lead hazard control
and/or to control lead hazards in units benefits.Once the population to which methods.Describe the management
where children have already been outreach will be"targeted"is identified, processes you will use to ensure the
identified with an elevated blood lead outreach strategies directed specifically cost-effectiveness of your lead hazard
level.Describe your process for referring to them should be multifaceted.This control methods.Your application must
and tracking children with elevated criterion goes beyond testing and hazard include a discussion of the contracting
blood lead levels for medical case process for the conduct of lead hazard
control;it concerns what happens to the
management.Provide estimates of the control activities in the selected units.
number of children you will assist units after lead hazard control activities (vi) Describe your plan for occupant
and tries to ensure,for the long term,
through this program. protection or the temporary relocation
(iv)The financing strategy,including that all families will have adequate, of occupants of units selected for lead
lead-safe housing choices.
eligibility requirements,terms, hazard control work.This discussion
conditions,and amounts available,you (iv) Describe the ways you will train should address your use of safe houses
will use in carrying out lead hazard individuals and contractors in housing and other housing arrangements,storage
control activities.You must discuss the related trades,such as painters, of household goods,stipends,
way these funds will be administered remodelers,renovators,and incentives,etc.
(e.g.use of grants,deferred loans, maintenance personnel,in lead safe (vii)If you are an existing grantee,you
forgivable loans,other resources,private practices.Describe how you will must describe the actions you will take
sector financing,etc.),as well as the integrate such practices into lead hazard to ensure that your proposed lead
control activities.
agency that will administer the hazard control work will occur
financing process. (c) Technical Approach for concurrently with other ongoing HUD
(v)You should describe how your Conducting Lead Hazard Control lead hazard control grant work.Your
proposed program will satisfy the stated Activities(15 points for previously application must provide the detail
needs or will assist in addressing the unfunded applicants; 10 points for necessary to assure HUD that you will
impediments in the AI.Describe how existing grantees). implement the proposed work
your proposed program will further and (i) Describe your process for risk immediately and perform it
support the policy priorities of the assessment and/or inspection of units of concurrently with existing lead hazard
Department,including promoting eligible privately-owned housing in control grant work.
healthy homes;providing opportunities which you will undertake lead hazard (viii)If you are an existing grantee,
for self-sufficiency,particularly for control.You may include in the you must describe your progress in
persons enrolled in welfare to work inventory of housing to receive lead implementing your most recent lead
programs;or providing educational and hazard control housing having a risk hazard control grant award.If the
job training opportunities. assessment or inspection already production achieved is below the
(b)Lead Hazard Control Outreach performed by certified inspectors or risk performance values(percentages of
and Community Involvement(5 points assessors,in accordance with the HUD units completed)provided in the
for all applicants).Your application Guidelines and identified with lead- application kit,and no changes are
must describe: based paint hazards. proposed,you should explain why the
(i) Proposed methods of community (ii)Describe your testing methods, strategy in the earlier grant remains
education.These may include schedule,and costs for performing appropriate.
community awareness,education, blood lead testing,risk assessments and/ (2)Economic Opportunity(5 points
training,and outreach programs in or inspections to be used.If you propose for all applicants)
support of the work plan and objectives. to use a more restrictive standard than Describe the methods to be used to
This description should include general the HUD thresholds(e.g.,0.5%or 1.0 provide economic opportunities for
and/or targeted efforts undertaken to mg/cm 2),identify the lead-based paint residents and businesses in the
assist your program in reducing lead threshold for undertaking lead hazard community.This discussion should
exposure.Programs should be culturally control which will be used.All testing include information on how you will
sensitive,targeted,and linguistically shall be performed in accordance with promote training,employment,business
appropriate.Upon request,this the HUD Guidelines. development,and contract
Federal Register/Vol. 64, No. 38/Friday, February 26, 1999/Notices 9707
opportunities as part of your lead services or equipment)allocated to the coordinated,community-based process
hazard control program.Describe how proposed program.Resources may be of identifying needs and building a
you will accomplish the requirements of provided by governmental entities, system to address the needs by using
Section 3 of the Housing and public or private organizations,or other available HUD and other community
Community Development Act of 1992 to entities partnering with you. resources.In evaluating this factor,HUD
give preference to hiring of low-and Partnership relationships with will consider how you have:
very low-income persons or contracting community-based organizations are a (1) Coordinated your proposed
with businesses owned by or employing requirement for State and local activities with those of other groups or
low-and very low-income persons. government applicants.State applicants organizations to best support and
(3)Program Evaluation,Data which do not have such partnerships at coordinate all known activities and,the
Collection,and Research(5 points for the time of application will be required specific steps you will take to share
all applicants). to establish partnership relationships information on solutions and outcomes
Identify and discuss the specific between the state and/or local with others.Any written agreements or
methods and measures you will use(in subgrantees and community-based memoranda of understanding in place
addition to HUD reporting or data organizations immediately following orproposed should be described.
collection forms)to measure progress, grant award(this requirement does not (2)Become activelyinvolved(or if not
g q
evaluate program effectiveness,and apply to you if you are an Indian Tribe currently active,the specific steps it
make program changes to improve applicant).You also may partner with will take to become active)in your
performance.Describe how you will other program funding recipients to community's Consolidated Planning
obtain,document and report the coordinate the use of resources in your process established to identify and
information.Describe your plans to target area. address a need/problem that is related
develop and maintain a registry of (2)You may not include funding from in whole,or part,directly,or indirectly
publicly available information on lead- any Federally funded program(except to the activities you propose.
safe units,so that families(particularly the CDBG program)as part of your (3)Developed linkages,or the specific
those with children under age six)can required 10%match.Other resources steps you will take to develop linkages
make informed decisions regarding their committed to the program that exceed with other activities,programs or
housing options.In addition,provide a the required 10%match will provide projects through meetings,information
detailed description of any proposed points for this rating factor and may networks,planning processes or other
applied research activities. include funds from other Federally mechanisms to coordinate your
(4)Budget(not scored) HUD will funded programs.You must support activities so solutions are
evaluate your proposed budget(for 36 each source of contributions,cash or in- comprehensive,including linkages
month period) to determine if it is kind,both for the required minimum with:
reasonable,clearly justified,and and additional amounts,by a letter of (a) Other HUD funded projects/
consistent with the intended use of commitment from the contributing activities outside the scope of those
grant funds.HUD is not required to entity,whether a public or private covered by the Consolidated Plan;and
approve or fund all proposed activities. . source.This letter must describe the (b) Other HUD,Federal,State or
You may devote up to 36 months for the contributed resources that you will use locally funded activities,including
planning,implementation,and in the program.Staff in-kind those proposed or on-going in the
completion of lead hazard control contributions should be given a community(s)served.
activities.You must thoroughly monetary value.If you do not provide (4) Coordinated and integrated lead
document and justify all budget letters specifying details and the amount hazard control work with housing
categories and costs(Part B of Standard of the actual contributions,those rehabilitation,housing and health
Form 424A)and all major tasks. contributions will not being counted. codes,other related housing programs,
Describe in detail the budgeted costs for (3)You must provide evidence of or including work of community
each program element(major task) leveraging or partnerships by including development corporations and
included in the overall plan(the letters of firm commitment,memoranda childhood lead poisoning prevention
program elements are:administration; of understanding,or agreements to programs.
program management;marketing, participate from those entities identified (a)Described the degree to which lead
community awareness,education and as partners in your application.Each hazard control work will be done in
outreach;lead hazard control(including letter of commitment,memorandum of conjunction with other housing-related
testing);relocation;program evaluation understanding,or agreement to activities(i.e.,rehabilitation,
(including data collection);and applied participate should include the weatherization,correction of code
research). organization's name,the proposed level violations,and other similar work),and
Rating Factor 4:Leveraging Resources of commitment and responsibilities as your plan for the integration and
(10 Points) they relate to your proposed program. coordination of lead hazard control
The commitment must be signed by an activities into those activities. 1
This factor addresses your ability to official of the organization legally able (b) Described plans to incorporate
obtain other community resources to make commitments on behalf of the lead-based paint maintenance,essential
(financing is a community resource)that organization.Describe the role of maintenance practices,and hazard
can be combined with HUD's program community-based organizations in control standards with the applicable
resources to achieve program objectives. specific program activities,such as housing codes and health regulations.
(1)In evaluating this factor,HUD will hazard evaluation and control; (c)Described plans to generate and
consider the extent to which you have monitoring;and awareness,education, use public subsidies or other resources
established working partnerships with and outreach within the community. (such as revolving loan funds)to finance
other entities to get additional resources future lead hazard control activities.
or commitments to increase the Rating Factor 5:Comprehensiveness and (d)Described plans to develop public-
effectiveness of the proposed program Coordination(10 Points). private lending partnerships to finance
activities.Resources may include cash This factor addresses the extent to lead hazard control as part of
or in-kind contributions(such as which your program reflects a acquisition and rehabilitation financing
9708 Federal Register/Vol. 64, No. 38/Friday, February 26, 1999/Notices
including the use of Community of the SuperNOFA,you must submit the Plan.You also should include a copy of
Reinvestment Act"credits"by lending following: the lead hazard control element
institutions. (a)Transmittal Letter that identifies included in your current program year's
(e) Evidenced firm commitments from "the applicant" (or applicants) Consolidated Plan.
participating organizations by submitting the application,the dollar (h)Narrative responses to the five
describing: amount requested,what the program rating factors.
(i)The name of each organization; funds are requested for,and the nature
(ii)The capabilities or focus of each of involvement with community-based B)Proposed Activities
organization; organizations. All applications must,at a minimum,
(iii)The proposed level of effort of (b)The name,mailing address, contain the following items:
each organization;and telephone number,and principal (1)A description of the affected
(iv)The resources and responsibilities contact person of"the applicant."If you housing and population you will serve.
of each organization,including the have consortium associates,sub- (a) Describe the size and general
applicant's clearly proposed plans for grantees,partners,major subcontractors, characteristics of the target housing
the training and employment of low- joint venture participants,or others within the jurisdiction,including a
income residents. contributing resources to your project, description of the housing's location,
(f)Described plans to implement a you must provide similar information condition,and occupants,and a current11
registry of lead-safe housing. for each of these partners. estimate of the number of children
(c)Lead-Based Paint Contractor
(g) Detailed the extent to which the under the age of six in these units.You
policy of affirmatively furthering fair Certification and Accreditation Program should provide other characteristics
housing for all segments of the (i)If you are a State or Indian Tribe, described in Rating Factor 2 (Need).If
the EPA authorization of the state targetings
population is advanced by the proposed program(Section 402 and 404 of TSCA) you are specific area(s)
activities.Detail how your proposed (neighborhoods,census tracts,etc.)
workplan will support the community'smust be included. within your jurisdiction for lead hazard
pp (ii)If you are a local government in
efforts to further housing choices for all States which do not have an EPA control activities,describe these same
segments of the population.If you have authorized lead based paint contractor characteristics for the area.You should
an existing grant,you should discuss also include vacant housing that
activities which have contributed to certification program,you must provide subsequently will be occupied by low-
enhanced lead safe housing assurances that you will use only income renters or owners in this
opportunities to all segments of the performers certified under EPA- description.You may include maps as
population. authorized state programs in conducting an appendix.
lead hazard control work.
stah))tDesces, ribedplans to t or amend
e d (d)A detailed budget with supporting magnitude Provide
and ineformation
the childhood
regulations, policiescost justificationso fo tl budget lead poisoningproblem within your
will more fully integrate lead hazard categories of your grant request.You
control into community policies and must provide a separate estimate for the jurisdiction and for any area(s)you will
priorities. overall grant management element include in your lead hazard control
(5) Coordinated and cooperated with (Administrative Costs),which is more program.
other organizations which will lead to a fully defined in the application kit for (c)Narrative statement addressing the
reduction in lead risks to community this program section of the SuperNOFA. rating factors for award of funding
residents.This could include such The budget shall include not more than under this program section of the
activities as free training on lead-safe 10%for administrative costs and not SuperNOFA.Your narrative statement
repainting and remodeling;promotion less than 90%for direct project must be numbered in accordance with
of essential maintenance practices;and elements.In the event of a discrepancy each factor for award (Factor 1 through
provision of lead dust testing to low- between grant amounts requested in 5).
income,privately-owned homes which various sections of the application,the VII.Corrections to Deficient
may not receive lead hazard control amount you indicate on the SF-424 will Applications
assistance under this grant program. govern as the correct value. The General Section of the
VI.Application Submission (e)An itemized breakout(using the
pp SF-424A)of your required matching SuperNOFA provides the procedures for
Requirements corrections to deficient applications.
contribution,including:
(A)Applicant Information (i)Values placed on donated in-kind VIII.Environmental Requirements
(1)Application Format services;
(ii)Letters or other evidence of In accordance with HUD regulations
The application narrative response to commitment from donors;and in 24 CFR part 58,recipients of lead
the Rating Factors is limited to a (iii)The amounts and sources of based paint hazard control grants will
maximum of 25 pages.Your response contributed resources. assume Federal environmental review
must be typewritten on one(1)side only (f)Memoranda of Understanding or responsibilities.Recipients of a grant
on 8'/2"x 11"paper using a 12 point Agreement,letters of commitment or under this NOFA will be given guidance
(minimum)font with not less than 3/4" other documentation describing the in these responsibilities.
margins on all sides.Appendices should proposed roles of agencies,local broad- IX.Authority
be referenced and discussed in the based task forces,participating
narrative response.Materials provided community or neighborhood-based The Lead Based Paint Hazard Control
in the appendices should directly apply groups or organizations,local Program is authorized by section 1011
to the rating factor narrative. businesses,and others working with the of the Residential Lead Based Paint
pro am. Hazard Reduction Act of 1992 (Title X
(2)Application Checklist (g) copy of your approval of the Housing and Community
In addition to the certifications and notification for the current program year Development Act of 1992).
assurances listed in the General Section for your jurisdiction's Consolidated BILLING CODE 4210-32-P
Lss:stance Award/ U.S.Department of Housing
.mendment and Urban Development
EXHIBIT "B"
Office of Administration
1.Assistance Instrument 2. Type of Action
pCooperative Agreement Fl Grant X Award Amendment
. . .nstnunent Number 4. Amendment Number 5.Effective Date of this Action 6. Control Number
NEL B0142-99 January 1,2000
7. Name and Address of Recipient 8. HUD Administering Office
City of Omaha HUD, Office of Lead Hazard Control
Planning Dept. 451 Seventh Street, SW
Omaha/Douglas Civic Center ' Room P3206
1819 Farnam St., Suite 1110 Washington,DC 20410
Omaha,NE 68183
8a.Name of Administrator 8b. Telephone Number
Curtissa L Coleman (202)755-1785 x119
10.Recipient Project Manager 9. HUD Government Technical Representative
Mike Saklar, 402 114 5170 Eric Axelrod,(202)755-1785 x107
11. Assistance Arrangement 12. Payment Method 13.HUD Payment Office
® Cost Reimbursement n_ Treasury Check Reimbursement CFO Accounting Center
I I Cost Sharing _ Advance Check . Administrative Accounting Division, 6AFF
Fixed Price ® Automated Clearing House P.O.Box 901013
Fort Worth TX 76101 \
14. Assistance Amount 15. HUD Accounting and Appropriation Data
Previous HUD Amount $ 00.00 15a. Appropriation Number 15b. Reservation Number
HUD Amount this action $ 2,000,000.00 86x0174(LHB) LHB99-16
Total HUD Amount $ 2,000,000.00 Amount Previously Obligated $ 00.00
Recipient Amount $ 225,000.00 Obligated by this action $ 2,000,000.00
Total Instrument Amount $ 2,225,000.00 Total Obligated $ 2,000 000.00
'description
Employer Identification Number: 47-6006304 Program: LBA
its grant is issued to provide funding to control Lead-Based Paint Hazards in eligible housing units constructed before 1978.
its grant consists of the following, some of which may be incorporated by reference.
Cover Page,HUD 1044 _
Schedule of Articles
Statement of Work/Work Plan
Grantee's financial and technical proposal
Mutually agreed and negotiated proposal changes -
•
Abstract of grant activities
OMB Circular A-102,which was implemented by 24 CFR 85
OMB Circular A-110,which was implemented by 24 CFR 84
OMB Circular A133, which was implemented by 24 CFR 84 and 85
Notice of Funding Availability(Federal Register/Vol. 64,No.38/page 9699,Friday, February 26, 1999/Notices)
riod of Performance is January 1,2000 through December 31,2002.
JMBER OF UNITS TO RECEIVE LEAD HAZARD CONTROL: 330
7. Recipient is required to sign and return three(3)copies of 18. Recipient is not required to sign this document.
this document to the HUD Administering Office.
). Recipient y Nam-): A f. 20.HUD(By Name):C --
ignature&Tat• ! ina,lec._ • Gel:dr...2 J-- ''!.....,-..
y Date: Signature&Ti
/9,/ze7 ( , , .,--- -2.__--' ,
. ..pus editio are oso!,te `
TT EST: form HUD 1044(8/90)
APPRO AS TO FORM: ref Handbook 2210.17
, ....72)/(Y / /
ii(_,e ,(, ( ,e--#G-I 0 - -
1:-4)
ity erk of t e City of Omaha AS SISTANT CITY ATTORNEY
•
SCHEDULE OF ARTICLES
1. DEFINITIONS
2. SCOPE OF WORK(COST-REIMBURSEMENT)
3. PERIOD OF PERFORMANCE
4. ** GRANTEE CERTIFICATION PROGRAM REQUIREMENTS (SPECIAL CLAUSE)
5. CONDUCT OF WORK
6. KEY PERSONNEL
7. ALLOWABLE COST
8. AMOUNT OF COST SHARE(ESTIMA LED COST AND PAYMENT-MATCHING)
9. BUDGET
10. ESTIMATED COST AND PAYMENT-LINE OF CREDIT CONTROL SYSTEM(LOCCS)
11.RESERVED
12. COLLECTION OF DATA
13. REVIEW OF DELIVERABLES INSPECTION AND ACCEPTANCE i F
14. LIMITATION ON CONSULTANT PAYMENTS
15. PUBLICATIONS AND NEWS RELEASES
16. REPRODUCTION OF REPORTS
17. PATENT RIGHTS (SMALL BUSINESS FIRMS AND NONPROFIT ORGANIZATIONS)
18. LIMITATION ON PAYMENTS TO INFLUENCE CERTAIN
FEDERAL TRANSACTIONS (OVER$100,000)
19. PROJECT MANAGEMENT SYSTEM
20. GOVERNMENT PROPERTY
21. AMENDMENTS
22. CHANGES
23. DISPUTES
•
24. ORDER OF PRECEDENCE
25. OTHER ADMINISTRATIVE PROVISIONS
26. UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS •
AND COOPERATIVE AGREEMENTS TO STATE AND LOCAL GOVERNMENTS
27. CERTIFICATION PROHIBITING EXCESSIVE FORCE AGAINST NON-VIOLENT CIVIL RIGHTS
DEMONSTRATORS
28. ** SPECIAL CONDITIONS CLAUSE
**NOTE:UNIQUE CLAUSES-CONTAIN SPECIAL REQUIREMENTS-PLEASE READ
Grant Number:NELHB0142-99 Page Number 2 jti
1. DEFINITIONS
a. The term "grant" as used herein refers to either a grant or a cooperative agreement instrument.
b. The term "grantee" as used herein also refers to recipients of cooperative agreements.
c. The term"Grant Officer"means the official authorized by HUD to execute and/or administer this
grant This term also refers to a Cooperative Agreement Officer when the instrument is a cooperative agreement
d. The term "Government Technical Representative(GTR)"means the HUD individual who is
responsible for the technical administration of the grant, the evaluation of performance under the grant,the
acceptance of technical reports or projects, and other such specific responsibilities as may be stipulated in the
grant.
e. The term"Head of the Awarding Activity(HAA)"means a HUD official, at the Assistant Secretary
level or equivalent, with authority for policy, award, and administration of discretionary grants within one or more
HUD organizational elements. For this grant, the HAA is the Director of the Office of Lead Hazard Control.
f_ The term Guidelines refers to the definitions, standards and information contained in the guide entitled
"Guidelines for the Evaluation and Control of Lead-Based Paint in Housing"HUD,June 19\95 and includes a
revised Chapter 7, dated September 1997. The guidelines are incorporated by reference.
2. SCOPE OF WORK(COST-REIMBURSEMENT)
The grantee shall furnish the necessary personnel,materials, services, equipment, facilities(except as
otherwise specified herein)and otherwise do all things necessary for or incidental to the performance of the work
set forth in the Statement of Work,Attachment A and the Management and Work PIan below.
Management and Work Plan
The Grantee shall complete and submit a detailed management and work plan within sixty(60)calendar
days after the effective start date of the grant(See Block 5, HUD 1044). This plan shall revise and update the
general plan submitted with the proposal and include any negotiation changes of the work plan or budget if
g
applicable_
The management and work plan, which consists of the goals and time-phased objectives for each of the
major tasks to be undertaken by the program. A revised budget,in accordance with the final negotiation, shall be
submitted(if necessary). The work plan shall also include a detailed description of how assistance and funding
will flow from the grantee to the actual performers of the hazard reduction work;the selection process for
subgrantees and subcontractors; the selection process for the particular properties to be abated, and the screening
and health measures to protect the children and other occupants. Where there is interdependence among the tasks,
the work plan shall indicate how each interdependent task will provide needed inputs to the others.
The management and work plan shall be subject to review and revision by HUD, and when approved by
the GTR, shall be incorporated in the grant.
3. PERIOD OF PERFORMANCE
The grantee shall provide all services hereunder for a period of 36 months from the effective date of the
grant. This is based on the planning/abatement/hazard control portion of the grant being accomplished in 36
months. Requests for time extensions will not be accepted until the 24th month.
Grant Number:NELHB0142-99 Page Number 3
4. ** GRANTEE CERTIFICATION PROGRAM REQUIREMENT
The Grantee agrees that funds under this grant shall be available only for projects conducted by
contractors certified and workers trained through an EPA authorized state program or through an EPA
administered state program
Unless the Environmental Protection Agency(EPA)has granted approval of the State Certification
Program at the time of the grant award, the Grantee shall carry out its abatement program using personnel
certified by EPA.
•
5. CONDUCT OF WORK
During the effective period of this grant, the Government Technical Representative and/or the
Government Technical Monitor identified in Block 9 of the cover page shall be responsible for monitoring the
technical effort of the grantee, unless the grantee is notified in writing by the Grant Officer of a replacement.
Only the Grant Officer has the authority to authorize deviations from this grant, including deviations from
the Statement of Work./Work Plan. In the event the grantee does deviate without written approval of the Grant
Officer, such deviation shall be at the risk oi; and any costs related thereto, shall be borne by the grantee.
6. KEY PERSONNEL
The personnel specified below are considered to be essential to the work being performed hereunder:
To Be Negotiated
Prior to diverting any of the specified individuals to other work, the grantee shall notify the Grant Officer
reasonably in advance and shall submit justification(including proposed substitutions)in sufficient detail to
permit evaluation of the impact on the work effort. No diversion shall be made by the grantee without the written
consent of the Grant Officer.
7. ALLOWABLE COST
For the performance of the work under this instrument,HUD shall reimburse the grantee for costs
incurred(hereafter referred to as"allowable costs")which are determined by the Grant Officer to be allowable,
allocable, and reasonable in accordance with the following cost principles*:
a. For colleges and universities: OMB Circular A-21.
b. For State and local Governments: OMB Circular A-87.
c. For other nonprofit organizations: OMB Circular A-122.
d. For all other grantees,Federal Acquisition Regulation, Subpart 31.2.
*The revised version of these documents in effect on the date of award shall govern.
8. ESTIMATED COST AND PAYMENT—MATCHING(PROPORTIONAL REDUCTION OF FEDERAL
SHARE):
"The estimated cost for the performance of the grant is$2,225,000. The costs will be shared by the
Government and the grantee as follows:
The grantee shall incur costs in conformance with the budget shown below or otherwise attached. The
grantee shall not commingle any funds computed under this grant with any other existing or future operating
accounts held by the grantee. - -
Grant Number:NELHB0142-99 Page Number 4 r—�,
The grantee shall be reimbursed by the Government in an amount not to exceed$2,000,000 for allowable
costs incurred in the performance of this grant.
The grantee agrees to bear without reimbursement by the Government the amount of$225,000 consisting
of the following budget line items.
If the grantee's actual matching contribution is less than$225,000,the Government reserves the right to
negotiate new line items and/or amounts to satisfy the grantee's match, or to reduce the Government's share
proportionally. The grantee shall notify the Government at any time it believes it will not meet its match by the
completion of the grant If the grantee exceeds the dollar amount shown above,there will be no impact on the
Federal share.
9. BUDGET
To Be Negotiated
If the grantees actual matching contribution is less than$225,000,the Government reserves the right to ,L
negotiate new line items and/or amounts to satisfy the grantee's match,or to reduce the Government's share
proportionally. The grantee shall notify the Government at any time it believes it will not meet its match by the
completion of the grant. If the grantee exceeds the dollar amount shown above,there will be no impact on the
Federal share.
Standard Form 269,Financial Status Report, detailing match or in-kind contributions shall be
submitted on a quarterly basis. A final narrative and Standard Form 269 reports detailing the progress
made in achieving the purpose of the grant and adequate documentation of the total funds expended in
support of the activities to achieve this purpose(both Federal and in-kind 10 percent match)are due 90
days after the end of the period of performance.
10. ESTIMATED COST AND PAYMENT-LINE OF CREDIT CONTROL SYSTEM (LOCCS)
The grantee shall be reimbursed for costs incurred in the performance of work under this grant in an
amount not-to-exceed$2,000,000. In the event the grantee incurs cost in excess of this amount,the excess shall
be borne entirely by the grantee.
Incurred costs shall be reimbursed through HUD's Line of Credit Control System(LOCCS) using the
electronic Voice Response System(VRS). LOCCS uses a computer software program which ensures that
requested payments do not exceed the amount authorized to the grantee. Each day LOCCS generates a payment
tape for the Department of the Treasury which disburses the payments via the Automated ClearingHouse(ACH)
Payment System and a Voucher and Schedule of Payments. All payments are certified by HUD and forwarded to " 4
Treasury for processing.
Before receiving funds from the VRS, the grantee must designate a financial institution in order for HUD
to make direct deposit payments through the ACH system. In the event the grantee, during the performance of
this grant, elects to designate a different financial institution for the receipt of any payments, notification of such
change and the related information must be received by the Grant Officer 30 days prior to the date such change is
to become effective.
In order to have access to LOCCS and the VRS, the grantee shall obtain a Security ID and Password from
HUD's LOCCS Security Officer, using the form HUD-27054,LOCCS Voice Response Access Authorization
Form.
The grantee shall submit the original vouchers for work performed to the GTR identified in Block 9 of the
form HUD-1044. The voucher shall be supported by a detailed breakdown of the cost(s) claimed. In order
Grant Number:NELHB0142-99 Page Number 5
`_"
. . to assure proper payment,it is impoi taut that the voucher is in accordance with the payment amount requested
through the VRS. Payment requires the authorized grantee to telephone the VRS and provide the Security ID
number and requested information.
Detailed instructions for using the LOCCS-VRS are provided in your transmittal letter.
Funds advanced to the grantee shall be maintained in an interest bearing account. Any interest earned by the
grantee as a result of the advanced funds shall be promptly returned to HUD. If the grantee is a State or local
government, the grantee may retain up to $100.00 of interest earned per grantee's fiscal year for administrative
expenses.
12.REVIEW OF DELIVERABLES
a. Definition -For the purpose of this clause, "Deliverables"include:
(1)All interim and final reports,
(2)Survey instruments required by Statement of Work/Work Plan, and
(3)Other physical materials and products produced directly under the Statement of-Work/Work Plan of
this grant.
b. General
(1)The GTR shall have the sole responsibility for HUD review, correction, and acceptance of the
deliverables of this grant. Such review(s) shall be carried out promptly by the GTR, so as not to impede the work
of the grantee. The Products of Work shall be deemed as accepted as submitted if the GTR has not issued written
comments and/or required corrections within thirty(30)days of the date of the GTR's receipt of such product
from the grantee.
(2)The grantee shall carry out the required corrections, if any,provided by the GTR and shall promptly
return a revised copy of the product to the GTR.
(3)The GTR's review, correction, and acceptance of deliverables shall be limited to: (1) corrections of
omissions or errors of fact,methodology, or analysis; (2) deletion of irrelevant materials;and(3)improvements in
style readability.
(4)In the review and acceptance of deliverables, the GTR may not require any change in the grantee's •
stated views, opinions, or conclusions. •
(5) Should there be any disagreement between the grantee and the GTR as to any correction, or the },
methodology or analysis on which any conclusion is based, the GTR may require the grantee to insert a
Government dissent(s) in the appropriate place(s). The inclusion of such dissent(s) in an Official Product of
Work, otherwise found acceptable by G 1'R, and the return to the GTR of a revised copy containing the dissent(s),
shall satisfy the requirements for acceptance of the Official Product of Work under this clause.
(6) Such dissent(s) shall not apply to any independent publication by the grantee of Independent Products
which may arise from the work or findings of this grant.
13. COLLECTION OF DATA
Collection of data from ten or more respondents and sponsored by HUD shall be subject to the Paperwork_:..
Reduction Act(44 U.S.C. 3501 -3520). If a survey instrument is proposed, it will be subject to review and
approval by the Office of Management and Budget(OMB). Such review and approval must be obtained prior to
Grant Number:NELHB0142-99 Page Number 6
the use of the survey instrument. Also, a time element is involved here which may considerably lengthen the time
required for completion of the project proposed. Careful consideration should be given to any proposal which
requires the use of a survey. The collection of data is deemed to be sponsored by HUD only under the following
conditions:
a.. The grantee represents to respondents that the information is being collected for or in association with
HUD (however,this condition is not intended to preclude mention of Federal support in response to an inquiry, or
an acknowledgment of Federal assistance in any publication or report on the data); or
b. The grantee uses the data collection activities to collect information that HUD has requested for the
planning, operation, or evaluation of its program; or
c. The terms and conditions of this grant provide for approval by HUD of the survey design questionnaire
content, or data collection procedure; or
d. The terms and conditions of this grant provide for either submission to HUD of the data for individual
respondents or the preparation and submission of tabulations requested by HUD.
e. Collection of data under circumstances other than the four conditions given above is not a sponsored
collection and is not subject to the Paperwork Reduction Act.
14. LIMITATION ON CONSULTANT PAYMENTS
As required by HUD's Appropriations Act, salary payments to consultants under this instrument shall not
exceed the equivalent of the maximum daily rate paid to level IV of the Executive Schedule for Federal
Employees. This limitation refers to consultants hired through the grantee's personnel system,but not to
consultants who perform as independent contractors.
15. PUBLICATIONS AND NEWS RELEASES
a. Definition. For the purpose of this clause, "publication"includes:
(1) Any document containing information for public consumption; or,
(2) The act of or any act which may result in, disclosing information to the public.
b. The results of this program are planned to be made available to the public through dedication,
assignment by HUD, or such other means as the Secretary shall determine.
c. Government Ownership of Official Products of Work
All interim and final reports and information, data analyses, special methodology, findings, and their
related documents and work products, including reports, work sheets, survey instruments, computer tapes, and
any other physical materials and products produced directly under the Statement of Work/Work Plan of this grant
are considered Official Products of Work, owned by the Government and held for the benefit of the public.
d. Publication of Official Products of Work
•
•
Official Products of Work, quotations therefrom, para-phrasing, or disclosures of interim findings may
not be published without the approval of the GTR for a period of sixty(60) days after acceptance of the product
by the G F R. Thereafter, the grantee shall be free to publish without HUD approval.
e. Acknowledgment and Disclaimer
Grant Number:NELHB0142-99 Page Number 7
All Official Products of Work, or any part thereof, and any Independent Products and Special Products
arising out of this instrument, when published by the grantee or other participants in the work, shall contain the
following acknowledgment and disclaimer:
"The work that provided the basis for this publication was supported by funding under a grant with the -
U.S. Department of Housing and Urban Development. The substance and findings of the work are dedicated to
the public. The author and publisher are solely responsible for the accuracy of the statements and interpretations
contained in this publication. Such interpretations do not necessarily reflect the views of the Government."
£ Notice of News Release and Public Announcements
Two copies of all press releases, formal announcements, and other planned, written issuances containing
news or information concerning this grant that may be made by the grantee or its staff or any subcontractor or
other person or organization participating in the work of this grant shall be provided to the GTR at the earliest
possible time. News releases and other public announcements may not disclose any interim finding or quote or
paraphrace any part of any Official Product of Work without complying with paragraph e. above.
16. REPRODUCTION OF REPORTS
BRANCH PROCUREMENT OF CERTAIN KINDS OF PRINTING; "PRINTING"
DEFINED
Pub. L. 102-392, title II, Sec. 207(a), Oct. 6, 1992, 106 Stat.
1719, as amended by Pub. L. 103-283,title II, Sec. 207,July 22,
1994, 108 Stat. 1440;Pub.L. 104-201, div. A, title XI, Sec.
1112(e)(1), Sept 23, 1996, 110 Stat 2683,provided that:
"(1)None of the funds appropriated for any fiscal year may be obligated or expended by any entity of
the executive branch for the procurement of any printing related to the production of Government publications
(including printed forms),unless such procurement is by or through the Government Printing Office.
"(2)Paragraph(1)does not apply to (A) individual printing orders costing not more than$1,000,if the
work is not of a continuing or repetitive nature, and, as certified by the Public Printer,if the work is included in a
class of work which cannot be provided more economically through the Government Printing Office, (B)printing
for the Central Intelligence Agency,the Defense Intelligence Agency, National Imagery and Mapping Agency, or
the National Security Agency, or(C)printing from other sources that is specifically authorized by law.
"(3) As used in this section, the term'printing'includes the processes of composition,platemaking,
presswork, duplicating, silk screen processes,binding,microform, and the end items of such processes."
17. PATENT RIGHTS (SMALL BUSINESS FIRMS AND NONPROFIT ORGANIZATIONS)
Patent rights are as specified in 37 CFR Part 401 entitled "Rights to Inventions made by Nonprofit
Organizations and Small Business Firms under Government Grants, Contracts and Cooperative Agreements".
Inquiries regarding this Patent Rights clause should be in writing and directed to:
Grant Officer
Office of Lead Hazard Control
U.S. Department of Housing and Urban Development
451 Seventh Street,Room P3206
Washington, DC 20410-3000
Grant Number:NELHB0142-99 Page Number 8
•
_ 18.. LIMITATION ON PAYMENTS TO INFLUENCE CERTAIN FEDERAL 1RANSACTIONS (OVER
$100,000)
Section 1352 of Title 31, U.S.C. provides in part that no appropriated funds may be expended by the
recipient of a Federal contract, grant,loan, or cooperative agreement to pay any person for influencing or
attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of.
Congress, or an employee of a Member of Congress in connection with any of the following covered Federal
actions:the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan,
the entering into of any cooperative agreement, and the extension, continuation,renewal, amendment, or
modification of any Federal contract, grant,loan, or cooperative agreement.
19. PROJECT MANAGEMENT SYS 1'bM
The grantee shall use the HUD project management system specified in this clause. The HUD system
requires the submission of a work plan and quarterly status reports showing actual progress against the work plan.
The project management system utilizes quantifiable data and a narrative description of progress.
Briefly,the work plan and progress reports shall consist of the following:
WORK PLAN.
The work plan shall be submitted to the GTR and shall consist of the goals and specific time-phased
objectives established for each of the major activities and tasks required to implement the program. These
include: 1)Program Management and Capacity Building including data collection and program evaluation;2)
Community Education, Outreach and Training;and 3)Lead Hazard Control activities including testing,
interventions conducted, and relocation.
The narrative shall include: 1)the management plan which describes how the project will be managed; 2)
a detailed description of how assistance and funding will flow from the grantee to the actual performers of the
hazard reduction work; 3)the selection process for subgrantees, subcontractors or subrecipients; 4)the selection
process for the particular properties where lead hazard control interventions are to be conducted; 5)the testing
procedures to identify lead hazards; 6)the levels of intervention and clearance procedures to be conducted for
units enrolled;7)the number of units proposed for each intervention level; 8)the relocation plan which will be
carried out for residents required to be out of their homes during hazard control activities; 9)the education,
outreach and training activities to be undertaken by the program; and 10)the screening and health measures to be
undertaken to protect children and other occupants.
PROGRESS REPORTS.
Progress reports shall be submitted to the GTR thirty(30)days after completion of each quarter of the
project. It shall consist of quantifiable data and a narrative report, which depicts actual progress against the
approved work plan. The narrative report shall: (1)provide a brief, factual summary description of technical
progress made for each task(or group of tasks) during the reporting period; and(2)identify significant problems
and their impacts, causes,proposed corrective actions and the affect that such corrective actions will have on the
accomplishment of the grant objectives.
Specific and detailed guidance on preparing the work plan and completing progress reporting forms and
the narrative may be obtained from the GTR.
•
Grant Number:NELHB0142-99 Page Number 9
20. •GOVERNMENT PROPERTY
The following Government equipment acquired for the performance of this grant is identified as follows:
Items •Cost
NONE
21. AMENDMENTS
This grant may be modified at any time by a written amendment. Amendments which reflect the rights
and obligations of either party shall be executed by both HUD(the Grant Officer)and the grantee. Administrative
amendments, such as changes in appropriation data,may be issued unilaterally by the Grant Officer.
22. CHANGES: The following text from the Code of Federal Regulations, CFR 24 85.30, Changes is added to
the grant document:
"Section 85.30, Changes.
(c) Budget changes—...subgrantees shall obtain the prior approval of the awarding agency whenever any of the
following changes is anticipated under a nonconstruction award: (i) Any revision which would result in the
need for additional funding. (ii)cumulative transfers among direct cost categories, or,if applicable, among
separately budgeted programs,projects, functions, or activities which exceed or are expected to exceed ten
percent of the current total approved budget,whenever the awarding agency's share exceeds$100,000.
(d) Programmatic changes. Grantees or subgrantees must obtain the prior approval of the awarding agency
whenever any of the following actions is anticipated:
(1) Any revision of the scope or objectives of the project(regardless of whether there is an associated budget
• revision requiring prior approval).
(2) Need to extend the period of availability of funds.
(3) Changes in key persons in cases where specified in an application or a grant award. In research projects, a
change in the project director or principal investigator shall always require approval unless waived by the
awarding agency.
(4) Under nonconstruction projects, contracting out, subgranting(if authorized by law)or otherwise obtaining the
services of a third party to perform activities,which are central to the purposes of the award does not apply to
the procurement of equipment, supplies, and general support services..."
23. DISPUTES
During performance of the grant, disagreements may arise between the grantee and the Grant Officer on
various issues. If a dispute concerning a question of fact arises, the Grant Officer shall prepare a final decision,
taking into account all facts and documentation presented. The decision shall be mailed to the grantee. The '. •
grantee may appeal the decision within thirty(30)days to the Deputy Secretary of HUD, or his or her designated
representative.
24. ORDER OF PRECEDENCE
In the event of any inconsistency among any provisions of this grant, the following order of precedence
shall apply:
a NOFA
b. Management and Work Plan
c. Grantee Certification Program Requirement
Grant Number:NELHB0142-99 Page Number 10
d. Statement of Work/Work Plan(excluding the grantee's proposal, if incorporated).
e. Special Conditions
f. Schedule of Articles.
g. Uniform Administrative Requirements.
h. Grantee's Proposal (if incorporated).
25. OTHER ADMINISTRATIVE PROVISIONS
The grantee shall comply with all standard assurances which were executed as part of the application
process.
The grantee must also comply with the following:
"Metric Conversion Act of 1975", as amended(codified as amended at 15 U.S.C.205a-205k), and Executive
Order No. 12770 ("Metric Usage in Federal Government Programs"), 56 FR 35,801 (1991).
"Cash Management Improvement Act of 1990" as amended(codified as amended in scattered sections of Title 31
U. S. Code).
"Executive Order No. 12803 ("Infrastructure Privatization"), 57 FR 19,036 (1992), and Executive Order No.
12893 ("Principles for Federal Infrastructure Investment"), 59 FR 4299(1994)".
"Resource Conservation and Recovery Act of 1976, section 6002, (as amended at 42 U.S. Code 6962)".
"Seat Belt Usage, in accordance with Executive Order 13043—Increasing Seat Belt Use in the United States, all
grantees are encouraged to adopt and enforce on-the-job seat belt policies and programs for their employees when
operating company-owned,rented or personally owned vehicles."
26. UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND COOPERATIVE
AGREEMENTS TO STATE AND LOCAL GOVERNMENTS
The following provisions of 24 CFR Part 85, "Uniform Administrative Requirements for Grants and
Cooperative Agreements to State and Local Governments,"are incorporated by reference. Upon request, the
Grant Officer will make their full text available. Where clarifying or specific HUD instructions are required,they
will appear in full text The term "grant" as used herein also refers to cooperative agreement instruments. The
term "Grant Officer" as used herein also refers to Cooperative Agreement Officers,when the instrument is a
cooperative agreement
27. CER fa'ICATION PROHIBITING EXCESSIVE FORCE AGAINST NON-VIOLENT CIVIL RIGHTS
DEMONSTRATORS
This certification applies to any grant or cooperative agreement using funds appropriated under section
103 of the Housing and Community Development Act of 1974(42:U.S.C. 5304).
The applicant certifies that it has adopted and is enforcing:
a A policy prohibiting the use of excessive force by law enforcement agencies within its jurisdiction
against any individuals engaged in non-violent civil rights demonstrations; and
b. A policy of enforcing applicable State and local laws against physically barring entrance to or exit
Grant Number:NELHB0142-99 Page Number 11
•
from a facility or location which is the subject of such non-violent civil rights demonstrations within its
jurisdiction.
28. SPECIAL CONDITIONS CLAUSE"
The grantee agrees to comply with the following special requirements particular to the Lead Based Paint Hazard
Control Grant Program.The Grantee shall:
a. Develop written procedures for all phases of testing and abatement that are formally agreed to by
HUD,which are consistent with the HUD Guidelines for the Evaluation and Control of Lead-Based Paint hazards
in Housing(hereafter known as the Guidelines). The Guidelines are dated June 1995 and include a revised
Chapter 7, dated September 1997.
b. Request and receive formal concurrence from HUD for deviations from the procedures described in the
Guidelines. Such deviations may include thresholds for abatement hazard control or post abatement hazard
control clean-up procedures which differ from the HUD Guidelines.
c. Comply with appropriate HUD and EPA regulations regarding lead-based paint notification,
disclosure, or work practices during lead hazard control activities.
d. Prohibit the use of open-flame burning, chemical strippers containing methylene chloride, dry
scraping,uncontained hydroblasting or hydrowashing,uncontained abrasive blasting, machine sanding without
HEPA attachments or heat stripping above 1100°F as work practices at anytime.
e. Observe the procedures for worker protection established by the Federal Occupational Safety and
Health Administration(29 CFR 1910.1025).
£ Dispose of waste resulting from lead hazard control activities in accordance with the regulations
associated with the Resource Conservation and Recovery Act of 1976, administered by the Environmental
Protection Agency(40 CFR parts 260-268)or other appropriate state or local regulations.
g. Conduct post-control dust-wipe testing in all housing units where lead hazards are addressed. Post-
hazard control wipe-test shall meet the clearance thresholds contained in the HUD Guidelines before occupancy
shall be permitted. An independent EPA NLLAP recognized laboratory shall conduct all analyses of wipe testing.
h. Test and record blood-lead levels of all children under the age of six occupying affected units
immediately prior to the abatement or hazard control. Centers for Disease Control and Prevention(CDC)
recommendations for blood lead are to be followed. Children with elevated blood levels(EBL'S) shall be referred
for appropriate treatment and follow-up medical care.
i. Cooperate with any federally sponsored or endorsed monitoring or evaluation efforts done in
conjunction with the Grantee's lead hazard control activities under this program. This includes collecting data on
the relative cost and effectiveness of hazard control methods and providing documentation of all testing,
inspection, and hazard control actions.
j. If a grantee operates a loan program with the funds provided under this grant, any revenue recaptured
from the loan repayments may be retained by the grantee, and can only be used for lead-based paint abatement or
hazard control activities.
k. As requested by our Office Policy Guidance Issuance dated April 14, 1995,the HUD Form 60002,
Economic Opportunities for Low-and Very Low-Income Persons(Section 3)must be submitted by January 10
yearly.
1. As requested by our Office Policy Guidance Issuance dated August 30, 1994, the HUD Form 7015.15,
Grant Number:NELHB0142-99 Page Number 12
l I^
N
J
Request for Release of Funds& Certification must be submitted and approved before any lead hazard control
acti vities can begin.Lead hazard control activities include the conduct of inspections and risk assessments.
m. The number of units to be treated shown on the HUD 1044, Assistance Award/Amendment Form, is
the number which will be used for all grant and evaluation efforts.Revision of this number will require a grant
amendment.
n. Comply with Office of Lead Hazard Control Policy Guidance which describes specific work practice,
management, or reporting requirements.
o. Provide a copy of all lead-based paint inspection, risk assessment, and clearance test reports to the
property owner to allow for later Lead-Based Paint disclosure under Section 1018 of Title X. The letter
transmitting these reports must include the statement shown below:
"The federal Residential Lead-Based Paint Hazard Reduction Act; 42 U.S.C.4852d,requires
sellers and landlords of most residential housing built before 1978 to disclose all available records
and reports concerning lead-based paint and/or lead-based paint hazards,including the test results
contained in this notice,to purchasers and tenants at the time of sale or lease or upon lease.
renewal. This disclosure must occur even if hazard reduction or abatement has been completed.
Failure to disclose these test results is a violation of the U.S. Department of Housing and Urban
Development and the U.S.Environmental Protection Agency regulations at 24 CFR Part 35 and
40 CFR Part 745 and can result in a fine of up to $11,000 per violation. To find out more
information about your obligations under federal lead-based paint requirements, call 1-800-424-
LEAD."
p. PARTNERSHIP RELATIONSHIPS WITH COMMUNITY BASED ORGANIZATIONS: No Federal
funds shall be disbursed by HUD under this grant agreement until the grantee provides the assigned HUD
Government Technical Representative (GTR) with acceptable documentation, such as a Memorandum of
Understanding, subcontract agreement or Letter of Commitment, that indicates a formal partnership exists
between the grantee and one or more Community-Based Organizations (CBO)which meet the definition set forth
in Annex 2 of the NOFA published in conjunction with this award. Any changes that occur with these
agreements after the first submission must be addressed in the quarterly reports.
Grant Number:NELHB0142-99 Page Number 13
C..25A, CITY OF OMAHA C('-�': c�� - iS�(2 3_i 1,7
LEGISLATIVE CHAMBER
Omaha,Nebr 19
RESOLVED BY THE CITY COUNCIL OF THE CITY OF OMAHA:
WHEREAS, on February 26, 1999, the U. S. Department of Housing and Urban
Development published in the Federal Register a Notice of Funding Availability entitled "Lead-
Based Paint Hazard Control Program" designed to help address the problem of lead poisoning
from deteriorating lead paint in older homes; and,
WHEREAS, the City of Omaha undertook an collaborative process with the Douglas
County Health Department and three community based housing organizations to develop a
proposal for a lead-based paint hazard control program; and,
WHEREAS, the City of Omaha submitted to the U. S. Department of Housing and
Urban Development an application for funding for this collaborative program; and,
WHEREAS, on November 23, 1999, the U.S. Department of Housing and Urban
Development notified the City of Omaha of the conditional selection of its application for
funding under the 1999 Lead-Based Paint Hazard Control Program; and,
WHEREAS, the U.S. Department of Housing and Urban Development has awarded
grant number NELHB0142-99 in the amount of$2,000,000; and,
WHEREAS, the Lead-Based Paint Hazard Control Program will bring the experience
and skills of the City Planning Department, the County Health Department and community
housing organizations into action to address the problem of childhood lead poisoning;
NOW, THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE
CITY OF OMAHA:
THAT, the City accepts and the Mayor is authorized to execute the following U.S.
Department of Housing and Urban Development Lead-Based Paint Hazard Control Program
Grant Agreement: NELHB0142-99 in the amount of$2,000,000.
By
Councilmember
Adopted
- City Clerk
Approved - _
Mayor
CITY OF OMAHA
" ... ,4 .
LEGISLATIVE CHAMBER
Omaha,Nebr 19...........
PAGE 2
BE IT FURTHER RESOLVED:
THAT, the City match of $100,000 in this grant shall be paid from Contingent
Liability Reserve Fund 104.
P:\PLN3\4941pjm.doc APPROVED AS TO FORM:
(i_q„-/4 / 2 — •
CITY ATTORNEY DATE
I hereby certify that the foregOing is a true
correct copy of the., original document
low on the in the Cii Clerk's ffi .
CITY CLERK
BY
0,124 147Lcrk
Councilmember
I/EC 1 4 1999 Os cyhe d 4 -7 -
opted
411:4Cflerk
Approved. 1
N1ayor
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•
OMAHA LEAD-BASED PAINT HAZARD CONTROL PROGRAM
WORKPLAN
Exhibit "C"
PROGRAM MANAGEMENT
The program management team will include representatives of the Housing Division of the
Omaha Planning Department (HCD) and the Douglas County Health Department (DCHD). The
team will consist of the HCD Manager, HCD Planner, HCD Loan Section Manager, DCHD
Supervisor/Project Director and the DCHD Project Manager.
• HCD Community Development Manager, Mike Saklar, who will spend 5% of his time on
the program, is responsible for grant administration and primary administrative oversight
of the program and will provide technical assistance for and monitoring of program
activities.
• HCD Planner, Marian Todd, is assigned to work as liaison between HCD and DCHD.
During the initial stages of the program she will facilitate the needed technical assistance
for DCHD in areas of loans and grants, etc. and assist in the development of paperwork
and cooperative procedures necessary for program implementation. She will monitor
reports and activities of the DCHD to insure continuing cooperation between the two
agencies and compliance with program regulations. Her experience with housing
programs will be invaluable.
• HCD Loan Section Manager, Daisy Burton,will assist in the development of grant
agreements and loan contracts. She will be responsible for review of loans for loan
underwriting. With her staff, she will provide technical assistance to DCHD's Project
Director and Project Manager, and the participating Community-Based Housing
Organizations regarding the development of processes to determine eligibility of property
owners and the preparation of loan contracts and grant agreements.
• DCHD Supervisor/Project Director,Reid Steinkraus, will be responsible for development
and policy making for the project. He will assure the coordination of the activities of the
various participating agencies that are partners in the project. He will oversee all the •
duties of the Project Manager and be a member of the Loan Selection Committee. He
presently supervises the Childhood Lead Poisoning Prevention Program and is
responsible for data management for that program. He will spend 25% of his time on this
project.
• DCHD Project Manager, Jonah Deppe, will manage the day-to-day activities of the
project. She will be a contracted employee of the DCHD for the three-year grant period.
She will monitor the lead-based paint hazard reduction work provided by the CBHO's
and will be responsible for creating, supporting, and coordinating new LBP poisoning
prevention educational activities. Ms. Deppe has ten years of experience administering
0
OMAHA LEAD-BASED PAINT HAZARD CONTROL PROGRAM
WORKPLAN—Page 2, REV. 5.1.00
Environmental Lead and Childhood Lead Poisoning Prevention Programs for the State of
Illinois and the City of Chicago including a HUD grant. She will spend 100% of her time
working for this project.
An Interagency Agreement is being developed to ensure interagency coordination between
the City Planning Department's Housing Community Development Division and the Douglas
County Health Department's Environmental Health Division. This agreement will cover the
administrative and coordination activities to be provided by each agency as stated above.
The above listed Project Management Team will meet on a monthly basis to provide progress
reports and solve any existing or potential problems. This team will meet more often during the
initial phase of the project. HCD will facilitate linkage between the project and existing housing
rehabilitation programs operated by HCD. In addition, HCD will facilitate coordination with the
Nebraska Historic Preservation Office and linkage with current housing rehabilitation programs
including the Target Area Program, the Emergency Rehabilitation Program and the Rental
Rehabilitation Program. These rehabilitation programs have constraints, which may limit the
capacity to provide additional rehabilitation assistance with the Lead Program.
Contracts will be completed between DCHD and the Project Manager by March 31 and the
Community- Based Housing Organizations to provide the day-to-day activities for the project by
April 30 2000. The Project Manager will develop project procedures for all phases of testing and
abatement in accordance with HUD Guidelines, implementation of the project including
coordination with DCHD's CLPPP Program, participation of CBHO's,recruitment and training
of contractors and workers, financial reimbursement procedures and forms, development and
implementation of community education and outreach programs, and development of
information packets. These procedures will be completed by April 30, 2000.
HCD will be the entity responsible for the grant funds. Funds will flow to the DCHD for
administration of the project, e.g.Project Manager, educational supplies, local travel, non-
consumable supplies, training, interpreters, relocation, and for contracts between DCHD and
the participating CBHOs. Reid Steinkraus will have management control over the CBHOs with
Jonah Deppe providing day-to-day oversight. HCD will make payments directly to the
contractors implementing the lead hazard control activities. DCHD will submit regular requests
for reimbursement from HCD for all other grant funded activities.
PROPERTY OWNER ENROLLMENT IN PROJECT
The Omaha Project targets priority housing in the designated target area consisting of nine
zip code areas located in the northeastern and southeastern sections of the City. The DCIID will
conduct blood-lead level testing of children residing in the target area and priority housing will
be designated by the identification of a child with an elevated blood lead level at or exceeding 20
ug/dl and resides in a dwelling unit located in the targeted area. The second priority level is
housing associated with the identification of a child with a blood lead level of 15-19 ug/dl. The
third priority level would be in housing associated with a child with a blood lead level of 45
ug/dl who resides outside the nine zip code area. The fourth eligibility level would be pre-1950
housing in the target area in which children 6 years of age and younger reside.
2 0
OMAHA LEAD-BASED PAINT HAZARD CONTROL PROGRAM
WORKPLAN
In addition to assistance being provided to owners(owner-occupied and rental owners) of
priority housing, eligibility will be based on:
Income at or below 80%of median income for the area.
Cost of lead hazard control not to exceed$8000 per unit.
Owner acceptance of continued maintenance and for rental owners an agreement to
continue to rent to low and very low income families with children under six years of age
for five years.
Participation in maintenance training program.
During the enrollment process, property owners and tenants will be notified that the project
does not involve displacement.
The CBHOs will assure that for rental property to be considered, fifty-percent of the tenants
have an income of 50%of the median income for the area or less. The other 50%may have an
income at or below 80%of the median income for the area.
• Participants in the project will be selected so that effective lead hazard controls can be
accomplished in the most cost-effective manner.Program procedures will exclude post 1978
dwelling units, childless dwelling units, 0-bedroom dwelling units, and buildings with more than
four units, and dwelling units with significant building code violations or structural damage.
Dwelling units without heat, electricity, and water would have to meet affordable housing
standards under the Section 8 Housing Assistance Program to be considered eligible for
assistance.
Three community meetings will be held to provide prospective eligible property owners and
the community with information about the Omaha Project and eligibility requirements. Families
and property owners for dwelling units where a child has been identified with an elevated blood
lead level at or exceeding 15 ug/dl will be notified of these meeting s and encouraged to attend.
These meetings will be held during May at times and locations which will facilitate attendance.
The three participating CBHOs will be responsible for receiving and processing grant and
loan applications. They will determine income eligibility and ownership. After determining
initial eligibility, a referral will be made to DCHD and the Construction Manager to provide a
risk assessment and determine condition of the property to be enrolled. If the property meets the
criteria listed above, the Project Manager will forward application and information to the HCD
Loan Section.
The HCD Loan Manager will review each grant and loan application and, if appropriate,
recommend approval to the Loan/Grant Committee. The Loan/Grant Committee will review the
application and information and make a decision regarding enrollment in the project. Upon the
enrollment of a project, the City of Omaha (through the HCD) will provide a grant or loan to the
property owner. The Construction Manager will be responsible for preparing the work write-
ups,putting the project out for bid, and overseeing the construction work. The property owner
will be responsible for entering into the construction contract with the contractor.
3 0
OMAHA LEAD-BASED PAINT HAZARD CONTROL PROGRAM
WORKPLAN—Page 2,REV. 5.1.00
It is anticipated that a total of 330 dwelling units will receive lead-based paint hazard
controls by the end of the project. 210 units will receive interim controls and 120 will receive
abatement including the replacement of windows.
The enrollment process should take fifteen to twenty working days depending upon the
availability of required information.
SELECTION OF SUBGRANTEES/SUBCONTRACTORS
Presently,there are three rehabilitation community-based housing organizations providing
services in the targeted area:
1) Holy Name Housing Corporation(HNHC) is a successful nonprofit developer of low-
cost housing started in 1982 as a grass roots effort by neighborhood residents in an area
located in northeast Omaha. HNHC has a history of working with old housing (pre-1950)
that is generally in poor condition. HNHC has worked with its own construction crew,
with General Contractors, and has also served as a General Contractor. HNHC
established a consortium of ten local lenders (Omaha 100) who provides below market
rate mortgages, provides home ownership counseling and assists new homeowners with
maintenance problems for a year after purchase. HNHC works in partnership with other
community development corporations and has provided start-up technical assistance to
other housing development organizations.
2) Housing and Neighborhood Developers (HANDS) formerly known as United Ministries
of Northeast Omaha is a neighborhood-based multi-service organization that devotes a
significant allocation of its resources to the production of affordable housing. Its primary
focus is the acquisition, rehabilitation and sale of single-family homes in an area of
Northeast Omaha, which is primarily pre 1950 housing. "HANDS"provides homebuyer
training and counseling. Homeowner financing is provided by Omaha 100 and through
the City of Omaha.
3) South Omaha Affordable Housing Corporation(SOAH) was established as a nonprofit
community development corporation in July of 1991 with direct assistance from HNHC.
SOAH helped rehabilitate dwelling units in South Omaha with the assistance of a
General Contractor. SOAH provides homebuyer counseling and services to new
homeowners, including language translation services. SOAH works primarily in five of
the targeted zip code areas where a high percentage of older homes(pre-1950) exist.
The three participating CBHOs have participated in planning for the grant application and
subsequent planning for implementation. They decided that the HNHC and SOAH organizations
would accept and process loan and grant applications, establish eligibility, and process the loan
contracts and grant agreements. "HANDS"was willing to provide the hiring and oversight of the
Construction Manager for the project.
4 el
OMAHA LEAD-BASED PAINT HAZARD CONTROL PROGRAM
WORKPLAN
All three organizations will assist in the recruitment of contractors and workers in the project
area to receive certification and additional training and provide the lead-based paint control
activities. Criteria for contractors who will bid on the work will be certification, experience, etc.
The CBHOs and Project Manager will establish this criteria and make it available to
community-based contractors. They are presently working with a representative from United
Minority Contractors Association of Nebraska regarding criteria for contractors and to develop
recruitment procedures.
The development of contractors and workers in the targeted areas with lead-based paint
hazard control skills will be promoted through the recruitment of community-based contractors
and workers to be trained and certified as lead abatement contractors, supervisors, and workers.
While these skills will be primarily developed for the implementation of the Omaha project,they
will assist the contractors in providing lead-based paint hazard controls to other property
owners.
In addition,the above persons will receive training in maintenance of property so it remains
free of lead-based paint hazards. They will be available to provide this service to property
owners especially those with rental property.
It is anticipated that 25 contractors, supervisors, and workers will be trained and certified
through funding from this grant. Certification training will be provided between April 15 and
May 15. In addition, Dennis Livingston will be providing hands-on training following the
certification training.
The train-the-trainer effort to be conducted by DCHD's CLPP Program will assist persons in
providing health education for the prevention and intervention of childhood lead poisoning. A
minimum of 20 persons will receive this training which would assist them in obtaining health
education or community advocate positions with community organizations.
PROCEDURES FOR LEAD HAZARD IDENTIFICATION
DCHD CLPP Program's Lead Technicians conduct the initial inspection of a dwelling unit
when a child has been identified with an elevated blood lead level> 15 ug/dl who resides in the
unit. These initial inspections are completed within two weeks of identification of the child. The
inspection evaluates the sources and exposure pathways in accordance with HUD Guidelines.
Lead Technicians use an XRF to determine lead-based paint where chipping or peeling paint is
found and in areas considered to be strike areas which could create lead dust. All interior rooms
and the exterior of the dwelling are tested for lead-based paint. Dust samples will be taken in
strike areas to determine if there are dust hazards present. The Project Director will be certified
as a Risk Assessor and will be able to determine where lead-based paint presents a lead hazard
and make recommendations for controlling the identified lead hazards. Dust wipes and paint
chips(if necessary)will be collected in accordance with HUD guidelines and analysis will be
performed by MACS Lab Inc., an NLLAP accredited laboratory. In evaluating exposure
IC—
OMAHA LEAD-BASED PAINT HAZARD CONTROL PROGRAM
WORKPLAN—Page 2,REV. 5.1.00
pathways, if the family identify a source pathway suggesting soil as an exposure route, soil
samples will be taken in bare soil sites where young children play. Soil samples will be sent to
the same accredited laboratory as dust wipes.
All homes being considered for lead hazard control work will receive a risk assessment and lead
based paint inspection at the same time. The risk assessment will be performed by the Project
Director. Inspections will be performed by DCHD Lead Technicians. See Table Below.
Analyte Risk Assessment Lead Based Paint
Inspection
Floors(Wood) Dust Wipe XRF
Floors (Tile or other) Dust Wipe None
Walls Visual Assessment XRF
Doors and Trim Visual Assessment XRF
Baseboards Visual Assessment XRF
Window Sills Dust Wipe XRF
Window Troughs Dust Wipe XRF
Exterior Siding Visual Assessment XRF
Porches Visual Assessment XRF
Porch Floor Dust Wipe (if necessary) XRF
Cabinets Visual Assessment XRF
Moldings Visual Assessment XRF
Ceilings Visual assessment XRF
Bathtubs Visual Assessment XRF
Exterior Trim Visual Assessment XRF
Fireplaces Visual Assessment XRF
PROVISION OF LEAD HAZARD CONTROL ACTIVITIES
250-
200 I i.
150 ( CI Level 18�II
100
/J_ p Level III&
50 Window
Replacement
0-Air h7
Lead Hazard Control
Project
6 1111
OMAHA LEAD-BASED PAINT HAZARD CONTROL PROGRAM
WORKPLAN
A total of 330 dwelling units will receive lead-based paint hazard controls. It is anticipated
that 120 units will receive abatement including the replacement of windows. The remaining 210
units will receive interim controls and property owners will receive maintenance training to
assist in keeping the lead-based paint hazards controlled.
Upon notification of preliminary approval for a grant or loan by the Project Manager,the
Construction Manager will initiate the bid process notifying all eligible contractors of bid walk-
through date and time. No bids can be made unless contractor participates in the bid walk-
through. Bids will be submitted five days after walk-through. An award will be made to the
lowest and best bid. The CBHO will be responsible for conducting the actual grant or loan
closing based on the bid amount. The Construction Manager will issue a proceed order to start
within ten days from closing date.
The Construction Manager will be responsible for negotiating the start date between the
property owner/tenant and the contractor. A Community Advocate for HANDS will assist the
Construction Manager by working with the family to facilitate their vacating the premises during
work (daily for interim controls and overnights for abatement). The Community Advocate will
inform property owners/tenants of their responsibilities during the work and will request stipends
for families during the work from the CBHO. The Community Advocate will notify the CLPP
Coordinator of the start date for work and the need for a blood draw for involved children. The
Community Advocate will be in touch with the family/property owner throughout the work
process to assist with any problems or anticipated problems.
When it is necessary to relocate the family on a temporary basis due to inability to access
necessary areas of the dwelling during interim control work or during abatement work,the
Community Advocate will assist the family in temporary relocation with extended family or in a
local motel.
The contractor awarded the bid will perform the lead-based paint hazard control work as
specified by the risk assessor and Construction Manager.
Level I, Level II, Level III, and Window replacement work will be performed in accordance
with HUD Guidelines by certified contractors, supervisors, and workers. Upon completion of
work,the Project Director will perform clearance wipes and the project work will be reviewed by
the Construction Manager and Project Manager to determine that specifications were met. It is
anticipated that 210 units will receive Level II and I work within a three-day period. The
remaining 120 unites will receive Level III and/or Window Replacement and may take five days
to perform work.
Upon receipt of clearance testing data that meets HUD criteria, the Project Manager will
notify the Construction Manager who will notify the family/property owner and have them sign
off on completed work. A reimbursement request will then be made by the CBHO for payment
to the contractor.
The Project Manager will develop procedures and forms for the performance of lead-based
paint hazard control activities by May 31, 2000.
7 41
OMAHA LEAD-BASED PAINT HAZARD CONTROL PROGRAM
WORKPLAN—Page 2,REV. 5.1.00
DCHD's CLPP Program Lead Technicians will monitor the enrolled property on a six month
basis for five years to ensure that the property owner maintains the dwelling to control any lead-
based paint hazards and to ensure in the case of rental property owners that the dwelling unit is
rented to low and very low income families with children under six years of age.
SCREENING AND HEALTH MEASURES
Approximately 1320 children six years old and under residing in these 330 dwelling units
will be provided case management services by DCHD's CLPP Program. Case Management will
include
• Monitoring of blood lead levels per CDC Guidelines.
• Referrals t o physicians for medical treatment when required.
• Referrals for nutritional assessment and counseling- WIC if enrolled or eligible.
• Provision of information regarding lead poisoning, its sources, effects on children, and
how to reduce exposure.
• Coordination with the child's primary health care provider.
The Douglas County Health Department Childhood Lead Poisoning Prevention Program
screens over 50%of children in Douglas County each year for blood lead analysis. Physicians
and other health care clinics screen the remainder of approximately 4,500 children per year. All
blood lead analysis results are required by state law to be reported to the health department. The
DCHD CLPPP will provide the grant program with screening data and address data for the
purpose of identifying target housing which may require lead hazard control activity. The DCHD
CLPPP program exceeds CDC guidelines for Environmental Case Management by intervening
in the home when a child is identified with one confirmed blood lead level of 15 ug/dl or greater.
This practice will continue in the Lead Hazard Control Project.
The DCHD Case Manager will receive the referral for a blood screen from the Community
Advocate when a date for lead hazard control work is established and is imminent. These
screens will be done within ten days of the lead hazard control work starting. These screens will
provide the grant project with timely blood lead level data on the children just prior to the onset
of lead hazard control work. The Case Manager will receive information when the work is
completed and will schedule a blood draw six weeks after work is completed.
The Case Manager can make a referral for deep cleaning of the dwelling unit upon
consultation with the Lead Technician and Risk Assessor especially when the work is not being
scheduled in the near future. This should reduce the child's exposure while awaiting the lead-
based paint hazard work.
8
OMAHA LEAD-BASED PAINT HAZARD CONTROL PROGRAM
WORKPLAN
The Case Management services will be provided on an ongoing basis throughout the duration
of the grant.
COMMUNITY EDUCATION AND OUTREACH
During the grant period, 75 community-based educational or training sessions will be held
with approximately 750 participants. The three participating CBHOs will facilitate these sessions
by fmding a location for the session and informing the appropriate members of the community of
the educational or training sessions which will be provided by DCHD staff. Forums will be held
to determine the focus of the educational sessions to better meet the needs of the residents of the
targeted communities.
The Project Manager in collaboration with the CLPP Program Coordinator and
representatives of the CBHOs will develop procedures and educational/training materials for
these sessions. Community-based organizations providing early childhood programs, health care,
and social services will be invited to assist in the development of the focus of these sessions.
These procedures should be developed by May 31, 2000 and sessions scheduled and provided
throughout the duration of the grant.
The CLPP Program Coordinator with assistance from the Project Director and Project
Manager will develop a train-the-trainer program for community agencies and organizations
providing services to young children and their families in the targeted communities. The trainers
will then be available to provide information and education regarding childhood lead poisoning
to the consumers of their services. A manual and educational materials will be provided to each
trainer participating. It is anticipated that this program should be developed by June 30, 2000
and provided by the CLPP Program Coordinator to 20 community agencies.
A Lead Safe Omaha Coalition has been established and will be advocating for the prevention
of childhood lead poisoning. DCHD will participate as a member of the LSOC and provide
information and data as requested.
EVALUATION
An evaluation plan will be developed by the Project Director and Project Manager using
STELLAR data collected on the children and a data base including information on inspection,
risk assessment, and construction data.
9
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APPENDIX I
ORGANIZATIONAL CHART
Omaha Housing and Community Development Division (HCD)
Mike Saklar**
HCD Manager City Law Dept. City Finance Dept.
Marian Todd Ed Dantzler Daisy Burton
Administrative Section HCD Rehab Section HCD Loan Section
HCD Rehab Specialists Loan Officers
1
V
Douglas County Health Department
Reid Steinkraus**
Project Director
CLPPP Blood Screening Jonah Deppe** Education Outreach
Program Project Manager Program
Sister Marilyn Ross David Porter Ramon Hernandez
Holy Name Housing Corporation Housing and Neighborhood South Omaha Affordable
Developers Housing
•
•
•
** Denotes Key Personnel
February 2,2000.
APPENDIX II
PROJECT FLOW CHART
City of Omaha Planning Department-Housing and Community Development Division
•
Mike Saklar
Lead-Paint Hazard Grant Administrator
Grant Monitoring and Technical Assistance;Grant Management Team and Loan Selection Committee
V
Douglas County Health Department
Education/Outreach 4— Reid Steinkraus —÷, County Vouchers/Finance
CLPPP Supervisor A II
DCHD CLPPP Child Project Director City Monthly Reimbursement to County
Screening Program I for grant funded activities/Finance
(EBL Testing in Children) Jonah Deppe
Proiect Manager
NI
DCHD Lead Technicians Receive Residence
Referral/Potential LBP Hazard Project
Identified
•
Site Visit by Project Director and Manager
V
DCHD Risk Assessment
Construction Manager&
Clerical Assistant(HANDS) ♦` V
• Community Based Housing Organizations
HANDS.SOAR.HNHC
Construction Work Write-up
• Owner Eligibility Verified for Income and
Employment(SOAH and HNHC) NA
HCD Grant and
Bids Let and ReceivedLoan Approval
♦ Project approval Loan Selection
Construction and Grant/Loan Committee 1�
Documents Prepared
Relocation When Necessary
♦ ♦ Loan files to City for Lead
Notice To Proceed Loan/Grant Closing Hazard Control Fund portfolio
• Liens Placed on Property
Construction Draws City Vouchers/Finance
Construction Payments
Essential Maintenance Home Owner
li
Practices Interim Control or Abatement
•
Project Complete
May 1,2000
`" OMB Approval No.m-xxx
Form HUD-)000c
Exp. Date:xxhorl
EXHIBIT "D"
U.S. Department of Housing and Urban Development
Lead-Based Paint
Hazard Control Grant
r
Pro m ga
Progress Reporting
DRAFT
E
This information is designed to provide timely information to HUD regarding the implementation progress of the grantees on
carrying out the Lead-Based Paint Hazard Control Grant Program and to provide the Congress with status reports as required
by statute-Title X of the Housing and Community Development Act of 1992(PL 102-550).
Public reporting burden for this collection of information is estimated to be>000c hours per year.
This agency may not collect this information,and you are not required to complete this form packet,unless it displays a
currently valid OMB control number.
This collection does not require the retention of confidential or sensitive material.
•
CI
Space for introduction
OFFICE OF LEAD HAZARD CONTROL
GRANTEE QUARTERLY PROGRESS REPORT
1. Grant Agreement Number.
2. Grantee Organization:
3. Project Title:
4. Organization Address:
5. Report Period: a Jan 1 —Mar 31 a Jul 1 —Sep 30 Year 20
a Apr 1 —Jun 30 a Oct 1 —Dec 31
6. Project Period of Performance:
(Start-Expiration Date)
7. Cumulative Federal Grant
Funds Drawn (LOCCS)Through
End Date of Report Period:
8. Number of Projected Units per
HUD Grant Agreement(HUD
1044):
Certification
tf any items in this report require explanation or clarification,please address them in the PROGRAM NARRATIVE RESPONSE portion of
the quarterly report.
9. Program Manager:
(print name)
•
10. Signature: 10a. Date:
411
II,
QUARTERLY PROGRESS REPORT
PART 1
PROGRAM NARRATIVE RESPONSE
Discuss your progress and accomplishments in meeting the tasks and objectives outlined in your
HUD-approved work plan. You should respond to each narrative item with a short paragraph.
Work plan tasks which must be covered in this report include:
A. Program Management and Capacity Building (including discussions of data collection and
program performance activities)
B. Community Education, Outreach and Training
C. Lead Hazard Control Activities
Summarize your activities for this report quarter, and cumulatively if appropriate. In the discussion
of these work plan tasks, highlight issues and/or activities that had a significant impact on the
program. The narrative discussion is to complement the data submitted on the OMB-approved
report forms(PART 2).
If your response to a particular question remains unchanged from the previous quarterly report or
no new information can be reported (i.e., changes to key personnel),you should reply by repeating
your response from the previous report and indicating the date of the original response (i.e.Jan 1 -
Mar 31, 1999).
A. Program Management and Capacity Building
Within the context of the current work plan and grant agreement,summarize your progress in the
overall grant program.
11. Describe any changes in key personnel in the program, and among sub-grantees or other
entities directly involved in your grant program and its impact. Provide information on any new
program participants, including resumes of key individuals.
12. Describe any significant changes to the work plan or budget that have occurred.
13. Describe any obstacles to performance and measures taken to overcome these obstacles.
14. Describe methods used to collect program data and what criteria were used to evaluate the
performance of your grant program.
15. Describe efforts to enhance the coordination and integration of lead hazard control work with
other housing, health, and environmental programs(i.e., childhood lead poisoning prevention
programs, health and housing code enforcement, housing rehabilitation,weatherization, etc.).
Describe other services to be provided such as blood lead screening and community education
and outreach; intra-and interagency partnerships, and public and private partnerships.
16. Describe the availability of lead-based paint contractors in your area. Describe activities you
have taken to increase the number of contractors available to provide lead hazard control work
as part of your grant.
17. Describe any efforts undertaken to develop and utilize a Lead-Safe Housing Registry. Include
information on the number of units included,the public availability of the system, and examples
of how the registry has been used.
18. Describe the effectiveness of the financing mechanisms in enrolling property owners, including
owners of rental properties, in the program.
19. Describe any proposed or actual changes in State or local laws, regulations,or policies which
may affect your grant program.
•
B. Community Education, Outreach and Training
20. Describe education and outreach activities and events completed this quarter. Discuss the
expected results of your efforts. Describe your outreach efforts at reaching specific groups you
have targeted (door-to-door, presentations,training, broadcast media, mailings) and the
intended recipients of this outreach (tenants, landlords, parent groups,child-care providers).
21. Describe outreach techniques and/or particular methods, materials,and formats that have
proved to be most effective (attach copies of any media coverage and materials, including
press clippings,to this report).
22. Describe training efforts completed this quarter. Discuss the types of training provided and any
certifications received (these efforts should correspond to Item 26 below).
C. Lead Hazard Control Activities
23. Describe the extent to which lead hazard control activities were conducted in conjunction with
other work(i.e., rehabilitation, code correction,weatherization, etc.).
24. Describe the lead hazard control methods or combination of methods used. To the extent
possible,describe the number of housing units completed and cleared for the methods used
(e.g.,low-level interventions, interim controls, hazard abatement). Discuss the lead hazard
control and rehabilitation costs for units completed this quarter.
25. Describe any post-hazard control maintenance plans for units where lead hazard control grant
work has been completed.
In addition to the quarterly report,the HUD Office of Lead Hazard Control is always interested
in the accomplishments of our Lead Hazard Control grantees and in sharing these with lead
poisoning prevention advocates. If you have a particular"success story"which may reflect
innovative approaches in implementing your program, or if you have overcome any obstacles
which would be of interest or benefit to others, please submit the story with your quarterly
report.
PART 2
PROGRAM ACTIVITIES
Training and Economic Opportunities
26. Skills Training Conducted Number of Number of
(for report quarter) Individuals Individuals
Trained Employed as a
Result of Training
Low-Income Individuals 26a. 26b.
Property Owners/Tenants/Remodelers/ 26c.
Renovators/Maintenance Workers
Lead-Based Paint Contractors 26d.
Grant Program & Partnering Entities Staff 26e.
Other(specify) 26f.
See instructions for completing this section of the report.
Community Education and Outreach Activities
27. Target Audiences Activities Conducted Number of
(for report quarter) Individuals
Reached
Health & Child Care 27a. 27b.
Providers
Schools, Parent groups, 27c. 27d.
Places of Worship
Landlords/Landlord 27e. 27f.
Groups, Tenants/
Tenant Groups, Housing
Corporations
Community or Target 27g. 27h.
Area Wide
Real Estate 27i. 27j.
Professionals
Other(specify) 27k. 271.
Lead Hazard Evaluations and Units in Progress
Activity Number Completed This
Quarter
Number of Units Receiving Lead Hazard Evaluations 28.
Number of Units with Lead Hazards Identified 29.
Number of Units in Progress or Under Contract 30.
Lead Hazard Control - Unit Production
31. Number of Units Completed and Number Number of Number of Units Where
Cleared Completed Units With Occupants Were
and Cleared* Other Rehab, Relocated
Code work
Occupied Rental Units
31 a. 31 b. 31c.
Vacant Units 31d. 31e.
Owner-Occupied Units
31f. 31g. 31h.
Total 31i.
31j. 31k.
• A Listing of Units Completed and Cleared during the Quarter by street address is to be attached to the Quarterly Report
(see PART 3—LISTING OF UNITS COMPLETED AND CLEARED)
Age of Units Completed and Cleared
Pre-1940 1940-1959 1960-1978 Unknown
32. Age of Housing (based on 3La' 32b. alc. 32d.
number of units completed and
cleared)
Occupant Information of Units Completed
33. Number of Occupants Residing in Children under 6 Children under 6 Occupants over 6
Units when Lead Hazard Control Years of Age Years of Age years of age
Receiving (including adults)
Work was Initiated Medicaid
33a. 33b. 33c.
34. Blood Lead Values of Children Under BLL under BLL BLL>20 Not Tested
6 of Age Residing in Units when 10 pg/dL between 10- pg/dL or results
Lead Hazard Control Work was 19 pg/dL not
Initiated
available
34a. 34b. 34c. 34d.
••
PART 3
LISTING OF UNITS COMPLETED AND CLEARED
Grant Agreement Number:
Grantee Organization:
Report Period: a Jan 1 —Mar 31 a Jul 1 —Sep 30 Year 20
a Apr 1 —Jun 30 a Oct 1 —Dec 31
Please submit the following information for units that have undergone lead hazard control activities
and subsequently cleared:
Address - Intevenhon Costs or other Work
ED
- PART 4
FINANCIAL REPORTING
HUD Lead Hazard Control Grant Funds
Grant Agreement Number:
Grantee Organization:
Report Period: o Jan 1 —Mar 31 o Jul 1 —Sep 30 Year 20
0 Apr 1 —Jun 30 0 Oct 1 —Dec 31
NEGOTIATED EXPENDED EXPENDED AVAILABLE
BUDGET CATEGORIES* BUDGET THIS TO DATE* BALANCE
PERIOD*
35. Personnel (Direct Labor)
36. Fringe Benefits
37.Travel
38. Equipment
39.Supplies and Materials
40. Consultants
41. Contracts/Sub-Grantees/ 4 :\ \\ , a::mmo`:tt•. t> ^
lte ;, ti . : \Ex
41a.
41 b.
41c.
41 d.
41e.
41 f.
41g.
41h.
41 i.
A• .�v. �?\?-+?.\'L= i::\gin
:....{.vLti<` -V .tit}:`::`}'`..
aye ..\..: \\\• '{\J:v'-:•?\.?;::i::.>.i�:}:i�v: :.?\':\:ii'>i��:+:i .:\ : ::� :.V:��.;\\.Cv,i:n,}^...:v\\,...,
.........:\..v:...,\:-.:,Y.:,}?:•i?.LJi��\ ..V::.?.\•?:i-.:_;::.::.:,,-}*::�:.:::::r.,???4:: 4::??i�\:•+\-:i-?i?+vnv::+.i-i%?4i'•:•.v:.v:.,-�,i•i•v•:.v:?.:.:ice ?:\\4.:.4�ii".•i.\?:::iC:�....'�i?:ii•::....vI.:::
42. Other Direct Costs
43. Indirect Costs
44. TOTALS*
44a. 44b. 44c. 44d.
*Administrative costs included in totals expended are not to exceed 10-percent
OFFICE OF LEAD HAZARD CONTROL
Instructions for Completing the Quarterly Progress Report
1. Grant Agreement Number. The Number Assigned in Block 3 of the HUD
Grant Agreement (HUD 1044).
2. Grantee Organization. The State or local agency where the Lead Hazard
Control Grant Program is located.
3. Project Title. The name of the Lead Hazard Control Grant Program.
4. Organization Address. The mailing address where the Lead Hazard
Control Grant Program receives correspondence and other program
materials.
5. Report Period. Check the appropriate box covering the period for the report.
6. Project Period of Performance. The currently approved period of the HUD
Grant Agreement (including any grant agreement modification). The period
of performance is listed as a "clause" or in Block 16 of the HUD grant
agreement (the expiration date is the date the grant is to conclude).
7. Cumulative Federal Grant Funds Drawn (LOCCS) Through End Date of
• Report Period. The total Federal grant funds drawn down by the grantee.
This amount should correspond to the total listed in Item 44 (c) of Part 4 -
Financial Reporting.
8. Number of Projected Units per HUD Grant Agreement(HUD 1044). The
number of units to have lead hazard control interventions as negotiated
between HUD and the grantee.
9. Program Manager. The manager of the Lead Hazard Control Grant
Program. The person responsible for the completion and submission of the
quarterly report.
10.Signature. The signature of the Program Manager. 10a. Date. The date
the Program Manager signs and submits the quarterly report to HUD.
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Items 11-25. Program Management and Capacity Building;
Community Education, Outreach, and Training; and Lead Hazard
Control Activities.
Instructions for the completion of this section of the quarterly report are included
with the forms and are self-explanatory. Grantees are expected to discuss
progress and obstacles in implementing the Lead Hazard Control Grant
Program. A response to each item is expected. Please note that responses to
particular questions may remain unchanged from the previous quarter. In the
event that the response does not change from the previously submitted quarterly
report, follow the instructions outlined in the box immediately preceding the
Program Management and Capacity Building Section of the report (Part 1).
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•
Item 26. Skills Training and Economic Opportunities
Responses to this item should relate to the activities described in the narrative
reply to Item 22. •
26 a. The number of low-income individuals receiving training to obtain or
enhance specific skills in lead related activities during the reporting period (e.g.
inspection and testing; construction trade skills, lead hazard control work,
•
conducting community education and outreach work, etc.).
26 b. The number of low-income individuals employed as a result of receiving
this skills training. This total should only include those low-income individuals
trained and employed during this report period. However, low-income
individuals who were first employed during this quarter, but who may have been
trained in a previous quarter, should be included in the current reporting period.
. 26 c. The number of property owners, tenants, remodelers, renovators, and
maintenance workers receiving training in lead hazard control intervention
• methods (cleaning, paint stabilization, interim control techniques) during the
report period.
26 d. The number of lead-based paint contractors trained and certified during
the report period (Includes all disciplines - inspection/testing, program design,
supervisor, abatement work).
26 e. The number of grantee or partner organization(s) staff receiving training
this report period. Training could be related to any program activity or task (e.g.
management, supervision, inspection/testing, lead hazard control activities,
community education and outreach, data collection, etc.).
26 f. Any other training activities conducted which are not included in items 26
a-e.
Item 27. Community Education and Outreach Activities
27a-I. Responses to these items should relate to the narrative reply to Items 20-
21: You should list all activities undertaken to reach each target audience
during the quarter. (e.g. meetings, presentations, mailings of educational
materials and brochures, health fairs, media efforts, etc.). If no activity occurred
during the report period, indicate "None" in the appropriate block(s). The
number of individuals reached is the cumulative number of intended recipients
(1)
•
who received community education and outreach (e.g. 25 real estate
brokers/agents were informed of disclosure requirements at a meeting, with an
additional 225 mailed information. The total number of real estate professionals
reached during the period would be 250)
Items 28-30. Lead Hazard Evaluations and Units in Progress
Responses to these items should pertain to the number of lead hazard control
evaluations (hazard screens, paint inspections, and/or risk assessments)
conducted during the quarter. These evaluations should only pertain to units
either enrolled or considered for enrollment into the program.
28. The number of lead hazard screens, lead-based paint inspections and/or risk
assessments conducted during the report period.
29. The number of units in which lead-based paint hazards were identified.
30. The number of units at the end of the report period either under a contract
for lead hazard control work to be undertaken or units where actual lead hazard
control work has begun, but the unit has not yet cleared.
Item 31. Lead Hazard Control- Unit Production
31a. 31d. 31f., 31i. The number of units, by occupancy status, in which lead
hazard control work was completed and the unit cleared during the report period.
31b., 31e., 31g., 31j. Of the number of units completed and cleared, the number
of units, by occupancy status, in which other rehabilitation or code work was
conducted.
31c., 31h., 31k. Of the occupied units completed and cleared during the report
period, indicate in the appropriate block, the number of units in which the
occupants were temporarily relocated while the unit was undergoing lead hazard
control interventions.
Item•32. .Age of Units Completed and Cleared
32a.- d. Of the total units completed and cleared during the report period (Item
31 i), indicate the number of units, by age of housing, in the appropriate block.
Items 33-34. Occupant Information of Units Completed
33. Of the units completed and cleared during the report period (Item 31 i),
identify the number of occupants residing in these units at the time that lead
hazard control work was initiated.
r
33a. The total number of children less than 6 years of age occupying units at
the time lead hazard control work was initiated.
33b. The total number of children less than 6 years of age, receiving medicaid
assistance.
33c. The total number of occupants 6 years of age or older (including adults)
residing in units at the time that lead hazard control work was initiated.
34. Of the children less than 6 years of age identified in item 33a., indicate the
number whose pre-hazard control blood lead values fall within the categories
outlined in blocks 34a.-34d.
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This section of the report is to provide additional information pertaining to the
units in which lead hazard control work was completed and the unit achieved
clearance during the report period. Indicate the unit address, city, state, and zip
code, for each unit listed. The total number of units included in this listing
should equal the total number identified in Block 31 i of Part 2.
Identify the lead hazard control, temporary relocation, and rehabilitation costs
associated with the work conducted in each unit. Costs only related to the lead
hazard control intervention measures used for treating units, (exterior, interior,
common areas) clean up work, and waste handling and disposal are to be
reported in the "LHC Intervention Costs" block. Relocation costs attributed to a
unit should be reported in the "Relocation Costs" block. Rehabilitation, code
correction or other work conducted in conjunction with HUD Lead Hazard
Control Grant Program funds in a unit using Community Development Block
Grant, HOME funds or other resources are to be included in the "Rehabilitation
or other Work Costs" block.
A description of these costs is to be included in your narrative response to Item
24 Part 1.
Items 35-44. The financial information to be submitted for the report period is
based on the negotiated budget included in the HUD grant agreement (including
any modifications). Expenditures are to reflect Voucher Payment Request
Payments made through the LOCCS (actual payments, not drawdown requests).
Item 41 should list all sub-grantee organizations individually. If more than one
abatement contractor is used by the program, they all may be included in one
sub-category (abatement or lead hazard control contractors).
EXHIBIT "E"
DOUGLAS COUNTY HEALTH DEPARTMENT
Lead-based Paint Hazard Control Program Budget
Lead-based Paint Hazard Control Funds
Project Manager $105,000
Project manager local transportation 3,420
Lead hazard control certification training 12,000
Remediation trainer 3,000
Interpreters 3,850
Relocation stipends 18,510
Operational costs 445,000
Educational Materials 9,500
Property owners & tenants
Community education
Laptop computer and software 2,000
3 HEPA vacuum cleaners 1,800
Telephone 1,500
Office rent 3,000
Data processing 1,000
Office supplies 1,000
Total Lead-based Paint Hazard Control Funds $610,580
In-kind Contribution
Salary and Fringes: $ 143,953
Project Director
Division Chief
Secretary 1
Finance/Legal
Blood Lead Screening 86,192
Total In-kind Contribution $230,145
V
EXHIBIT "F"
•
rAtir,,9 " EXECUTIVE OFFICE OF THE PRESIDENT
I = OFFICE OF MANAGEMENT AND BUDGET
WASHINGTON. O.G 20933
Ju• 24, 1997 Circular No. A-133
•THE DIRECTOR Revised
TO THE HEADS OF EXECUTIVE DEPARTMENTS AND ESTABLISafENTS •
SUBJECT: Audits of States, Local Governments, and Non-Profit
Organizations
1 . Purpose. This Circular is issued pursuant to the Single
Audit Act of 1984, P.L. 98-502, and the Single Audit Act
Amendments of 1996, P.L. 104-156. It sets forth standards for
obtaining consistency and uniformity among Federal agencies for •
the audit of States, local governments, and non-profit
organizations expending Federal awards . •
2. Authority. Circular A-133 is issued under the authority of
sections 503, 1111, and 7501 et seq. of title 31, United States
Code, and Executive Orders 8248 and 11541 .
3 . Rescission and Supersession,. This Circular rescinds
Circular A-128, "Audits of State and Local Governments, " issued
April 12, 1985, and supersedes the prior Circular A-133, "Audits
of Institutions of Higher Education and Other Non-Profit
Institutions, "issued April 22, 1996. For effective dates, see
paragraph 10.
4 . policy. Except as provided herein, the standards set forth
in this Circular shall be applied by all Federal agencies . If
any statute specifically prescribes policies or specific •
requirements that differ from the standards provided herein, the
provisions of the subsequent statute shall govern.
Federal agencies shall' apply the provisions of the sections
of this- Circular to non-Federal entities, whether they are
recipients expending Federal awards received directly from •
Federal awarding agencies, or are subrecipients expending Federal
awards received from a pass-through entity (a recipient or
another subrecipient) .
This Circular does not apply to non-U.S . based entities
expending Federal awards received either directly as a recipient
or indirectly as a subrecipient.
5. Definitions. The definitions of key terms used in this
Circular are contained in § . 105 in the Attachment to this
Circular.
p k •
e
•
6. ?ecnlired Action. The specific requirements and
responsibilities of Federal agencies and non-Federal entities are
set forth .int Attachment to this ~Circular. Federal agencies
making awards to non-Federal entities, either directly or
indirectly, shall adopt the language in the Circular in codified
regulations as provided in Section 10 (below) , unless different
provisions are required by Federal statute or are approved by the
Office of Management and Budget (OMB) .
7. OMB Responsibilities . OMB will review Federal agency
regulations and implementation of this Circular, and will provide
interpretations of policy requirements and assistance to ensure
. uniform, effective and efficient implementation. . •
8. Snfo7-mation Contact. Further information concerning
Circular A-133 may be obtained by contacting the Financial
Standards and Reporting Branch, Office of Federal Financial
Management, Office of Management and Budget, Washington, DC
20503, telephone (202) 395-3993.
9. ;teview Date. This Circular will have a policy review three
years from the date of issuance.
10. effective Dates. The standards set forth in § . 400 of the
Attachment to this Circular, which apply directly to Federal
agencies, shall be effective July 1, 1996, and shall apply to
audits of fiscal years beginning after June 30, 1996, except as
otherwise specified in § .400 (a) .
The standards set forth in this Circular that Federal
agencies shall apply to non-Federal entities shall be adopted by :
Federal agencies in codified regulations not later than 60 days
after publication of this final revision in the Federal Register,
so that they will apply to audits of fiscal years beginning after •
June 30, 1996, with the exception that § .305 (b) of the
Attachment applies to audits of fiscal years beginning after June
30, 199.8 . The requirements of Circular A-128, although the .
Circular is rescinded, and the 1990 version of Circular A-133
remain in effect for audits of fiscal years beginning on or-
before June 30, 1996.
•
•
. Franklin D. Raines
. . •. Director
Attachment •
PART --AUDITS OF STATES, LOCAL GOVERNMENTS, AND NON-PROFIT
ORGANIZATIONS
Subpart A--General
Sec.
. 100 Purpose.
. 105 Definitions .
Subpart B--Audits
_.200 Audit requirements .
.205 Basis for determining Federal awards expended.
.210 Subrecipient and vendor determinations.
—.215 Relation to other audit requirements .
.220 Frequency of audits.
.225 Sanctions .
.230 Audit costs .
.235 Program-specific audits.
Subpart C--Auditees
.300 Auditee responsibilities. •
. 305 Auditor selection.
. 310 Financial' statements .
. 315 Audit findings follow-up. •
. 320 Report submission.
Subpart D--Federal Agencies and Pass-Through Entities
. 400 Responsibilities.
. 405 Management decision.
Subpart E--Auditors
. 500 Scope of audit.
•
. 505 Audit reporting.
.510 Audit findings.
_. 515 Audit working papers
. 520 Major program determination.
. 525 Criteria for Federal program risk.
—. 530 ' Criteria for a low-risk auditee. .
•
Appendix A to Part —Data Collection Form (Form SF-SAC) .
Appendix B to Part _ - Circular A-133 Compliance Supplement.
•
•
•
. 3
•
•
Subpart A--General
S .100 Purpose.
•
This part sets forth standards for obtaining consistency and
uniformity among Federal agencies for the audit of non-Federal
entities expending Federal awards.
S .105 Definitions.
Auditee means any non-Federal entity that expends Federal
awards which must be audited under this part.
Auditor means an auditor, that is a public accountant or a
Federal, State or local government audit organization, which
meets the general standards specified in generally accepted
government auditing standards (GALAS) . The term auditor does not
include internal auditors of non-profit organizations.
Audit finding means deficiencies which the auditor is
required by § .510 (a) to report in the schedule of findings and
questioned costs .
C='DP number means the number assigned to a Federal program
in the Catalog of Federal Domestic Assistance (CFDA) .
Cluster of programs means a grouping of closely related
programs that share common compliance requirements . The types of
clusters of programs are research and development (R&D) , student
financial aid (SFA) , and other clusters . "Other clusters" are as
defined by the Office of Management and Budget (OMB) in the
compliance supplement or as designated by a State for Federal
awards the State provides to its subrecipients that meet the
definition of a cluster of programs . When designating an "other
cluster, " a State shall identify the Federal awards included in
the cluster and advise the subrecipients of compliance
requirements applicable to' the cluster, consistent with
§ .400 (d) (1) and § .400 (d) (2) , respectively. A cluster of
programs shall be considered as one program for determining major
programs, as described in § .520, and, with the exception of
R&D as described in § .200 (c) , whether a program-specific audit
may be elected.
Cognizant agency for audit means the .Federal agency
designated to carry out the responsibilities described in
§ .400 (a) .
Compliance supplement refers to the Circular A-133
Compliance Supylemsnt, included asLAppendix B to Circular A-133,
4
or such documents as OMB or its designee may issue to replace it.
This document is available from the Government Printing Office,
Superintendent of Documents, Washington, DC 20402-.9525.
Corrective action means action taken by the auditee that:
(1) Corrects identified deficiencies;
(2) Produces recommended improvements; or
(3) Demonstrates that audit findings are either invalid or
do not warrant auditee action.
Federal agency has the same meaning as the term agency in
Section 551 (1) of title 5, United States Code .
Fe. eral award means Federal financial assistance and Federal
cost-reimbursement contracts that non-Federal entities receive
directly from Federal awarding agencies or indirectly from pass-
through entities. It does not include procurement contracts,
under grants or contracts, used to buy goods. or services from
vendors . Any audits of such vendors shall be covered by the
terms and conditions of the contract. Contracts to operate
Federal Government owned, contractor operated facilities (GOCOs)
are excluded from the requirements of this part.
Federal awarding acencNz means the Federal agency that
provides an award directly to the recipient.
Federal financial assistance means assistance that non-
Federal entities receive or administer in the form of grants,
loans, loan guarantees, property (including donated surplus
property) , cooperative agreements,. interest subsidies,
insurance, food commodities, direct appropriations, and other
assistance, but does not include amounts received as
reimbursement for services rendered to individuals as described
in 5 ..205 (h) and $ .205 (i) .
Federal procr-am means :
(1) All Federal awards to a non-Federal entity assigned a
single number in. the CFDA.
(2) When no CFDA number is assigned, all Federal awards
from the same agency made for the same purpose should be combined
and considered one program.
•
5 (1)
•
•
•
(3) Notwithstanding paragraphs (1) and (2) of this
definition, a cluster of programs . The types of clusters of
programs are
(i) Research and development (R&D) ;
(ii) Student financial aid (SFA) ;• and
(iii) "Other clusters, " as described in the definition
of cluster of programs in this section.
GACPS means generally accepted government auditing standards
issued by the Comptroller General of the United States, which are
applicable to financial audits.
• Generally accepted accountinc pry nci loles has the meaning .
specified in generally accepted auditing standards issued by the
American Institute of Certified Public Accountants (AICPA) .
Indian tribe means any Indian tribe, band, nation, or other
organized group or community, including any Alaskan Native
village or regional or village corporation (as defined in, or
established under, the Alaskan Native Claims Settlement Act) that
is recognized by the United States as eligible for the special •
programs and services provided by the United States to Indians
because of their status as Indians.
Tntornal control means a process, effected by an entity' s
management and other personnel, designed to provide reasonable
assurance regarding the achievement of objectives in the
following categories:
(1) Effectiveness and efficiency of operations;
(2) Reliability of financial reporting; and
•
(3) Compliance with applicable laws and regulations.
•
Internal control pertaining to the compliance remuirements
for Federal programs (Internal control over Federal programs)
means a process--effected by an entity' s management and other
personnel--designed to provide reasonable assurance regarding the
achievement of the following objectives for Federal programs:
(1) Transactions are properly recorded and accounted for
-
- • - (i-) • Permit the preparation of reliable financial
statements and Federal_-reports; �c<
•
•
(ii) Maintain accountability over assets; and
(iii) Demonstrate compliance w_th laws, regulatim-.s, •
and other compliance requirements;
(2) Transactions are executed in compliance with:
•
(i) Laws, regulations, and the provisions of
contracts or grant agreements that could have a direct and
• material effect on a Federal program; and
(ii) Any other laws and regulations that are
identified in the compliance supplement; and . .
•
• (3) Funds, property, and other assets are safeguarded
against loss from unauthorized use or disposition.
Loan: means a Federal loan or loan guarantee received or
administered by a non-Federal entity.
Local aovernment means any unit of local government within a
State, including a county, borough, municipality, city, town,
township, parish, local public authority, special district,
school district, intrastate district, council of governments, and
any other instrumentality of local government.
Major program means a Federal program determined by the
auditor to be a major program in accordance with S .520 or a
'program identified as a major program by a, Federal agency or
pass-through entity in accordance with S .215 (c) .
Management decisic^ means the evaluation by the Federal
awarding agency or pass-through entity of the audit findings and
corrective action plan and the issuance of a written decision as
to what corrective action is necessary.
Non-Federal entity means a State, local government, or non-
profit organization.
•
Non-profit oraanization. means: •
(1) any corporation, trust, ' association, cooperative, or
other organization that:
(i) Is operated primarily for scientific;
•
- educational, -service, charitable, or similar
public _interest;
7
•
(ii) Is not organized primarily for profit; and
(iii) Uses its net proceeds to maintain, improve, or
expand its operations; and
. (2) The term ron-profit orcanizatiorl includes non-profit
institutions of higher education and hospitals.
OMB means the Executive Office of the President, Office of
Management and Budget.
Oversicht agency for audit means the Federal awarding agency
that provides the predominant amount of direct funding to a
•
recipient not assigned a cognizant agency for audit. When there
is no direct funding, the Federal agency with the predominant
indirect funding shall assume the oversight responsibilities.
The duties of the oversight agency for audit are described in
§ .400 (b) . •
pass-through entity means a non-Federal entity that provides
a Federal award to a subrecipient to carry out a Federal program.
program-specific audit means an audit of one Federal program
as provided for in § .200 (c) and S .235.
Ouestioned cost means a cost that is questioned by the
auditor because of .an audit finding:
(1) Which resulted from a violation or possible violation
of a provision of a law, regulation, contract, grant, cooperative
agreement, or other agreement or document governing the use of
Federal funds, including funds used to match Federal funds; •
(2) Where the costs, at the time of the audit, are not
supported by adequate documentation; or
(3) Where the costs incurred appear unreasonable and do not
reflect the actions a prudent person would .take in the
circumstances .
Recipient means a non-Federal entity that expends Federal
awards received directly from a Federal awarding agency to carry
out a Federal program.
•
• Research and development (R&D) means all research
activities, both basic and applied) and all development
activities that are performed by anon-Federal entity. Research
is defined as a systematic study directed toward fuller
I
8
scientific knowledge or understanding of the subject studied.
The term research also includes activities involving the training
of indivir'nals _ research tecbriques e su:a ,activities
utilize the same facilities as other research and development
activities and where such activities are not included in the
instruction function. DevPlopmenfi is the systematic use of
knowledge and understanding gained from research directed toward
the production of useful materials, devices, systems, or methods,
including design and development of prototypes and processes.
Single audit means an audit which includes both the entity' s
financial statements and the Federal awards as described in
S .500.
•
State means any State of the United States, the District of
Columbia, the Commonwealth of Puerto Rico, the Virgin Islands, •
Guam, American Samoa, the Commonwealth of the Northern Mariana
Islands, and the Trust Territory of the Pacific Islands, any
instrumentality thereof, any multi-State, regional, or interstate
entity which has governmental functions, and any Indian tribe as
defined in this section.
•
Student Financial Aid (SFA) includes those programs of
general student assistance, such as those authorized by Title IV
of the Higher Education Act of 1965, as amended, (20 U.S .C. 1070 •
et seq. ) which is administered by the U.S. Department of
Education, and similar programs provided by other Federal
agencies . It does not include programs which provide fellowships •
or similar Federal awards to students on a competitive basis, or
for specified studies or research.
Subrecinient means a non-Federal entity that expends Federal
awards received from a pass-through entity to carry out a Federal
program, but does not include an individual that is a beneficiary
of such a program. A subrecipient may also be a recipient of
other Federal awards directly from a Federal awarding agency.
Guidance on distinguishing between a subrecipient and a vendor is
provided in § .210.
A ; Tthe Types of compli iance r_Qu__ ements refers to types of
compliance requirements listed in the compliance supplement.
Examples include: activities allowed or unallowed; allowable
costs/cost principles; cash management; eligibility; matching,
level of effort, earmarking; and, reporting.
Vendor means a dealer, distributor, merchant, or other -
seller providing goods or services that are required for the
conduct of a Federal program. These! goods or services _may__be__for _._ _
•
•
•
•
an organization's own use or for the use of beneficiaries of the
Federal program. Additional guidance on distinguishing between a
•
suhrecipient and a vendor is provided in 6 .210 .
Subpart B--Audits
S .200 Audit requirements.
(a) Audit required. Non-Federal entities that expend
$300, 000 or more in a year in Federal awards shall have a single
or program-specific audit conducted for that year in accordance
with the provisions of this part. Guidance on determining
Federal awards expended is provided in S .205.
(b) Single audit. Non-Federal entities that expend
$300, 000 or more in a year in Federal awards shall have a single
• audit conducted in accordance with S .500 except when they
elect to have a program-specific audit conducted in accordance
with paragraph (c) of this section.
(c) Program-specific audit election. When an auditee
expends Federal awards under only one Federal program (excluding
R&D) and the Federal program' s laws, regulations, or grant
agreements do not require a financial statement audit of the
auditee, the auditee. may elect to have a program-specific audit •
conducted in accordance with S .235 . A program-specific audit
may not be elected for R&D unless all of the Federal awards
expended were received from the same Federal agency, or the same
Federal agency and the same pass-through entity, and that federal •
agency, or pass-through entity in the case of a subrecipient, •
• approves in advance a program-specific audit.
(d) Exemption when Federal awards extended are less than
$300. 000. Non-Federal entities that expend less than $300, 000 a
year in Federal awards are exempt from Federal audit requirements
for that year, except as noted in S .215 (a) , but records must
be available for review or •audit by appropriate officials of the
Federal agency, pass-through entity, and General Accounting
Office (GAO) .
(e) der? lv _Funded Research and Development CQrtpr .
(FFRDC) . Management of an auditee that owns or operates a FFRDC
may elect to treat the FFRDC as a separate entity for purposes of
this part.
S .205 Basis for determining Federal awards expended. ..
(a) =='Deter*n'n'na- Federal awards expended. :The determination
of when an award is- expended- should be based on :when the activity_2, a a
10
•
•
related to the award occurs. Generally, the activity pertains to
events that require the non-Federal entity to comply with laws,
regulations, and the provisions of contracts or grant agreements,
such as : expenditure/expense transactions associated with grants,
cost-reimbursement contracts, cooperative agreements, and direct
appropriations; the disbursement of funds passed through to
subrecipients; the use of loan proceeds under loan and loan
guarantee programs; the receipt of property; the receipt of
surplus property; the receipt or use of program income; the
distribution or consumption of food commodities; the disbursement
of amounts entitling the non-Federal entity to an interest
subsidy; and, the period when insurance is in force.
(b) Loan and loan guarantees (loans) . Since the Federal
Government is at risk for loans until the debt is repaid, the
following guidelines shall be used to calculate the value of
Federal awards expended under loan programs, except as noted in
paragraphs (c) and (d) of this section:
•
(1) Value of new loans made or received during the
fiscal year; plus
(2) Balance of loans from previous years for which
the Federal Government imposes continuing compliance
requirements; plus
(3) Any interest subsidy, cash, or administrative •
cost allowance received.
(c) Loan and loan guarantees (loansl at institutions of
nigher education. When loans are made to students of an
institution of higher education but the institution does not make
the loans, then only the value of loans made during the year
shall be considered Federal awards expended in that year. The
• balance of loans for previous years is not included as Federal
awards expended because the lender accounts for the prior
balances .
(d) prior loan and loan guarantees (loans) . Loans, the
proceeds of which were received and expended in prior-years, are
not considered Federal awards expended under this part when the
laws, regulations, and the provisions of contracts or grant
agreements pertaining to such loans impose no continuing
compliance. requirements other than to repay. the_ loans .
•
(e) 'Endowment funds . The cumulative balance of: Federal
awards for endowment funds which are federally restricted are
consider=e-d=awards expended- in each year in which the funds are,
still restricted.
•
11
•
•
(f) Free rent. Free rent received by itself is not
considered a Federal award expended under this part. However,
free rent received as part of an award to carry out a Federal
program shall be included in determining Federal awards expended
and subject to audit under this part. •
(g) Valuinc non-cash assistance. Federal non-cash
assistance, such as free rent, food stamps, food commodities,
donated property, or donated surplus property, shall be valued at
fair market value at the time of receipt or the assessed value
provided by the Federal agency.
(h) M2 dicare. Medicare payments to a non-Federal entity
for providing patient care services to Medicare eligible
individuals are not considered Federal awards expended under this
part.
•
(i) Medicaid. Medicaid payments to a subrecipient for
providing patient care services to Medicaid eligible individuals
are not considered Federal awards expended under this part unless
a State requires the funds to be treated as Federal awards
expended because reimbursement is on a cost-reimbursement basis .
(j ) Certain loans provided by the National Credit Union
?Administration. For purposes of this part, loans made from the
National Credit Union Share Insurance Fund and the Central
Liquidity Facility that are funded by contributions from insured
institutions are not considered Federal awards expended.
S .210 Subrecipient and vendor determinations.
(a) General. An auditee may be a recipient; a
subrecipient, and a vendor. Federal awards expended as a
recipient or a subrecipient would be subject to audit, under this .
part. The payments received for goods or services provided as a
vendor would not be considered Federal awards. The guidance in
paragraphs (b) and (c) of this section should be considered in
determining whether payments constitute a Federal award or a
payment for goods and services.
(b) Federal award. Characteristics indicative of a Federal
award received by a subrecipient are when the organization:
(1) Determines who is eligible . to receive what
Federal financial assistance;
(2) Has its performance measured against whether the -
objectives of the Federal program are met;
•
12
•
(3) Has responsibility for programmatic decision
making;
• (4) Has responsibility for adherence to applicable
Federal program compliance requirements; and
(5) Uses the Federal funds to carry out a program of
the organization as compared to providing goods or services for a
program of the pass-through entity.
(C) -Payment for goods and services. Characteristics
indicative of a payment for goods and services received by a
vendor are when the organization:
(1) Provides the goods and services within normal
business operations;
(2) Provides similar goods or services to many
different purchasers;
(3) Operates in' a competitive environment;
(4) Provides. goods or services that are ancillary to
the operation of the Federal program; and
(5) Is not subject to compliance requirements of the
Federal program.
(d) Use of iudamer_t in making determination. There may be
unusual circumstances or exceptions to the listed
characteristics . In making the determination of whether a
subrecipient or vendor relationship exists, the substance of the .
relationship is more important than the form of the agreement.
It is not expected that all of the characteristics will be
present and judgment should:be used in determining whether an
entity is a subrecipient or vendor.
(e) For-profit subrecipient. Since this part .does not
apply to for-profit subrecipients, the pass-through entity is
responsible for establishing requirements, as necessary, to
ensure compliance by for-profit subrecipients. The contract with
the for-profit subrecipient should describe applicable compliance
requirements and the for-profit subrecipient's compliance
responsibility. Methods to ensure compliance for Federal awards
made to for-profit subrecipients may include pre-award audits, .
monitoring during the contract, and: post-award audits. - "
(f) Comciiance responsibility for vendors . In most cases,
the auditee ' s compliance responsibility for vendors is only to
13
ensure that the procurement, receipt, and payment for goods and
services comply with laws, regulations, and the provisions of
contracts or - rant agreements. Program compliance zecp:iTa eats
normally do not pass through to vendors. However, the auditee is
responsible for ensuring compliance for vendor transactions which
are structured such that the vendor is responsible for program
compliance or the vendor' s records must be reviewed to determine
program compliance. Also, when these vendor transactions relate
to a major program, the scope of the audit shall include
determining whether these transactions are in compliance with
laws, regulations, and the provisions of contracts or grant
agreements.
S .215 Relation to other audit requirements.
(a) 71udi t under this part in lieu of other audits . An
audit made in accordance with this part shall be in lieu of any
financial audit required under individual Federal awards . To the
extent this audit meets a Federal agency' s needs, it shall rely
upon and use such audits . The provisions of this part neither
limit the authority of Federal agencies, including their
Inspectors General, or GAO to conduct or arrange for additional
audits (e.g. , financial audits, performance audits, evaluations,
inspections, or reviews) nor authorize any auditee to constrain
Federal agencies from carrying out additional audits . Any
additional audits shall be planned and performed in such a way as
to build upon work performed by other auditors .
(b) federal agency to pay for additional audits . A Federal
agency that conducts or contracts for additional audits shall,
consistent with other applicable laws and regulations, arrange •
for funding the full cost of such additional audits .
(c) Request for a program to be audited as a major program.
A Federal agency may request an auditee to have a particular
Federal program audited as a major program in lieu of the Federal
agency conducting or arranging for the additional audits. To
allow for planning, such requests should be made at least 180
days prior to the end of the fiscal year to be audited. The
auditee, after consultation with its auditor, should promptly
respond to such request by informing the Federal agency whether
the program would otherwise be audited as a major program using
the risk-based audit approach described in S .520 and, if not,
•
the estimated incremental cost. The Federal agency shall then
promptly-confirm to the auditee whether_ it wants the program
audited as a major program. If the program is to be audited -as.-a : =
major program based upon this Federal agency request, and the
Federal agency agrees to pay the full incremental costs, then-the
14
•
auditee shall have the program audited as a major program. A
pass-through entity may use the provisions of this paragraph for
a .subrecip_ert.
.220 Frequency of audits.
Except for the provisions for biennial audits provided in
paragraphs (a) and (b) of this section, audits required by this
part shall be performed annually. Any biennial audit shall cover
both years within the biennial period.
(a) A State or local government that is required by
constitution or statute, in effect on January 1, 1987, to undergo
its audits less frequently than annually, is permitted to undergo
its audits pursuant to this part biennially. This requirement
must still be in effect for the biennial period under audit.
(b) Any non-profit organization that had biennial audits
for all biennial periods ending between July 1, 1992, and January
1, 1995, is permitted to undergo its audits pursuant to this part
biennially.
S .225 Sanctions.
•
No audit costs may be charged to Federal awards when audits
• required by this part have not been made or have been made but
not in accordance with this part. In cases of continued •
inability or unwillingness to have an audit conducted in
accordance with this part, Federal agencies and pass-through
entities shall take appropriate action using sanctions such as:
•
(a) Withholding a percentage of Federal awards until the
audit is completed satisfactorily;
•
(b) Withholding or disallowing overhead costs;
(c) Suspending Federal awards until the audit is conducted;
or •
(d) Terminating the Federal award.
S .230 Audit costs.
(a) . Allowable costs . Unless prohibited by_law, the cost of
- audits made- in accordance with the provisions of_this,_part _are �,,
allowable charges to Federal awards. The charges may be
considered adirect cost- or an allocated indirect cost, as
determined-in: accordance with the provisions of.�applicab.I.e ;OMBL , ;me_
15 .
•
•
cost principles circulars, the Federal Acquisition Regulation
(FAR) (48 CFR parts 30 and 31) , or other applicable cost
principles .r •regulations.
(b) TTnllowable costs. A non-Federal entity shall not
charge the following to a Federal award:
(1) The cost 'of any audit under the Single Audit Act
Amendments of 1996 (31 U.S.C. 7501 2t see. ) not conducted in
accordance with this part.
(2) The cost of auditing a non-Federal entity which
has Federal awards expended of less than $300, 000 per year and is
thereby exempted under § .200 (d) from having an audit conducted
under this part. However, this does not prohibit a pass-through
entity from charging Federal awards for the cost of limited scope
audits to monitor its subrecipients in accordance with
S .400 (d) (3) , provided the subrecipient does not have a single
audit. For purposes of this part, limited scope audits .only
include agreed-upon procedures engagements conducted in
. accordance with either the AICPA' s generally accepted auditing
standards or attestation standards, that are paid for and
arranged by a pass-through entity and address only one or more of
• the following types of compliance requirements : activities
allowed or unallowed; allowable costs/cost principles;
eligibility; matching, level of effort, earmarking; and,
reporting.
•
§ .235 Program-specific audits. .
. (a) Program-specific audit guide available. In many cases,
a program-specific audit guide will be available to provide
specific guidance to the auditor with respect to internal
control, compliance requirements, suggested audit procedures, and
audit reporting requirements. The auditor should contact the
Office of Inspector General of the Federal agency to determine
whether such a guide is available. When a current program-
specific audit guide is available, the auditor shall follow GAGAS
and the guide when performing a program-specific audit.
(b) Program-specific audit guide not avai'1ab1e. (1) When
aprogram-specific audit guide is not available, the auditee and
auditor shall have basically the same responsibilities for the
Federal program as they would have for an audit of a major
program in a single audit.
(2) The auditee shall prepare the financial _ . -,
statement (s) for the Federal program that includes, at & minimum, •
16
•
•
a schedule of expenditures of Federal awards for the program and
notes that describe the significant accounting policies used in
preparing the ►z chedule, a sl'm:ary schedule of prior audit
findings consistent with the requirements of 5 .315 (b) , and a
corrective action plan consistent with the requirements of
S .315 (c) .
(3) The auditor shall:
• (i) Perform an audit of the financial
statement (s) for the Federal program in accordance with GAGAS;
. (ii) Obtain an understanding of internal control
and perform tests of internal control over the Federal program
consistent with the requirements of § .500 (c) for a major
program;
•
(iii) Perform procedures to determine whether the
auditee has complied with laws, regulations, and the provisions
of contracts or grant agreements that could have a direct and
• material effect on the Federal program consistent with the •
requirements of § .500 (d) for a major program; and
(iv) Follow up on prior audit findings, perform
procedures to assess the reasonableness of the summary schedule
of prior audit findings prepared by the auditee, and report, as a
current year audit finding, when the auditor concludes that the
. summary schedule of prior audit findings materially misrepresents
the. status of any prior audit finding in accordance with the
requirements of S .500 (e) .
(4) The auditor' s report (s) may be in the form of
either combined or separate reports and may be organized
differently from the manner presented in this ..section. The
auditor' s report (s) shall state that the audit was conducted in
accordance with this part and include the following:
(i) An opinion (or disclaimer of opinion) as to
whether the financial statement (s) of the Federal program is
presented fairly in all material respects in conformity with the
stated accounting policies;
(ii) A report on internal control related to the
Federal program, which shall describe the scope of testing of
internal control and the results of the tests; •
(iii) A report on compliance which includes -an.,,, ._
opinion (or disclaimer of opinion) as to whether the auditee
17
•
•
•
complied with laws, regulations, and the provisions of contracts
or grant agreements which could have a direct and material effect
-on the =ede_al -program; and
(iv) A schedule of findings and questioned costs
for the Federal program that includes a summary of the auditor' s
results relative to the Federal program in a format consistent
with S .505 (d) (1) and findings and questioned costs consistent
with the requirements of S .505 (d) (3) .
(C) Report submission for program-specific audits .
(1) The audit shall be completed and the reporting required by
paragraph (c) (2) or (c) (3) of this section submitted within the
earlier of 30 days after receipt of the auditor' s report (s) , or
nine months after the end of the audit period, unless a longer
period is agreed to in advance by the Federal agency that
provided the funding or a different period is specified in a
program-specific audit guide. (However, for fiscal years
beginning on or before June 30, 1998, the audit shall be
completed and the required reporting shall be submitted within
the earlier of 30 days after receipt of the auditor' s report (s) ,
or 13 months after the end of the audit period, unless a
different period is specified in a program-specific audit guide. )
Unless restricted by law or regulation, the auditee shall make
report copies available for public inspection.
(2) When a program-specific audit guide is available,
the auditee shall submit to the Federal clearinghouse designated
by OMB the data. collection form prepared in accordance with
S .320 (b) , as applicable to a program-specific audit, and the
reporting required by the program-specific audit guide to be
retained as an archival copy. Also, the auditee shall submit to
the Federal awarding agency or pass-through entity the reporting
required by the program-specific audit guide.
(3) When a program-specific audit guide is not
• available, the reporting package for a program-specific audit
shall consist of the financial statement (s) of the Federal
program, a summary schedule of prior audit findings, and a
corrective action plan as described in paragraph (b) (2) of this
section, and the auditor's report (s) described in paragraph
(b) (4) of this section. The data collection form prepared in
accordance with S .320 (b) , as applicable to a program-specific
audit, and one copy of this reporting package shall be submitted
to the Federal clearinghouse designated by OMB to be retained -as - -
an archival copy. , Also, . when the schedule of findings and :
questioned costs disclosed audit findings or the summary=schedule
of prior audit_ findings reported the status of any audit: 3h �_
18
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•
findings, the auditee shall submit one copy of the reporting
package to the Federal clearinghouse on behalf of the Federal
awarding agency, or directly to the pass-through entity in the
case of a subrecipient. Instead of submitting the reporting
package to the pass-through entity, when a subrecipient is not
required to submit a reporting package to the pass-through
entity, the subrecipient shall provide written notification to
the pass-through entity, consistent with the requirements of
S .320 (e) (2) . A subrecipient may submit a copy of the
reporting package to the pass-through entity to comply with this
notification requirement.
(d) Other sections of this part may aonly. Program-
specific audits are subject to § • . 100 through § .215 (b) ,
§ .220 through § .230, § .300 through S .305, S .315,
§ .320 (f) through § .320 (j) , § .400 through § .405,
§ .510 through § .515, and other referenced. provisions of
•
this part unless contrary to the provisions of this section, a
program-specific audit guide, or program laws and regulations.
•
Subpart C--Aud.itees
$ .300 Auditee responsibilities .
The auditee shall:
(a) Identify, in its accounts, all Federal awards received
and expended and the Federal programs under which they were
received. Federal program and award identification shall
include, as applicable, the CFDA title and niimher, award number
and year, name of the Federal agency, and name of the pass-
•
through entity.
(b) Maintain internal control over Federal programs that
provides reasonable assurance that the auditee is managing
Federal awards in compliance with laws, regulations, and the
- provisions of contracts or grant agreements that could have a
material effect on each of its Federal programs .
(c) Comply with laws, regulations, and the provisions of
contracts or grant agreements related to each of its Federal
. programs .
(d) .,Prepare appropriate financial statements, including the
_ schedule.. of. expenditures of Federal awards ..in accordance with
7r in
(e) Ensure that the audits required by this part are •
properly performed and submitted when due. When extensions to
•
19 7j2)
1
the report submission due date required by 5 .320 (a) are
granted by the cognizant or oversight agency for audit, promptly
notify the e d al clearinghouse designated by OMB and each pass-
through entity providing Federal awards of the extension.
•
(f) Follow up and take corrective action on audit findings,
including preparation of a summary schedule of prior audit
findings and a corrective action plan in accordance with
5 .315 (b) and 5 .315 (c) , respectively.
$ .305 Auditor selection.
(a) Auditor procurement. . In procuring audit services,
auditees shall follow the. procurement standards prescribed by the
• Grants Management Common Rule (hereinafter referred to as the "A-
102 Common Rule") published March 11, 1988 and amended April 19,
1995 [insert appropriate CFR citation] , Circular A-110, "Uniform
Administrative Requirements for Grants and Agreements with
Institutions of Higher Education, Hospitals and Other Non-Profit
Organizations, " or the FAR (48 CFR part 42) , as applicable (OMB
Circulars are available from the Office of Administration,
• Publications Office, room 2200, New Executive Office Building,
Washington, DC 20503) . Whenever possible, auditees shall make
positive efforts to utilize small businesses, minority-owned
firms, and women' s business enterprises, in procuring audit
services as stated in the A-102 Common Rule, OMB Circular A-110,
or the FAR (48 CFR .part 42) , as applicable. In requesting
proposals for audit services, the objectives and scope of the
audit should be made clear. • Factors to be considered in
evaluating each proposal for audit services include the
responsiveness to the request for proposal, relevant experience,
availability of staff with professional qualifications and
technical abilities, the results of external quality control
reviews, and price.
(b) Restriction on auditor p reoarina indirect cost
proposals. An auditor who prepares the indirect cost proposal or
cost allocation plan may not also be selected to perform the
audit required by this part when the indirect costs recovered by
the auditee during the prior year exceeded $1 million. This
restriction applies to the base year used in the preparation of
the indirect cost proposal or cost allocation plan and any
subsequent years in which the resulting indirect cost agreement
or cost allocation plan is used to recover costs. To minimize
any disruption in existing contracts for audit services, this
paragraph applies to audits of fiscal years beginning after June
30, 1998 .
•
20
(c) ' Use of ad_sral auditors . Federal auditors may perform
all or part of the work required under this part if they comply
fully with the requirements of this part.
5 .310 Financial statements.
(a) Financial statements . The auditee shall prepare
financial statements that reflect its financial position, results
of operations or changes in net assets, and, where appropriate,
cash flows for the fiscal year audited. The financial statements
shall be for the same organizational unit and fiscal year that is
chosen to meet the requirements of this part. However,
organization-wide financial statements .may also include
departments, agencies, and other organizational units that have
separate audits in accordance with § .500 (a) and prepare
separate financial statements .
(b) Schedule of expenditures of Federal awards . The
auditee shall also prepare a schedule of expenditures of Federal
awards for the period covered by the auditee ' s financial •
statements. While not required, the auditee may choose to
provide information requested by Federal awarding agencies and
pass-through entities to make the schedule easier to use . For
example, when a Federal program has multiple award years, the
auditee may list the amount of Federal awards expended for each
award year separately. At a minimum, the schedule shall: •
•
(1) List individual Federal programs by Federal
agency. For Federal programs included in a cluster of programs,
list individual Federal programs within a cluster of programs.
For R&D, total Federal awards expended shall be shown either by
individual award or by Federal agency and major subdivision
within the Federal agency. For example, the National Institutes
of Health is a major subdivision in the Department of Health and
Human Services. `z
(2) For Federal awards received as a subrecipient,
the name of the pass-through entity and identifying number •
assigned by the pass-through entity shall be included.
(3) Provide total Federal awards expended for each
individual Federal program and the CFDA number or other
identifying number when the CFDA information is not available.
• (4) Include notes that describe the significant
accounting policies used in preparing the schedule.
21 •
(5) - To the extent practical, pass-through entities
should identify in the schedule the total amount provided to
subrecipients -from each Federal program.
(6) Include, in either the schedule or a note to the
schedule, the value of the Federal awards expended in the form of
non-cash assistance, the amount of insurance in .effect during the
year, and loans or loan guarantees outstanding at year end.
While not required, it is preferable to present this information
in the schedule.
S .315 Audit findings follow-up.
(a) General . The auditee is responsible for follow-up and
corrective action on all audit findings . As part of this
responsibility, the auditee shall prepare a summary schedule of •
prior audit findings. The auditee shall also prepar
e a
corrective action plan for current year audit findings . The
summary schedule of prior audit findings and the corrective
action plan .shall include the reference numbers the auditor
assigns to audit findings under S .510 (c) . Since the summary
schedule may include audit findings from multiple years, it shall
include the fiscal year in which the finding initially occurred.
(b) Summary schedule of prior audit findings . The summary
schedule of prior audit findings shall report the status of all
audit findings included in the prior audit' s schedule of findings
and questioned costs relative to Federal awards. The summary
schedule shall also include audit findings reported in the prior
audit's summary schedule of prior audit findings except audit
findings listed as corrected in accordance with paragraph (b) (1)
of this section, or no longer valid or not warranting further
action in accordance with paragraph (b) (4) of this section.
(1) When audit findings were fully corrected, the
summaryschedule need only- list list the audit findings and state that
Y g
corrective action was taken.
•
(2) When audit findings were not corrected or were
only partially corrected, the summary schedule shall describe the
planned corrective action as well as any partial corrective
action taken.
(3) When corrective action taken is significantly
different from corrective action previously reported in a corrective action plan or in the Federal :agency' s or pass=through---
__-7
entity' s management-decision, the summary schedule shall provide _, �_,,,
. an explanation. ... . -
22
(4) When the auditee believes the audit findings are
no longer valid or do not warrant further action, the reasons for
this position_ shall be described in the summary schedule . A
valid reason for considering an audit finding as not warranting
further action is that all of the following have occurred:
(i) Two years have passed since the audit
report in which the finding occurred was submitted to the Federal
clearinghouse;
(ii) The Federal agency or pass-through entity
is not currently following up with the auditee on the audit
finding; and
•
(iii) A management decision was not issued.
(c) Co,--opt-ive action plarl. At the completion of the
audit, the auditee shall prepare a corrective action plan to
address each audit finding included in the current year auditor' s
reports . The corrective action plan shall provide the name (s) of
the contact person (s) responsible for corrective action, the
corrective action planned, and the anticipated completion date.
If the auditee does not agree with the audit findings or believes
corrective action is not required, then the corrective action
plan shall include an explanation and specific reasons .
S .320 Report st,l-,m; ssion.
(a) f3e*,_o-al . The audit shall be completed and the data •
collection form described in paragraph (b) of this section and
reporting package described in paragraph (c) of this section
shall be submitted within the earlier of 30 days after receipt of
the auditor' s report (s) , or nine months after the end of the
audit period, unless a longer period is agreed to in advance by
the cognizant or oversight agency for audit. (However, for
fiscal years beginning on or before June 30, 1998, the audit
shall be completed and the data collection form and reporting
package shall be submitted within the earlier of 30 days after
receipt of the auditor' s report (s) , or 13 months after the end of
the audit period. ) Unless restricted by law or regulation, the
auditee shall make copies available for public inspection.
. (b) Data Collection. (1) The auditee shall submit a data
collection ,form_,which states whether the audit was completed in
- -__ accordance:-,with this part and provides information-about` th:e- =- =
auditee, 'its Federal programs, and the results of the au3it:6- The "_
-- form shall be approved by OIA3, available from the Federal-- 0 ----
clearinghouse designated by and include data elements
• 23
•
similar to those presented in this paragraph. A senior level
representative of the auditee (e.g. , State controller, director
of finance, chief -executive officer, or chief financial officer)
shall sign a statement. to be included as part of the form
certifying that: the auditee complied with the, requirements of
this part, the form was prepared in accordance with this part
(and the instructions accompanying the form) , and the information
included in the form, in its entirety, are accurate and complete.
(2) The data collection form shall include the
following data elements:
(i) The type of report the auditor issued on the financial •
statements of the auditee (i.e. , unqualified opinion, 4
qualified opinion, adverse opinion, or disclaimer of
opinion) . .
(ii) Where applicable, a statement that reportable conditions
in internal control were disclosed by the audit of the .
financial statements and whether any such conditions were
material weaknesses.
(iii) A statement as to whether the audit disclosed any
noncompliance which is material to the financial
statements of the auditee.
(iv) Where applicable, a statement that reportable conditions
in internal control over major programs were disclosed by
the audit and whether any such conditions were material
•
weaknesses .
(v) ' The type of report the auditor issued on compliance for 1
major programs (i.e., unqualified opinion, qualified
opinion, adverse opinion, or disclaimer of opinion) .
(vi) A list of the Federal awarding agencies which will .{'
receive a copy of the reporting package pursuant to
5 .320 (d) (2) of OMB Circular A-133.
(vii) A yes or no statement as to whether the auditee qualified
as a low-risk auditee under 5 .530 of OMB Circular ,
A-133.
(viii) The dollar threshold used to distinguish between Type A
. and Type B programs as defined in 5 .520 (b) of OHS
Circular A-133. .
24
(ix) The rPt?1 'f FAtd_Qr?i ?9mQst'sA54i e_'pncP (CFDA) number
for each Federal program, as applicable.
(x) The name of each Federal program and identification of
each major program. Individual programs within a cluster
of programs should be listed in the same level of detail
as they are listed in the schedule of expenditures of
Federal awards.
(xi) The amount of expenditures in the schedule of
expenditures of Federal awards associated with each
Federal program.
(xii) For each Federal program, a yes or no statement as to
whether there are audit findings in each of the following •
types of compliance requirements and the total amount of
any questioned costs:
(A) Activities allowed or unallowed.
(B) Allowable costs/cost principles .
(C) Cash management.
(D) Davis-Bacon Act. •
(E) Eligibility.
(F) Equipment and real property management.
(G) Matching, level of effort, earmarking.
(H) Period of availability of Federal funds . .
•
• (I) ' Procurement and suspension and debarment.
(J) Program income.
(K) Real property _acquisition and relocation •
assistance.
(L) Reporting.
(M) Subrecipient monitoring.
(N) Special tests and provisions.
(xiii) Auditee Name, Employer Identification Numher (s) , Name and
•
Title of Certifying 'Official, Telephone Number,
-Signature, and Date.
•
(xiv) Auditor Name, Name and Title of Contact Person, Auditor
Address, Auditor Telephone Number, Signature, and Date.
(xv) Whether the auditee has either a cognizant or oversight
agency for audit.
(xvi) The name of the cognizant or'!oversight agency for audit
'determined in accordance with S .400 (a) and - ----_.--
S .400 (b) , respectively.
25
•
1110
•
•
(3) ' Using the information included in the reporting
package described in paragraph (c) of this section, the auditor
shall complete the applicable sections of the form. The auditor
shall sign a statement to be included as part of the data
collection form that indicates, at a minimum, the source of the
information included in the form, the auditor' s responsibility
for 'the information, that the form is not a substitute for the
reporting package described in paragraph (c) of this section, and
that the content of the form is limited to the data elements
prescribed by OMB.
(c) ;teportina package. The reporting package shall include
the:
(1) Financial statements and schedule of expenditures
• of Federal awards discussed in 5 .310 (a) and § .310 (b) ,
respectively;
(2) Summary schedule of prior audit findings
discussed in § .315 (b) ;
(3) Auditor' s reports) discussed in 5 .505; and •
•
(4) Corrective action plan discussed in § .315 (c) .
(d) Submission to clearinghouse . All auditees shall submit `
to the Federal clearinghouse designated by OMB the data
collection form described in paragraph (b). of this section and
one copy of the reporting package described in paragraph (c) of
this section for:
(1) The Federal clearinghouse to retain as an .
archival copy; and
• (2) Each Federal awarding agency when the schedule of
findings and questioned costs disclosed audit findings relating
to Federal awards that the Federal awarding agency provided
directly or the summary schedule of prior audit findings reported
'the status of any audit findings relating to Federal awards that
the Federal awarding agency provided directly.
(e) Additional submission by subrecipients. (1) In
addition to the requirements discussed in paragraph (d) of this .
section, auditees that are also subrecipients shall submit to
each pass-through entity one copy of the reporting package
described in paragraph (c) of this section for: each pass—
through-. - entity when—the—schedule of findings and questioned costs
disclosed, audit findings_ relating to Federal awards that:the Via,: - ,:.� .�_
pass-through entity provided or the slam-tary schedule of prior
•
audit findings reported the status of any audit findings relating
to Federal awardr, that the pass-through entity provided.
(2) Instead of submitting the reporting package to a
pass-through entity, when a subrecipient is not required to
submit a reporting package to a pass-through entity pursuant to
•
paragraph (e) (1) of this section, the subrecipient shall provide
written notification to the pass-through entity that: an audit
of the subrecipient was conducted in accordance with this part
(including the period covered by the audit and the name, amount,
and CFDA number of the Federal award (s) provided by the pass-
through entity) ; the schedule of findings and questioned costs
• disclosed no audit findings relating to the Federal award (s) that
the pass-through entity provided; and, the summary schedule of
prior audit findings did not report on the status of any audit
findings relating to the Federal award (s) that the pass-through
entity provided. A subrecipient .may submit a copy of the
reporting package described in paragraph (c) of this section to a
pass-through entity to comply with this notification requirement.
(f) Requests for retort copies . In response to requests by
a Federal agency or pass-through entity, auditees shall submit
the appropriate copies of the reporting package described in
paragraph (c) of this section and, if requested, a copy of any
management letters issued by the auditor.
(g) Report retention requirements . Auditees shall keep one
copy of the data collection form described in paragraph (b) of
this section and one copy of the reporting package described in
paragraph (c) of this section on file for three years from the
date of submission to the Federal clearinghouse designated by
OMB. Pass-through entities shall keep subrecipients ' submissions
on file for three years from date of receipt.
(hr Clearinghouse responsibilities. The Federal .
clearinghouse designated by OMB shall distribute the reporting
packages received in accordance with paragraph (d) (2) of this
section and S .235 (c) (3) to applicable Federal awarding
agencies, maintain a data base of completed audits, provide
appropriate information to Federal agencies, and follow up with
known auditees which have not submitted the required data
collection forms and reporting packages . •
(i) Clearinghouse address . The address of✓ the Federal
clearinghouse currently designated by OMB is Federal Audit
Clearinghouse, Bureau of the Census, 1201 E. 10th Street,
•
Jeffersonville, IN 47132 .
27
(j ) Electronic filing. Nothing in this part shall preclude
electronic submissions to the Federal clearinghouse in such
manner as may be. approved by OMB. With 0M3 approval, the lFederzi. .
clearinghouse may pilot test methods of electronic submissions.
Subpart D--Federal Agencies and Pass-Through Entities •
$ .400 Responsibilities.
(a) Cognizant agency for audit responsibilities .
Recipients expending more than $25 million a year in Federal
• awards shall have a cognizant agency for audit. The designated
cognizant agency for audit shall be the Federal awarding agency
that provides the predominant amount of direct funding to a
recipient unless OMB makes a specific cognizant agency for audit
assignment. To provide for continuity of cognizance, the •
determination of the predominant amount of direct funding shall
be based upon direct Federal awards expended in the recipient' s
fiscal years ending in 1995, 2000, 2005, and every fifth year
thereafter. For example, audit cognizance for periods ending in
1997 through 2000 will be determined based on Federal awards
expended in 1995. (However, for States and local governments
that expend more than $25 million a year in Federal awards and
have previously assigned cognizant agencies for audit, the •
requirements of this paragraph are not effective until fiscal
years beginning after June 30, 2000. ) Notwithstanding the manner
in which audit cognizance is determined, a Federal awarding •
agency with cognizance for an auditee may reassign cognizance to
another Federal awarding agency which provides substantial direct
funding and agrees to be the cognizant agency for audit. Within
30 days after any reassignment, both the old and the new
cognizant agency for audit shall notify the auditee, and, if
known, the auditor of the reassignment. The cognizant agency for
audit shall :
(1) Provide technical audit advice and liaison to
auditees and auditors.
(2) Consider auditee requests for extensions to the
report submission due date required by S .320 (a) . The
cognizant agency for audit may grant extensions for good cause.
(3) Obtain or conduct quality control reviews of
selected audits made by non-Federal auditors, and provide the
results, when appropriate, to other interested organizations .
(4) Promptly inform other affected Federal agencies
and appropriate Federal law enforcement officials of any direct
•
28
•
•
reporting by the auditee or its auditor of irregularities or
illegal acts, as required by GALAS or laws and regulations .
(5) Advise the auditor and, where appropriate, the
auditee of any deficiencies found in the audits when the
deficiencies require corrective action by the auditor. When
advised of deficiencies, the auditee shall work with the auditor
to take corrective action. If corrective action is not taken,
the cognizant agency for audit shall notify the auditor, the
auditee, and applicable Federal awarding agencies and pass-
through entities of the facts and make recommendations for
follow-up action. Major inadequacies or repetitive substandard
performance by auditors shall be referred to appropriate State
licensing agencies and professional bodies for disciplinary r
action.
( 6) Coordinate, to the extent practical, audits or
reviews made by or for Federal agencies that are in addition to
the audits made pursuant to this part, so that the additional
audits or reviews build upon audits performed in accordance .with
this part. •
(7) Coordinate a management decision for audit
findings that affect the .Federal programs of more than one ..
agency.
(8) Coordinate the audit work and reporting •
responsibilities among auditors to achieve the most cost
effective audit.
(9) • For biennial audits permitted under 5 .220,
consider auditee requests to qualify as a low-risk auditee under
5 .530 (a) .
(b) Oversicht agency for audit responsibilities . An :;
auditee which does not have a designated cognizant agency for •
audit will be under the general oversight of the Federal agency
determined in accordance with 5 .105 . The oversight agency for
•
audit:
(1) Shall provide technical advice to auditees and
auditors as requested.
. (2) May assume all or some of the responsibilities
normally performed by a cognizant agency for audit. _ - - . -
•
29 - .
(c) :ederal awarding agency responsibilities . The Federal
awarding agency shall perform the following for the Federal
awards it make::.:
(1) Identify Federal awards made by informing each
recipient of the CFDA title and number, award name and- number,
award year, and if the award is for. R&D. When some of this
information is not available, the Federal agency shall provide
information necessary to clearly describe the Federal award.
(2) Advise recipients of requirements imposed on them
by Federal laws, regulations, and the provisions of contracts or
grant agreements.
(3) Ensure that audits are completed and reports are
received in a timely manner and in accordance with the
requirements of this part.
(4) Provide technical advice and counsel to auditees
and auditors as requested.
(5) Issue a management decision on audit findings
• within six months after receipt of the audit report and ensure
that the recipient takes appropriate and timely corrective
action.
(6) Assign a person responsible for providing. annual
updates of the compliance supplement to OMB.
(d) Pass-through entity responsibilities . A pass-through
entity shall perform the following for the Federal awards it
makes:
(1) Identify Federal awards made by informing each
subrecipient of CFDA title and number, award name and number,
award year, if the award is R&D, and name of Federal agency.
' When some of this information is not available, the pass-through
entity shall provide the best information available to describe
the Federal award.
(2) Advise subrecipients of requirements imposed on
them by Federal laws, regulations, and the provisions of
contracts or grant agreements as well as any supplemental
requirements imposed by the pass-through entity.
(3) Monitor the activities of subrecipients as------ --
. necessary to ensure that Federal awards are used for authorized
purposes in compliance with laws; regulations, and the provisions
•
•
•
of contracts or grant agreements and that performance goals are
achieved.
(4) Ensure that subrecipients expending $300, 000 or
more in Federal awards during the subrecipient' s fiscal - year have
met the audit requirements of this part for that fiscal year.
(5) Issue a management decision on audit findings
within six months after receipt of the subrecipient' s audit
report and ensure that the subrecipient takes appropriate and
timely corrective action.
(6) Consider whether subrecipient audits necessitate
adjustment of the pass-through entity' s own records.
(7) Require each subrecipient to permit the pass-
through entity and auditors to have access to the records and
financial statements as necessary for the pass-through entity to
comply with this part.
S .405 Management decision.
(a) General . The management decision shall clearly state
whether or not the audit finding is sustained, the reasons for
the decision, and the expected auditee action to repay disallowed
costs, make financial adjustments, or take other action. If the
auditee has not completed corrective action, a timetable for
follow-up should be given. Prior to issuing the management
decision, the Federal agency or pass-through entity may request
additional information or documentation from the auditee,
including a request for auditor assurance related to the
documentation, as a way of mitigating disallowed costs. The
management decision should describe any appeal process available
to the auditee.
•
(b) Federal agency. As provided in S .400 (a) (7) , the
cognizant agency for audit shall be responsible for coordinating .
a management decision for audit findings that affect the programs
of more than one Federal agency. As provided in S .400 (c) (5) ,
a Federal awarding agency is responsible for issuing a management
decision for findings that relate to Federal awards it makes to
recipients. Alternate arrangements may be made on a case-by-case
basis by agreement among the Federal agencies concerned.
(c) pass-through entit%. As provided (5) ,
the pass-through entity shall be responsible for making the
management decision for audit findings that relate to- Feder_ah
awards 'it-makes 'to subrecipients . auc.L. _
- 31 10
•
•
•
(d) Tine requirements. The entity responsible for making
the management decision shall do so within six months of receipt
of the audit rr sport. Ccrr-ct_ve action should .be inftiateti
within six months after receipt of the audit report and proceed
as rapidly as possible.
(e) gofPronce nunhers. Management decisions shall include
the reference numbers the auditor assigned to each audit finding
in accordance with 5 .510 (c) .
Subpart E--Auditors
§ .500 Scope of audit.
(a) General. The audit shall be conducted in accordance
with GAGAS . The audit shall cover the entire operations of the
auditee; or, at the option of the auditee, such audit shall
include a series of audits that cover departments, agencies, and
other organizational units which expended or otherwise
administered Federal awards during such fiscal year, provided
that each such audit shall encompass the financial statements and
schedule of expenditures of Federal awards for each such
department, agency, and other organizational unit, which shall be
considered to be a non-Federal entity. The financial statements
and schedule of expenditures of Federal awards shall be for the
same fiscal year.
(b) Financial statements. The auditor shall determine
whether the financial statements of the auditee are presented
fairly in all material respects in conformity with generally
accepted accounting principles. The auditor shall also determine
whether the schedule of expenditures of Federal awards is
presented fairly in all material respects in relation to the
auditee' s financial statements taken as a whole.
(c) Internal control. (1) In addition to the requirements
of GAGAS, the auditor shall perform procedures to obtain an
understanding of internal control over Federal programs fi
sufficient to plan the audit to support a low assessed level of
control risk for major programs.
(2) Except as provided in paragraph (c) (3) of this
section, the auditor shall:
•
(i) Plan the testing of internal control over
major programs to support a low assessed level of control risk
for the assertions relevant to the compliance requirements for
. each major program; and
•
32
•
•
(ii) Perform testing of internal control as
planned in paragraph (c) (2) (i) of this section.
(3) When internal control over some or all of the
compliance requirements for a major program are likely to be
ineffective in preventing or detecting noncompliance, the
planning and performing of testing described in paragraph (c) (2)
of this section are not required for those compliance
requirements . However, the auditor shall report a reportable
condition (including whether any such condition is a material
weakness) in accordance with 5 .510, assess the related control
risk at the maximum, . and consider whether additional compliance
tests are .required because of ineffective internal control.
(d) Compliance. (1) In addition to the requirements of
GALAS, the auditor shall determine whether the auditee has
complied with laws, regulations, and the provisions of contracts
or grant agreements that may have a direct and material effect on
each of its major programs.
(2) The principal compliance requirements applicable
to most Federal programs and the compliance requirements of the
largest Federal programs are included in the compliance •
supplement.
(3) Torcompliance
the requirements rel
ated to
Federal programs contained in the compliance supplement, an audit
of these compliance requirements will meet the requirements of
this part. Where .there have been changes to the compliance
requirements and the changes ar
e not reflect
ed in the complian
ce
supplement, the auditor shall determine the current compliance •
requirements and modify the audit procedures accordingly. For
those Federal programs not covered in the compliance supplement,
the auditor should use the types of compliance requirements
contained in the compliance: supplement as guidance for •
identifying the types of compliance requirements to test, and }
determine the requirements governing the Federal program by
reviewing the provisions of contracts and grant agreements and
the laws and regulations referred to in such contracts and grant
agreements .
(4) The compliance testing shall include tests • of
transactions and such other auditing procedures necessary to
provide the auditor sufficient evidence to support an opinion on
compliance.
•
(e) fo llcw-up. The auditor shall follow-up on prior
audit findings, perform procedures to assess the reasonableness
33
•
of the summary schedule of prior audit findings prepared by the
auditee in accordance with § .315 (b) , and report, as a current
wear audit !L zi.izg, when the auditcr concludes that the summary
schedule of prior audit findings materially misrepresents the
status of any prior audit finding. The auditor shall perform
audit follow-up procedures regardless of whether a prior audit
finding relates to a major program in the current year.
(f) Data Collection Fore. As required in S .320 (b) (3) ,
the auditor shall complete and sign specified sections of the
data collection form.
S .505 Audit reporting.
•
The auditor's report (s) may be in the form of either
combined or separate reports and may be organized differently
from the manner presented in this section. The auditor's
report (s) shall state that the audit was conducted in accordance
with this part and include the following:
(a) An opinion (or disclaimer of opinion) as to whether the
financial statements are presented fairly in all material
respects in conformity with generally accepted accounting
principles and an opinion (or disclaimer of opinion) as to
whether the schedule of expenditures of Federal awards is
presented fairly in all material respects in relation to the
financial statements taken as a whole.
(b) A report on internal control related to the financial
statements and major programs. This report shall describe the
scope of testing of internal control and the results of the
tests, and, where applicable, refer to the separate schedule of
findings and questioned costs described in paragraph (d) of this
section.
(c) A report on compliance with laws, regulations, and the
provisions of contracts or grant agreements, noncompliance with
which could have a material effect on the financial statements .
This report shall also include an opinion (or disclaimer of
opinion) as to whether the auditee complied with laws,
regulations, and the provisions of contracts or grant agreements
which could have a direct and.material effect on each major
program, and, where applicable, refer to the separate schedule of •
findings and questioned costs described in paragraph (d) of this
section.
(d) A-schedule of findings and questioned costs which;.shall,y ,_•,; ,
include -the following= three components: �._., _
34
•
•
•
(1) A summary of the auditor' s results which shall
include:
(i) The type of report the auditor issued on
the financial statements of the auditee (i. e. , unqualified
opinion, qualified opinion, adverse opinion, or disclaimer of
opinion) ;
(ii) Where applicable, a statement that
reportable conditions in internal control were disclosed by the
audit of the financial statements and whether any such conditions
were material weaknesses;
(iii) A statement as to whether the audit
disclosed any noncompliance which is material to the financial
statements of the auditee;
(iv) Where applicable, a statement that
reportable conditions in internal control over major programs
were disclosed by the audit and whether any such conditions were
material weaknesses;
(v) The type of report the auditor issued on
compliance for major programs (i..e . , unqualified opinion,
qualified opinion, adverse opinion, or disclaimer of opinion) ;
(vi) A statement as to whether the audit
disclosed any audit findings which the auditor is required to
report under 5 .510 (a) ;
(vii) An identification of major programs;
(viii) The dollar threshold used , to distinguish
between Type A and Type 3 programs, as described in 5 .520 (b) ;
and •
•
•
(ix) A statement as to whether the auditee
qualified as a low-risk auditee under § .530.
(2) Findings relating to the financial statements
which are required to be reported in accordance with GAGAS.
(3) Findings and questioned costs for Federal awards
which shall include audit findings as defined 41_5 .510 (a) .
(i) Audit findings (e.g. , internalcontroi
- , findings;- -compliance findings, questioned costs, or fraud). which
relate tothe same -issue should be presented •as_a. single :adit a�
35
1111
•
finding. Where practical, audit findings should be organized by
Federal agency or pass-through entity.
(ii) Audit findings which relate to both the
financial statements and Federal awards, as reported under
paragraphs (d) (2) and (d) (3) of this section, respectively,
should be reported in both sections of the schedule. However,
the reporting in one section of the schedule may be in summary
form with a reference to a detailed reporting in the other
section of the schedule.
S .510 Audit findings.
(a) Audit findings reported. The auditor shall report the
following as audit findings in a schedule of findings and 4
questioned costs :
(1) Reportable conditions in internal control over
major programs . The auditor' s determination of whether a
deficiency in internal control is a reportable condition for the
purpose of reporting an audit finding is in relation to a type of
compliance requirement for a major program or an audit objective
identified in the compliance supplement. The auditor shall
identify reportable conditions which are individually or
cumulatively material weaknesses.
(2) Material noncompliance with the provisions of-
laws, regulations, contracts, or grant agreements related to a
major program. The auditor' s determination of whether a •
noncompliance with the provisions of laws, regulations,
contracts, or grant agreements is material for the purpose of •
reporting an audit finding is in relation to a type of compliance
requirement for a major program or an audit objective identified
in the compliance supplement.
• (3) •Known questioned costs which are greater than
$10, 000 for a type of compliance requirement for a major program.
Known 'questioned costs are those specifically identified by the
auditor. In evaluating the effect of questioned costs on the
opinion on compliance, the auditor considers the best estimate of
total costs questioned (likely questioned costs) , not just the
questioned costs specifically identified (known questioned
costs) . The auditor shall also report known questioned costs
when likely questioned costs are greater than $10, 000 for a type
of compliance requirement for a major program. In reporting
questioned costs, the auditor shall include information to
provide proper perspective for judging the prevalence and
consequences of the questioned costs.
36
•
(4) Known questioned costs which are greater than
$10, 000 for a Federal program which is not audited as a major
program. Except for audit f.oilcw-up, the auditor is not required
under this part to perform audit procedures for such a Federal
program; therefore, the auditor will normally not find questioned
costs for a program which is not audited as a major program.
However, if the auditor does become aware of questioned costs for
a Federal program which is not audited as a major program (e.g. ,
as part of audit follow-up or other audit procedures) and the
known questioned costs are greater than $10, 000, then the auditor
shall report this as an audit finding.
(5) The circumstances concerning why the auditor's
report on compliance for major programs is other than an
unqualified opinion, unless such circumstances are otherwise .
reported as audit findings in the schedule of findings and •
questioned costs for Federal awards.
(6) Known fraud affecting a Federal award, unless .
such fraud is otherwise reported as an audit finding in the
schedule of findings and questioned costs for Federal awards.
This paragraph does not require the auditor to make an additional
reporting when the auditor confirms that the fraud was reported
P outside of the auditor' s reports under the direct reporting •requirements of GAGAS.
(7) Instances where the results of audit follow-up .
procedures disclosed that the summary schedule of prior audit
findings prepared by the auditee in accordance with § .315 (b)
materially misrepresents the status of any prior audit finding.
(b) pudit finding detail . Audit findings shall be
presented in Sufficient detail for the auditee to' prepare a
corrective action plan and take corrective action and for Federal
agencies and pass-through entities to arrive at a management :'
decision. The following specific information shall be included,
as applicable, in audit findings:
(1) Federal program and specific Federal award
identification including the CFDA title and number, Federal award
number and year, name of Federal agency, and name of the
applicable pass-through entity. When information, such as the
CFDA title and number or Federal award ni'mher, is not available,
the auditor shall provide the best information available to
describe. the Federal award. i 1. r_ __. _ _
. (2) The criteria or specific requirement upon which��
the audit finding is based, including statutory, regulatory, or
•
other citation.
37
1110
•
(3) The condition found, including facts that support
the deficiency identified in the audit finding.
. (4) Identification of questioned costs and how they
were computed.
(5) Information to provide proper perspective for
judging the prevalence and consequences of the audit findings,
such as whether the audit findings represent an isolated instance
or a systemic problem. Where appropriate, instances identified
shall be related to the universe and the number of cases examined
and be quantified in terms of dollar value.
(6) The possible asserted effect to provide
sufficient information to the auditee and Federal agency, or
pass-through entity in the case of a subrecipient, to permit them •
to determine the cause and effect to facilitate prompt and proper •
corrective action.
(7) Recommendations to prevent future occurrences of
the deficiency identified in the audit finding.
(8) Views of responsible officials of the auditee
when there is disagreement with the audit findings, to the extent
practical.
•
(c) Reference numbers . Each audit finding in the schedule
of findings and questioned costs shall include a reference number
to allow for easy referencing of the audit findings during
follow-up. •
S .515 Audit working papers.
(a) Retention of working papers . The auditor shall retain
working papers and reports for a minimum of. three years after the
date of issuance of the auditor's report (s) to the auditee,
unless •the auditor is notified in writing by the cognizant agency
for audit, oversight agency for audit, or pass-through entity to
extend the retention period. When the auditor is aware that the
Federal awarding agency, pass-through entity, or auditee is
contesting an audit finding, the auditor shall contact the
parties contesting the audit finding for guidance prior to
destruction of the working papers and reports.
(b) , Access to working papers. Audit working papers shall
be made available upon-request. to the cognizant or oversight===="-_ -.
agency for auditor its designee, a Federal agency providing
direct or7indirect_funding, or GAO at the completion of the = _=�
ft
•
audit, as part of a quality review, to resolve audit findings, or
to carry out oversight responsibilities consistent with the
.purposes of this ipart. Access to workf_ng papers includes the
right of Federal agencies to obtain copies of working papers, as
is reasonable and necessary.
S .520 Major program determination.
(a) General . The auditor shall use a risk-based approach
to determine which Federal programs are major programs. This
risk-based approach shall include consideration of: Current and
prior audit experience, oversight by Federal agencies and pass-
•
through entities, and the inherent risk of the Federal program.
The process in paragraphs (b) through (i) of this section shall
be followed.
(b) step 1 . (1) The auditor shall identify the larger
Federal programs, which shall be labeled Type A programs. Type A
programs are defined as Federal programs with Federal awards
expended during the audit period exceeding the larger of:
(i) $300, 000 or three percent ( . 03) of total
Federal awards expended in the case of an auditee for which total
Federal awards expended equal or exceed $300, 000 but are less
than or equal to $100 million.
(ii) $3 million or three-tenths of one percent
( . 003) of total Federal awards expended in the case of an auditee
for which total Federal awards expended exceed $100 million but
are less than or equal to $10 billion.
(iii) $30 million or 15 hundredths of one percent •
( . 0015) of total Federal awards expended in the case of an
1 )
aud
itee for which total Federal awards expe
nded exceed $10
billion.
(2) Federal programs not labeled Type A under
Ty
pe B
section sh
all be labeled
ara ra h b 1) of th
is
paragraph P
programs . •
(3) The inclusion of large loan and loan guarantees
(loans) should not result in the exclusion of other programs as
Type A programs. When a Federal program providing loans
significantly .affects the number or size of Type_,A .programs_,
- auditor hall- consider- this Federal program as a iType;A prog
s ram ,N T; ,,f
--- and exclude its values in determining other Type _A: p`rograms. - _ _ __
39
•
•
(4 ) For biennial audits permitted under S .220, the
determination of Type A and Type B programs shall be based upon
the Federal a i. ds •expended during the two-year period.
(c) step 2. (1) The auditor shall identify Type A
programs which are low-risk. For a Type A program to be
considered low-risk, it shall have been audited as a major
program in at least one of the two most recent audit periods (in
the most recent audit period in the case of a biennial audit) ,
and, in the most recent audit period, it shall have had no audit
findings under S .510 (a) . However, the auditor may use
judgment and consider that audit findings from questioned costs
under § .510 (a) (3) and 5 .510 (a) (4) , fraud under
S .510 (a) (6) , and audit follow-up for the summary schedule of
prior audit findings under S .510 (a) (7) do not preclude the
. Type A program from being low-risk. The auditor shall consider:
the criteria in S .525 (c) , S .525 (d) (1) , S .525 (d) (2) , and
S .525 (d) (3) ; the results of audit follow-up; whether any
changes in personnel or systems affecting a Type A program have
significantly increased risk; and apply professional judgment in .
determining whether a Type A program is low-risk.
(2) Notwithstanding paragraph (c) (1) of this section,
OMB may approve a Federal awarding agency' s request that a Type A
program at certain recipients may not be considered low-risk.
For example, it may be necessary for a large Type A program to be
audited as major each year at particular recipients to allow the
• Federal agency to comply with the Government Management Reform
Act of 1994 (31 U.S.C. 3515) . The Federal agency shall notify
the recipient and, if known, the auditor at least 180 days prior
to the end of the fiscal year to be audited of OMB' s approval.
(d) step 3 . (1) The auditor shall identify Type B
programs which are high-risk using professional judgment and the
criteria in S .525. However, should the auditor select Option
2 under Step 4 (paragraph (e) (2) (i) (B) of this section) , the
auditor is not required to identify more high-risk Type B
programs than the number of low-risk Type A programs . Except for
known reportable conditions in internal control or compliance
problems as discussed in S .525 (b) (1) , S .525 (b) (2) , and
S .525 (c) (1) , a single criteria in 'S .525 would seldom cause
a Type B program to be considered high-risk.
(2) The. auditor is not expected to perform risk
assessments on relatively small Federal programs. Therefore, 'the
auditor is only required to perform risk assessments on Type B
programs that exceed the larger of:
•
40 •
•
(i) $100, 000 or three-tenths of one percent
( . 003) of total Federal awards expended when the auditee has less
than or equal rta $100 million in total Federal awards expended.
• (ii) $300, 000 or three-hundredths of one percent
( . 0003) of total Federal awards expended when the auditee has
more than $100 million in total Federal awards expended.
(e) Step 4 . At a minimum, the auditor shall audit all of
the following as major programs:
(1) All Type A programs, except the auditor. may
exclude any Type A programs identified as low-risk under Step 2
(paragraph- (c) (1) of this section) . •
(2) (i) High-risk Type B programs as identified
under either of the following two options:
(A) Qption 1. At least one half of the
Type B programs identified as high-risk under Step 3 (paragraph
(d) of . this section) , except this paragraph (e) (2) (i) (A) does not
require the auditor to audit more high-risk Type B programs than
the number of low-risk Type A programs identified as low-risk •
under Step 2.
(B) Option 2. One high-risk Type B
program for each Type. A program identified as low-risk under Step
2.
(ii) When identifying which high-risk Type B
programs to audit as major under either Option 1 or 2 in
paragraph (e) (2) (i) (A) or (B) , the auditor is encouraged to use
an approach which provides an opportunity for different high-risk
Type B programs to be audited as major over a period of time.
(3) Such additional programs as may be necessary to
comply with the percentage of coverage rule discussed in •
paragraph (f) of this section. This paragraph (e) (3) may require
the auditor to audit more programs as major than the number of
Type A programs.
(f) Percentage of coverace rule. The auditor shall audit
as major programs Federal programs with Federal awards expended
that, in the aggregate, encompass at least _50 percent of total .
Federal awards expended. If the auditee meets the criteria in
S _.530 for a low-risk auditee, the& auditor need only .audit
major programs Federal programs with; Federal awards expended - }
41
•
•
of total
that, in the aggregate, encompass at least 25 percent
Federal awards expended.
(g) Documentation of risk. The auditor shall document in
the working papers the risk analysis process used in determining
major programs.
(h) Auditor' s judgment. When the major program
determination was performed and documented in accordance with
this part, the auditor' s judgment in applying the risk-based
approach to determine major programs shall be presumed correct.
Challenges by Federal agencies and pass-through entities shall
only be for clearly improper use of the guidance. in this part.
However, Federal agencies and pass-through entities may provide
auditors guidance about the risk of a particular Federal program
•
and the auditor shall consider this guidance in determining major
programs in audits not yet completed.
(i) Deviation from use of risk criteria. For first-year
audits, the auditor may elect to determine major programs as all
Type A programs plus any Type B programs as necessary to meet the
percentage of coverage rule discussed in paragraph (f) of this •
section. Under this option, the auditor would not be required to
. perform the procedures discussed in paragraphs (c) , (d) , and (e)
of this section.
(1) A first-year audit is the first year the entity
is audited under this part or the first year of a change of •
auditors .
(2) To ensure that a frequent change of auditors
would not preclude audit of high-risk Type B programs, this
election for first-year audits may not be used by an auditee more
than once in every three years.
§ .525 Criteria for Federal program risk.
(a) General . The auditor's determination should be based t`
on an overall evaluation of the risk of noncompliance occurring
which could be material to the Federal program. The auditor.
• shall use auditor judgment and consider criteria, such as
described in paragraphs (b) , (c) , and (d) of this section, to
identify risk in Federal programs. Also, as part of the risk
analysis, the auditor may wish to discuss a particular Federal
program with auditee management and the Federal agency or pass-
through entity. _ • _
•
•
42 Cl
•
(b) CurTent and prior audit experience (1) Weaknesses in
internal control over Federal programs would indicate higher .
risk_. Consrntion should given tc the control environment
over Federal programs and such factors as the expectation of
management' s adherence to applicable laws and regulations and the
provisions of contracts and grant agreements and the competence .
and experience of personnel . who administer the Federal programs .
(i) A Federal program administered under
multiple internal control structures may have higher risk. When
assessing risk in a large single audit, the auditor shall
consider whether weaknesses are isolated in a single operating
unit (e.g. , one college campus) or pervasi•re throughout the
entity.
(ii) When significant parts of .a Federal program
are passed through to subrecipients, a weak system for monitoring
subrecipients would indicate higher risk.
(iii) The extent to which computer processing is
used to administer Federal programs, as well as the complexity of
that processing, should be considered by the auditor in assessing
risk. New and recently modified computer systems may also
indicate risk.
(2) Prior audit findings would indicate higher risk,
particularly when the situations identified in the audit findings
could have a significant impact on a Federal program or have not
been corrected.
(3) Federal programs not recently audited as major
Tprograms recently
risk than Federal o
programs may be of higherp g
audited as major programs without audit findings.
(c) Oversight exercised by Federal agencies and pass- ,
through entities . (1) Oversight exercised by Federal agencies
or pass-through entities could indicate risk. For example,
recent monitoring or other reviews performed by an oversight
entity which disclosed no significant problems would indicate
lower risk. However, monitoring which disclosed significant •
problems would indicate higher risk.
(2) Federal agencies, with the concurrence of OMB,
may identify Federal programs which are higher risk. OMB plans
to provide this identification in the cempliance .supplement....
(d) Inherit risk of the Federal program. (1) The nature
of a Federal program may indicate risk. Consideration should be
given to the complexity of the program and the extent to which
43 11111
the Federal program contracts for goods and services. For
example, Federal programs that disburse funds through third party
contracts :or heve eligibility criteria may be of higher risk.
Federal programs primarily involving staff payroll costs may have
a high-risk for time and effort reporting, but otherwise be at
low-risk.
(2) The phase of a Federal program in its life cycle
at the Federal agency may indicate risk. For example, a new
Federal program with new or interim regulations may have higher
risk than an established program with time-tested regulations.
Also, significant changes in Federal programs, laws, regulations,
or the provisions of contracts or grant agreements may increase
risk.
(3) The phase of a Federal program in its life cycle z
at the auditee may indicate risk. For example, during the first
and last years that an auditee participates in a Federal program,
the risk may be higher due to start-up or closeout of program
activities and staff.
(4) Type B programs with larger Federal awards
expended would be of higher risk .than programs with substantially
smaller Federal awards expended. •
S .530 Criteria for a low-risk auditee.
• An auditee which meets all of the following conditions for
each of the preceding two years (or, in the case of biennial
audits, preceding two audit periods) shall qualify as a low-risk
auditee and be eligible for reduced audit coverage in accordance
with. S .520:
(a) Single audits were performed on an annual basis in
accordance with the provisions of this part. A non-Federal
entity that has biennial audits does not qualify as a low-risk
auditee, unless agreed to in advance by the cognizant or
oversight agency for audit.
(b) The auditor's opinions on the financial statements and
the schedule of expenditures of Federal awards were unqualified.
However, the cognizant or oversight agency for audit may judge
that an opinion qualification does not affect the management of
Federal awards and provide a waiver.
(c) There were no deficiencies in internal control which
were identified as material weaknesses under the requirements of
GAGAS . However, the cognizant or oversight agency for audit may
44
s •• •
•
judge that any identified material weaknesses do not affect the
management of Federal awards and provide a waiver.
(d) None of the Federal programs had audit findings from
• any of the following in either of the preceding two years (or, in
the case of biennial audits, preceding two audit periods) in
which they were classified as Type A programs :
(1) Internal control deficiencies which were
identified as material weaknesses;
(2) Noncompliance with the provisions of laws,
regulations, contracts, or grant agreements which have a 'material
effect on the Type A program; or
•
(3) Known or likely questioned costs that exceed five
percent of the total Federal awards expended for a Type A program
during the year.
Appendix A to Part _ - Data Collection Form (Form SF-SAC)
[insert SF-SAC after finalized]
Appendix B to Part _ - Circular A-133 Compliance Supplement
Note: Provisional OMB Circular A-133 Compliance Supplement
is available from the Office of Administration, Publications
Office, room 2200, New Executive Office Building,
Washington, DC 20503.
•
•
•
•
•
•
•
•
•
45
EXHIBIT "G"
SECTION 3 CLAUSE
•
All Section 3 covered contracts shall include the following clause (referred to as the Section 3
clause):
A. Tne work to be performed under this contract is subject to the requirements of Section 3 of
the Housing and Urban Development Act of 1968, as amended. 12 U.S.C. 1701u (Section 3).
The purpose of Section 3 is to ensure that employment and other economic opportunities
generated by HUD assistance or HUD-assisted projects covered by Section 3 shall, to the
greatest extent feasible, be directed to Iow-and very low-income persons, particularly persons
who are recipients of HUD assistance for housing.
•
B. Tne parties to this contract agree to comply with HUD's regulations in 24 CFR part 135,
which implement Section 3. As evidenced by their execution of this contract, the parties to
this contract certify that they are under no contractual or other impediment that would
prevent them from complying with the part 135 regulations.
C. The contractor agrees to send to each labor organization or representative of workers with
which the contractor has a collective bargaining agreement or other understanding, if any, a
notice advising the labor organization or workers' representative of the contractor's
commitments under this Section 3 clause, and will post copies of the notice in conspicuous
places at the work site where both employees and applicants for training and employment
positions can see the notice. The notice shall describe the Section 3 preference,shall set forth
minimum number and job titles subject to hire, availability of apprenticeship and training
positions, the qualifications for each; and the name and location of the person(s) taking
applications for each of the positions; and the anticipated date the work shall begin.
D. The contractor agrees to include this Section 3 clause in every subcontract subject to
compliance with regulations in 24 CFR part 135, and agrees to take appropriate action, as
provided in an applicable provision of the subcontract or in this Section 3 clause, upon a
finding that the subcontractor is in violation of the regulations in 24 CFR part 135. The •
contractor will not subcontract with any subcontractor where the contractor has notice or
knowledge that the subcontractor has been found in violation of the regulations in 24 CFR
part 135..
E. The contractor will certify that any vacant employment positions, including training
positions, that are tilled (1) after the contractor is selected but before the contract is executed,
and (2) with persons other than those to whom the regulations of 24 CFR part 135 require
employment opportunities to be directed, were not filled to circumvent the contractor's
obligations under 24 CFR part 135.
F. Noncompliance with HUD's regulations in 24 CFR part 135 may result in sanctions,
termination of this contract for default, and debarment or suspension from future HUD-
assisted contracts.
• Effective August I, I994
G. With respect to work performed in connection with Section 3 covered Indian housing
assistance, Section 7(b) of the Indian Self-Determination and Education Assistance Act (25
U.S.C. 450e) also applies to the work to be performed under this contract. Section 7(b)
requires that to the greatest extent feasible (i) preference and opportunities for training and
employment shall be given to Indians, and (ii) preference in the award of contracts and
subcontracts shall be given to Indian organizations and Indian-owned Economic Enterprises.
Parties to this contract that are subject to the provisions of Section 3 and Section 7(b) agree
to comply with Section 3 to the maximum extent feasible, but not in derogation of -
compliance with Section 7(b).
Providing Other Economic Opportunities.
(a) General. In accordance with the Endings of the Congress, as stated in Section 3, that other
economic opportunities offer an effective means of empowering low-income persons, a
recipient is encouraged to undertake efforts to provide to low-income persons economic
opportunities other than training, employment, and contract awards, in connection with
Section 3 covered assistance. •
(b) Other training and employment-related opportunities. Other economic opportunities to
train and employ Section 3 residents include, but need not be limited to, use of "upward
mobility", "bridge" and trainee positions to fill vacancies: hiring Section 3 residents in
management and maintenance positions within other housing developments; and hiring
Section 3 residents in part-time positions.
(c) Other business-related economic opportunities. (1) A recipient or contractor may provide
economic opportunities to establish, stabilize or expand Section 3 business concerns,
including micro-enterprises. Such opportunities include„ but are not limited to the formation
of Section 3 joint ventures, financial support for affiliating with franchise development, use
of labor only contracts for building trades, ptrchase of supplies and materials from housing
authority resident-owned businesses, purchase of materials and supplies from PHA resident-
owned businesses and use of procedures under 24 CFR part 963 regarding HA contracts to
• HA resident-owned businesses. A recipient or contractor may employ these methods directly
or may provide incentives to non-Section 3 businesses to utilise such methods to provide
other economic opportunities to Iow-income persons. (2) A Section 3 joint venture means an
association of business concerns, one of which qualifies as a Section 3 business concern,
formed by written joint venture agreement to engage in and carry out a specific business
venture for which purpose the business concerns combine their efforts, resources, and skills
for joint profit, but not necessarily on a continuing or permanent basis for conducting
business generally, and for which the Section 3 business concern:
(I) Is responsible for a clearly defined portion of the work to be performed and holds
management responsibilities in the joint venture; and
(ii) Perfortns at least 25 percent of the work and is contractually entitled to compensation
proportionate to its work.
Effective August 1, 1994
•
� fi SIT "G"
•
MINORITY BUSINESS & WOMEN BUSINESS
•
•
•
•
•
0NJ
04, " e4. Revised
�a ,
August 1997
'1‘ED FEB0'1"4� PLANNING OMAHA
•
City of Cityof Omaha
Omaha z
Hal Daub, Mayor Planning Department
Omaha/Douglas Civic Center
1819 Farnam Street
Omaha, Nebraska 68183
PLANNING DEPARTMENT
CITY OF OMAHA
MINORITY BUSINESS/WOMEN BUSINESS ENTERPRISE PLAN
INTRODUCTION
Minority and women business sectors play an important part in Omaha's overall plans for future
growth, progress, and prosperity. It is vital to the City's economic condition and well-being that
minority and women businesses expand, thrive and prosper, generating economic stability and
increased job opportunities. Towards the fulfillment and accomplishment of these important
objectives, the City of Omaha remains committed to minority and women business development.
The City of Omaha's approach to minority/women business development is embedded in its policy
of non-discrimination in the conduct of City business including the procurement of goods,
materials and services, construction and community and economic development projects. The
City recognizes its obligations to each segment of the various communities it serves. It is in
recognition of these responsibilities that the City established the City's Contract Compliance
Ordinance.
. The Ordinance commits the City to:
1. Require contractors and/or vendors to provide employment opportunities without regard to
race, creed, color, sex religion, or national origin;
2. Monitor contractor and vendor equal opportunity performance; and •
3. Increase the total number and total dollar volume of City contracts awarded to minority-
owned and women-owned firms.
GOALS AND OBJECTIVES
The following represents a summary of the goals and objectives of the Planning Department as
they relate to minority and women-owned businesses:
1. Encourage, increase and promote business and procurement opportunities for women-
owned businesses;
•
2. Increase and expand the awareness and understanding regarding the concerns, obstacles, and
hindrances preventing increased MBE/WBE participation in Planning Department activities;
3. Assist MBE's/WBE's through the revitalization of business districts,
4. Assist minority and female entrepreneurs in the formation and growth of new small
businesses; and
5. Provide technical assistance to neighborhood organizations, MBE's and WBE's to increase
their participation in the Planning Department programs and activities at all levels.
•
•
SCOPE OF WORK •
In order to accomplish these objectives, the Planning Department will:
1. Require that recipients of grant awards, consulting contracts, or loans to develop and
provide a MBE/WBE Utilization Plan.
2. Ensure that Requests for Proposals require the submission of MBE/WBE Utilization Plans.
3. Ensure that the programs of the Planning Department are advertised in the appropriate new
media whose markets are targeted toward MBE/WBE.
4. Implement an outreach effort informing MBE and WBE firms and capture information on
these firms doing business with the Planning Department.
5. Implement a system to identify MBE and WBE firms and capture information on these firms
doing business with the Planning Department.
6. Require developers, corporations, partnerships and/or sole proprietors to register with the
Human Relations Department and the Purchasing Department. In addition, require these
entities to:
A. Complete CC-1 (Human Relations Department)
B. Complete Bid List Registration (Finance Department, Purchasing Division
C. Complete Business Certification (Human Relations Department)
7. Require developers, corporations, partnerships and/or sole proprietors to provide
registration information on all sub-contractors.
8. Require loan agreements to include a statement that jobs created will be made available to
low-to-moderate income persons.
The following application package has been developed to assist you in complying with our request
for information on your business and all sub-contractors providing goods and/or services on
projects financed by and/or implemented through an agreement with the City of Omaha. If you
have any questions or require further assistance in completing the application package, please
contact Mr. Kenneth Johnson, Sr. at 444-5165.
2
1
•
MBE/WBE FOR EMPLOYMENT
•
The following list of organizations is provided to assist you in identifying low-to-moderate income
persons for employment opportunities. You must make concerted efforts to hire low-to-moderate
income persons and document specific actions taken to achieve these objectives.
To help accomplish the above goals, the following agencies should be notified of initial
employment opportunities for low to moderate income persons:
Nebraska Department of Labor-Omaha Job Service Omaha Ser-Jobs for Progress, Inc.
5036 Ames Avenue 5002 South 33rd Street
Omaha, NE 68111 Omaha, NE 68107
Jack Meyers, Office Supervisor Espi Valencia, Executive Director
595-3123 734-1321
Job Training of Greater Omaha Omaha Opportunities Industrialization Center
Blue Lion Centre 2724 North 24th Street
2421-23 North 24th Street Omaha, NE 68110
Omaha, NE 68110 Dr. Bernice Dodd, Executive Director
Diane Thomas, Director 457-4222
444-4700
•
Urban League of Nebraska, Inc. Girls Incorporated of Omaha
3022-24 North 24th Street 2811 North 45th Street
Omaha, NE 68110 Omaha, NE 68104
George Dillard, President Norma Deeb, Executive Director
453-9730 457-4676
YWCA
222 South 29th Street
Omaha, NE 68131
Emily Kozlik, Executive Director
345-6555
•
MBE/WBE FOR GOODS AND SERVICES
Your company must make vendors aware of your policy to support equal opportunity utilization
of minority, disabled and women-owned businesses. To accomplish this goal, you must provide a
copy of the approved MBE/WBE Participation Plan to all businesses providing goods and/or
services to the project.
Your company must provide the opportunity for Minority Business Enterprises and Women
Business Enterprises to provide goods and services through all phases of the project. A concerted
effort must be made to allow these businesses to actively compete for project contracts. This
effort will include utilization of the following resources and documentation of your actions to
achieve these objectives.
Omaha Small Business Network, Inc.
2505 North 24th Street
Omaha, NE 68110
Sherrye McGhee, Executive Director
453-5336
Housing and Community Development Division
City Planning
1819 Farnam Street, Room 1111
Omaha, NE 68183
Kenneth E. Johnson, Sr., Economic Development Manager
444-5165
Nebraska Department of Economic Development
Small Business (MBE/WBE/DBE) Assistance
301 Centennial Mall South
Lincoln, NE 68509-4666
Steve Williams, Business Assistance Manager
471-3778
•
Purchasing Department
1819 Farnam Street, Room 1003
Omaha, NE 68183
Pat Burke, Purchasing Agent
444-5408
Human Relations Department George Davis, Director (444-5050)
Contract Compliance (MBE/WBE)
1819 Farnam Street, Room 502
Omaha, NE 68183
Rita Vlademar, Contract Compliance Manager
444-5067
44111
MBE/WBE FOR GOODS AND SERVICES
Regional Minority Purchasing Council
Greater Omaha Chamber of Commerce
1301 Harney Street
Omaha, NE 68102
Terrie Miller, Director
345-5000
Omaha Ser-Jobs for Progress, Inc.
5002 South 33rd Street
Omaha, NE 68107
Espi Valencia, Executive Director
734-1321
United Minority Contractors Association
2221 North 24th Street
Omaha, NE 68110
Al Epps, Executive Director
341-2177
Donna B. Hayes, ADDMSB
Capital Ownership Development
Small Business Administration
11145 Mill Valley Road
Omaha, NE 68154
221-4691
Hubert J. Carter, Jr., Deputy for Small Business
U.S. Corps of Engineers
215 North 17th Street
Omaha, NE 68102
221-41 10
•
City of Omaha
BUSINESS QUALIFICATION RESUME
DATE:
I. FIRM IDENTIFICATION:
COMPANY NAME
STREET ADDRESS
CITY STATE ZIP CODE
BUSINESS PHONE HOME PHONE
MONTH & YEAR ESTABLISHED
II. OWNERSHIP OF FIRM:
IS THE FIRM OWNED AND CONTROLLED BY MEMBER OF MINORITY OR OTHER
DISADVANTAGED GROUP?: YES NO MINORITY
WOMAN N/A
TYPE OF OWNERSHIP: INDIVIDUAL PARTNERSHIP CORPORATION
IS 51% OWNED BY A MINORITY? YES NO
NAME AND ADDRESS OF ALL STOCKHOLDERS AND/OR PARTNERS:
NAME, TITLE, HOME ADDRESS % OF OWNERSHIP
III. MANAGEMENT(USE SAME FORMAT FOR ADDITIONAL MANAGEMENT PERSONNEL):
NAME POSITION
EDUCATION
MANAGEMENT OR TECHNICAL TRAINING
6/22/90
6
r ,
City of Omaha
CONTRACTOR INFORMATION FORM:
DATE: PROJECT ADDRESS
OWNER INFORMATION: (To be filled out by the City of Omaha)
OWNER'S NAME
OWNER'S ADDRESS
CITY/STATE/ZIP CODE
OWNER'S PHONE NUMBER
OWNER'S FEDERAL TAX IDENTIFICATION NUMBER: MINORITY INFORMATION:
The Owner meets the following criteria:
MINORITY WOMAN N/A
(If the company does not have a Federal Tax Identification
Number, then provide the Owner's Social Security Number.)
GENERAL CONTRACTOR INFORMATION:
COMPANY'S NAME
COMPANY'S ADDRESS
CITY/STATE/ZIP CODE
• COMPANY'S PHONE NUMBER
COMPANY'S FEDERAL TAX IDENTIFICATION NUMBER: MINORITY INFORMATION:
1'he Company meets the following criteria:
MINORITY WOMAN N/A
CONTRACT AMOUNT:
SUBCONTRACTOR LIST:
SUBCONTRACTOR TRADE FED. I.D. # TELEPHONE # MINORITY INFO.
MINORITY
WOMAN
CONTRACT AMOUNT: N/A
SUBCONTRACTOR TRADE FED. I.D. # TELEPHONE # MINORITY INFO.
MINORITY
WOMAN
CONTRACT AMOUNT: N/A
r ,
City of Omaha
SUBCONTRACTOR LIST:
(Continuation) •
SUBCONTRACTOR TRADE FED. I.D. # TELEPHONE # MINORITY INFO.
MINORITY
WOMAN
CONTRACT AMOUNT: N/A
SUBCONTRACTOR TRADE FED. I.D. # TELEPHONE # MINORITY INFO
MINORITY
WOMAN
CONTRACT AMOUNT: N/A
SUBCONTRACTOR TRADE FED. I.D. # TELEPHONE # MINORITY INFO.
MINORITY
WOMAN
CONTRACT AMOUNT: N/A
SUBCONTRACTOR TRADE FED. I.D. # TELEPHONE # MINORITY INFO.
MINORITY
WOMAN
CONTRACT AMOUNT: N/A
SUBCONTRACTOR TRADE FED. I.D. # TELEPHONE # MINORITY INFO.
MINORITY
WOMAN
CONTRACT AMOUNT: N/A
•
SUBCONTRACTOR TRADE FED. I.D. # TELEPHONE # MINORITY INFO.
MINORITY
WOMAN
CONTRACT AMOUNT: N/A
SUBCONTRACTOR TRADE FED. I.D. # TELEPHONE # MINORITY INFO.
MINORITY
WOMAN
CONTRACT AMOUNT: N/A
SUBCONTRACTOR TRADE FED. I.D. # TELEPHONE # MINORITY INFO.
MINORITY
WOMAN
CONTRACT AMOUNT: N/A
f/word_l/kjohnson/reports/mbe-2.doc
8
EXHIBIT "H"
24 CFR 85.43 ENFORCEMENT
(a) Remedies for noncompliance. If a grantee or subgrantee materially fails
to comply with any term of an award, whether stated in a Federal statute
or regulation, an assurance, in a State plan or application, a notice of
award, or elsewhere, the awarding agency may take one or more of the
following actions, as appropriate in the circumstances:
(1) Temporarily withhold cash payments pending correction of the
deficiency by the grantee or subgrantee or more severe enforcement
action by the awarding agency,
(2) Disallow (that is, deny both use of funds and matching credit for)
all or part of the cost of the activity or action not in compliance,
(3) Wholly or partly suspend or terminate the current award for the
grantee 's or subgrantee's program,
(4) Withhold further awards for the program, or
(5) Take other remedies that may be legally available.
(b) Hearings , appeals. In taking an enforcement action, the awarding agency
will provide the grantee or subgrantee an opportunity for such hearing,
appeal, or other administrative proceeding to which the grantee or
subgrantee is entitled under any statute or regulation applicable to the
action involved.
(c) Effects of suspension and termination. Costs of grantee or subgrantee
resulting from obligations incurred by the grantee or subgrantee during a
suspension or after termination of an award are not allowable unless the
awarding agency expressly authorizes them in the notice of suspension or
termination or subseauent.ly. Other grantee or subgrantee costs during
suspension or after termination which are necessary and not reasonably
avoidable are allowable if:
(1) The costs result from obligations which were properly incurred by
the grantee or subgrantee before the effective date of suspension
or termination, are not in anticipation of it, and, in the case of
a termination, are 'noncancellable, and,
(2) The costs would be allowable if the award were not suspended or
expired normally at the end of the funding period in which the
termination takes effect.
(d) Relationship to Debarment and Suspension. The enforcement remedies
identified in this section, including suspension and termination, do not
preclude grantee or subgrantee from being subject to "Debarment and
Suspension" under E.O. 12549 (see § 85.35).
24 CFR 85.44 TERMINATION FOR CONVENIENCE '
Except as provided in § 85.43 awards .may be terminated in whole or in part
only as follows:
(a) By the awarding agency with the consent of the grantee or subgrantee in
which case the two parties shall agree upon the termination conditions,
including the effective date and in the case of partial termination, the
portion to be terminated, or
(b) By the grantee or subgrantee upon written notification to the awarding
agency, setting forth the reasons for such termination, the effective
date, and in the case of partial termination, the portion to be
terminated. However, if, in the case of a partial termination, the
awarding agency determines that the remaining portion of the award will
not accomplish the purposes for which the award was made, the awarding
agency may terminate the award in its entirety under either § 85.43 or
paragraph (a) of this section.
9124u
•
C-25A' CITY OF OMAHA •
LEGISLATIVE CHAMBER
Omaha,Nebr June 6, 2000
RESOLVED BY THE CITY COUNCIL OF THE CITY OF OMAHA:
WHEREAS, the City of Omaha has been awarded grant funding of$2,000,000 under the
U. S. Department of Housing and Urban Development "Lead-Based Paint Hazard Control
Program", for a 36-month period effective January 1, 2000; and,
WHEREAS, the grant proposal included $100,000 cash match from the City of Omaha
and $125,000 in-kind match from Douglas County; and,
WHEREAS, on December 14, 1999, by Resolution No. 3248, the Omaha City Council
accepted and authorized the Mayor to execute the U. S. Department of Housing and Urban
Development Lead-Based Paint Hazard Control Program Grant Award Document: NELHB0142-
99 and further specified that the City match of$100,000 shall be paid from contingent Liability
Reserve Fund 104; and,
WHEREAS, the grant has been amended to include a total of $230,145 in-kind match
from Douglas County; and,
WHEREAS, City of Omaha Planning Department prepared the successful Lead-based
Paint Hazard Control Grant proposal in cooperation with the Douglas County Health
Department, proposing a cooperative arrangement for implementing the Lead-based Paint
Hazard Control Program; and,
WHEREAS, this partnership will bring together the housing expertise of the City of
Omaha Planning Department and the public health expertise of the Douglas County Health
Department to address the problem of childhood lead poisoning in Omaha; and,
WHEREAS, in order to formally establish the cooperative arrangement between the City
of Omaha Planning Department and the Douglas County Health Department for the purpose of
implementing the Lead-based Paint Hazard Control Program.
NOW, THEREFORE BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF
OMAHA:
•
By
Councilmember
Adopted
City Clerk
Approved
Mayor
• i
C-25A CITY OF OMAHA
LEGISLATIVE CHAMBER •
Omaha,Nebr June 6, 2000 `
4
PAGE 2
4r
THAT, the attached Inter-Local Agreement, as recommended by the Mayor, between the
City of Omaha and Douglas County, to provide Lead-based Paint Hazard Control Program
Funding in the amount of$610,580 for the purpose of controlling lead-based paint hazards for
low income households, is hereby approved. Funds in the amount of $610,580 shall be paid
from the Lead-Based Paint Hazard Control Program Fund No. 149, Agency 200, Organization
No. 4000.
APPROVED AS TO FORM:
2/1—e/Lt. .1)7( IE7/A0
A-SS i CITY ATTORNEY DATE
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