U.S. Department of HUD Amendment to Lead Hazard Control Grant Award Copyrighted
March 18, 2019
City of Dubuque Consent Items # 7.
ITEM TITLE: U.S. Departmentof Housing and Urban Development
(HUD)Amendmentto Lead Hazard Control GrantAward
SUMMARY: City Manager recommending approval of the Departmentof
Housing and Urban Development(HUD) Lead Hazard
Control Grant Assistance Award/Amendment for Lead
Hazard Control and Healthy Homes interventions to be
completed in 120 units by September 2022.
SUGGESTED DISPOSITION: Suggested Disposition: Receiveand File;Approve
ATTACHMENTS:
Description Type
HUD Lead Hazard Control GrantAmendment City Manager Memo
Acceptance-MVM Memo
Staff Memo Staff Memo
HUD Award Acceptance Document Supporting Documentation
Terms & Conditions of Grant Supporting Documentation
Verification of Admin Auth official sign Dubuque Supporting Documentation
THE CITY OF Dubuque
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TO: The Honorable Mayor and City Council Members
FROM: Michael C. Van Milligen, City Manager
SUBJECT: HUD Lead Hazard Control Grant Amendment Acceptance
HUD Grant #IALHB0667-18
DATE: March 12, 2019
Housing and Community Development Director Alexis Steger recommends City Council
approval of the Department of Housing and Urban Development (HUD) Lead Hazard
Control Grant Assistance Award/Amendment in the amount of$3,580,968 for Lead
Hazard Control and Healthy Homes interventions to be completed in 120 units by
September 2022. The grant also includes $561 ,000 in funding to address additional
health hazards such as repairs to electrical systems, plumbing, trip and fall hazards,
excess cold, security risks related to window and door locks, amongst many others.
I concur with the recommendation and respectfully request Mayor and City Council
approval.
�� �� ���
Mic ael C. Van Milligen �� �
MCVM:jh
Attachment
cc: Crenna Brumwell, City Attorney
Teri Goodmann, Assistant City Manager
Cori Burbach, Assistant City Manager
oubuque Housing &Community Development
THE CITY OF
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DV B E `I��I� � Dubuque, IA 52001
Office (563) 589-4230
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To: Michael Van Milligen, City Manager
From: Alexis Steger, Housing & Community Development Department
Subject: HUD Lead Hazard Control Grant Amendment Acceptance, HUD Grant # IALHB0667-18
Date: March 10, 2019
INTRODUCTION
The purpose of this memorandum is to provide information for the City Council to review, sign and
accept the Department of Housing & Urban Development (HUD) Lead Hazard Control Grant #
IALHB0667-18 Assistance Award/Amendment as part of the grant start-up process.
BACKGROUND
In December 2018, the City of Dubuque was awarded $3,580,968 by HUD for Lead Hazard Control
and Healthy Homes interventions to be completed in 120 units by September 2022. The City and
related partners have contributed $648,454 in match funds to deliver programming.
This grant marks the sixth successful Lead Hazard Control related grant funding that has been
awarded to the City of Dubuque since 1997. Approximately 1280 units have been made lead safe
since the program's inception.
The program's mission is to continue to reduce lead paint hazards in qualified income eligible units
across the City of Dubuque. The grant also includes $581,000 in funding to address additional health
hazards such as repairs to electrical systems, plumbing, trip and fall hazards, excess cold, security
risk related to window and door locks amongst many others.
DISCUSSION
As part of the current grant negotiation period the attached document outlining the award amounts
and period of performance needs to be accepted and signed by the Authorizing Official. Additionally,
the Terms and Conditions of the grant are attached from HUD's Office of Lead Hazard Control and
Healthy Homes. To insure the full award contract can be delivered and programming in place by April
1, 2019, the HUD Grant Officer staff has requested signature of the document and return of (3) copies
by March 25, 2019.
Service People Integrily Respovsibilily Innovation Teamwork
Additional budget and work plan documentation has been completed by City staff and provided for
start-up of the grant. Period of performance to be 42 months from April 1 , 2019 through September
30, 2022.
BUDGETIMPACT
The detailed contract amounts for the grant are as follows:
Grant Funded bv HUD:
Lead Hazard Control and Program Delivery: $2,999,968.00
Healthy Homes Supplement: $581 ,000.00
Total HUD Award: $3,580,968.00
City & Partner Match Funds $648,454.00
$4,229,422.00
RECOMMENDATION
I respectfully request that the Authorizing Official, honorable Mayor Roy Buol, sign (3) copies of the
attached amendment and copies are returned to the Housing & Community Development office to be
processed with HUD to complete this portion of the grant start-up phase.
Prepared by Sharon Gaul, Grants Project Manager
Cc:
Jenny Larson, Budget & Finance Director-City
Service People Ivtegrity Respov96ilily Innovafiov Teamwock
Assistance Award/Amendment
U.S. Department of Housing and
Urban Development
Office of Administration
1. Assistance Instrument
❑ Cooperative Agreement
2. Type of Action
Grant
❑ Award Amendment
3. Instrument Number
4. Amendment Number
5. Effective Date of this Action
6. Control Number
IALHB0667-18
1
See Block #20
7. Name and Address of Recipient
8. HUD Administering Office
HUD, Office of Lead Hazard Control and Healthy Homes
City of Dubuque
451 Seventh Street, SW
350 West 6th Street, Suite 312
Room 8236
Dubuque, Iowa 52001-4648
Washington, DC 20410
8a. Name of Administrator
8b. Telephone Number
Markquonda Mathis
202-402-5120
10. Recipient Project Manager
9. HUD Government Technical Representative
Alexis Steger: asteger@cityofdubuque.org, 563-589-4230
Yolanda Brown, (202) 402-7595
11. Assistance Arrangement
12. Payment Method
13. HUD Payment Office
4 Cost Reimbursement
❑ Treasury Check Reimbursement
U.S. Dept. of HUD
❑ Cost Sharing
❑ Advance Check
CFO Accounting Center, 6AF
❑ Fixed Price
/1 Automated Clearinghouse
801 Cherry St., Unit #45 Ste. 2500
Fort Worth, TX 76102
14. Assistance Amount
15. HUD Accounting and Appropriation Data
Previous HUD Amount Lead $2,999,968.00
15b. Reservation number
8618/190174 18LRLH/LRLHR $2,999,968.00
1111 $581,000.00
8618/19017418LRHH/LRHHI $581,000.00
HUD Amount this action $0.00
LHC18-8
Total HUD Amount $3,580,968.00
Amount Previously Obligated Lead $2,999,968.00
1111 $581,000.00
Recipient Amount $648,454.00
Obligation by this action $0.00
Total Instrument Amount $4,229,422.00
Total Obligation $3,580,968.00
16. Descrlphon
Employer Identification: 42-6004596
DUNS:0931053020000
Program: LBPHC
This instrument sets forth the agreement between the parties as to all terms and conditions and provisions herein. By signing this award document, the Grantee
certifies that it is in compliance with all administrative and financial provisions of this award. This grant instrument consists of the following, some of which are
incorporated by reference:
1. Cover Page, HUD 1044
2. Schedule of Articles / FY 2018 Terms and Conditions
3. Lead Hazard Control Program Policy Guidance Issuances, "PGI -2015-01- Clarification of Costs for LHRD and LBPHC Grant Programs"
4. New Grantee Orientation
5. Program Manager School
6. TITLE 2: GRANTS AND AGREEMENTS - PART 200 -UNIFORM ADMINISTRATIVE REQUIREMENTS COST PRINCIPLES, AND
AUDIT REQUIREMENTS FOR FEDERAL AWARDS http://www.ecfr.Qov/ccri-bin/text-idx?node=2:1.1.2.2.1
7. Notice of Grant Opportunity announced in GRANTS.GOV (FR -6200-N-12) POSTED DATE: 08/10/2018
Period of Performance: 42 months - April 1, 2019 thru September 30, 2022
ALL OTHER TERMS AND CONDITIONS OF THIS GRANT REMAIN UNCHANGED
17. 4cipient is required to sign and return three (3) copies
o/this docut»ent to the HUD Administering Office
19. Ret nt (Pj°Na
Signature& Title
18. ❑ Recipient is not required to sign this document.
Mayor 3/18/19
Date (rnm/dd/yyyy)
20. HUD (By Name)
Katina Jordan, Grant Officer
Signature & Title
Date (mrn/dd/yyyy)
form HUD -1044 (8/90)
ref. Handbook 2210.17
U.S. Department of Housing and Urban Development
Office of Lead Hazard Control and Healthy Homes
Lead-Based Paint Hazard Reduction
Terms and Conditions
FY 2018 Grants
TABLE OF CONTENTS
PREFACE
GENERAL
A. Overview of Award Implementation
B. Definitions
C. Changes to Reporting—Transparency Act Reporting
D. English Language
E. Conflict of Interest
F. Determining Subrecipient or Contractor Classification
G. Procurement Standards
H. Treating Zero-Bedroom Pre-1978 Units with a Child under Age 6 under Lead Hazard Control Grant
(New)
PROGRAM REQUIREMENTS
1. Administrative Costs
2. Administrative Requirements
3. Advance Payment by Treasury Check ar Electronic Funds Transfer
4. Allowable Costs
5. Amendments
6. Amount of Cost Share(Estimated Cost and Payment—Matching)
7. Budget
8. Certifications and Assurances
9. Changes to Award Agreement
10. Closeout
11. Conduct of Wark
12. Collection of Data
13. Contact Information Updates
14. Copyrights
15. Direct Costs
16. Disputes
17. Estimated Cost and Payment—Line of Credit Control System(LOCCS)
18. Equipment
19. Flow Down Provisions
20. Grantee Lead Certification Program Requirement
21. Single Audit Reparting Requirements
22. HLJD's Right to Audit and Disallow Cost and Recover Funds
23. Incurrence of Costs
24. Indirect(F&A) Cost Rate
25. Inspection and Acceptance
26. Key Personnel
27. Liability Insurance
28. Limitation of Consultant Payments
29. Limitation on Payments to Influence Certain Federal Transactions
30. Lobbying Activities Prohibition
31. Grant Deliverables (If Applicable)
32. Order of Precedence
33. Patent Rights (Small Business Firms and Nonprofit Organizations)
34. Period of Performance and Extensions
35. Pre-award Costs
36. Profit/Fee
37. Program Income
38. ProjectManagement System
39. Publications and News Releases
40. Release of Funds and Environxnental Certification
41. Review of Deliverables
42. Sanctions
43. Scope of Services
44. Special Conditions
45. Suspension and Terxnination(For Cause)
ATTACHMENT
List of Actions Due
PREFACE
The Office of Management and Budget(OMB)has published final guidance, 2 CFR Part 200,Uniform
Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards. The
OMB-issued uniforxn guidance supersedes, consolidates, and streamlines requirements from eight
OMB Circulars: A-21 (Cost Principles for Educational Instibxtions), A-87(Cost Principles for State,
Local and Indian Tribal Governments), A-89(Catalog of Federal Domestic Assistance), A-102(Grants
and Cooperative Agreements With State and Local Governments), A-110 (Uniforxn Administrative
Requirements for Grants and Other Agreements with Instibxtions of Higher Education,Hospitals and
Other Non-Profit Organizations), A-122(Cost Principles for Non-Profit Organizations), and A-133
(Audits of States,Local Governments, and Non-Profit Organizations), and the guidance in OMB
Circular A-50 (Audit Follow-up) on Single Audit Act follow-up.
2
GRANT
GENERAL
The Grant(also referred to as an award document) consists of the forxn IILJD-1044, including any special
conditions, and these Grant Provisions. The Grantee must comply with the requirements and conditions
established in the Grant
A. Overview of Award Implementation
This instrument reflects the acceptance of the proposed budget,key personnel and partners, and basic
conditions of the ApplicanYs awarded general proposal, or any subsequent revision, submitted in
response to the Notice of Funding Availability(NOFA)far the Department of Housing and Urban
Development, Office of Lead Hazard Control and Healthy Homes Grant Programs for the NOFA
indicated on the form IILJD-1044 cover page. A final budget,warkplan and benchxnarks will be
developed, accepted and incorporated with the forxn IILJD 1044 within 60 days of the award notice. As a
condition of accepting the grant award,the Grantee and sub-recipients, as applicable, agree to the
following:
The Grantee must complete and submit a final negotiated wark plan, with deliverables/outcomes
measures,prioritization plan, targeted areas of program implementation and policy and procedures for
how the grant will be administered in the community. (summarized in the healthy homes grant
management system(�II3GMS))within 60 calendar days of the effective date of the award(form IILJD-
1044). These revisions shall update the generaUbasic plan submitted with the proposal and include any
negotiated changes to the wark plan benchxnarks and budget. If identified issues are not addressed
satisfactorily,the Grantee's grant may be terxninated based on failure to successfully conclude
negotiations ar to provide IILJD with requested information, in accordance with the General Section of
the NOFA for which the Grantee applied. A Grantee whose wark plan includes conducting activities that
physically alter the dwelling or its property, such as lead hazard control or other healthy homes
interventions,will not be allowed to draw down funds priar to the completion of a satisfactory
environmental review by the appropriate HLJD Environxnental Officer and its receipt of an approved
Request for Release of Funds and Certification, as prescribed within this agreement. See OLHCHH
Policy Guidance 2008-03 for further details.
B.Definitions'
"Allocable Costs" as defined in 2 CFR §200.405, costs that are allocable to a particular cost
objective if the goods or services involved are chargeable or assignable to such cost objective in
accordance with relative benefits received. This standard is met if the cost: (1)is incurred
specifically far the Federal award; (2)benefits both the Federal award and other wark of the Grantee
and can be distributed in propartions that may be approximated using reasonable methods; and(3) is
'In accordance with 2 CFR Part 200 and the HUD Guidelines far the Evaluation and Control of Lead-
Based Paint Hazards in Housing, and applicable Notices of Funding Availability.
3
necessary to the overall operation of the Grantee and is assignable in part to the Federal award in
accordance with the principles in 2 CFR Part 200, subpart E—Cost Principles. All activities that benefit
from the Grantee's indirect costs, including unallowable activities and services donated to the Grantee by
third parties,will receive an appropriate allocation of indirect costs. Any cost allocable to a Federal
award or cost objective may not be charged to other Federal awards to overcome fund deficiencies,to
avoid restrictions imposed by law or terms of the Federal awards, or for other reasons.
"Approving Official" is a Line of Credit Control System (LOCCS) administrator who manages "users"
in LOCCS. Responsibilities include re-certifying the LOCCS user still requires access to LOCCS every 6
months. A
LOCCS User is associated with an Approving Official on the HUD-27054 LOCCS Access Authorization
form.
Approving Officials will also use eLOCCS to re-certify their staff every 6 months, therefore Approving
Officials will also need to register for an "M" ID in Secure Systems.
https://www.hud.�ov/sites/documents/ELOCCS REGISTRATION GUIDE.PDF
"Authorized Representative or OfficiaP'means the Authorizing Official (AO) is the official at the
operational level who has the responsibility far the full measure of the mission and the authority to
obligate funds to support the grant from the primary recipient.
• Assistance Award/Amendment--IILJD 1044(Grant)—Authorized Representative(our OfFice
also uses the term Authorized Official). The IILJD 1044 is also used for changes in key
personnel, etc., and primary contacUrecipient of the quarterly assessment repart). 21. Authorized
Representative: To be signed and dated by the authorized representative of the applicant
organization. Enter the first and last name(Required);prefix,middle name, suffix. Enter title,
telephone number, email(Required); and fax number. A copy of the governing body's
authorization for you to sign this application as the official representative must be on file in the
applicanPs office. (Certain federal agencies may require that this authorization be submitted as
part of the application.) -Form SF 424, Application for Federal Assistance
Environmental Review -"Certifying Officer"means under the terxns of the certification required
by §58.71, a responsible entity's certifying officer is the`Yesponsible Federal official"as that
term is used in section 102 of the National Environxnental Policy Act(1VEPA) and in statutory
provisions cited in §581(b). The Certifying Officer is therefore responsible for all the
requirements of section 102 of NEPA and the related provisions in 40 CFR parts 1500 through
1508, and 24 CFR part 58, including the related Federal authorities listed in §58.5. The Certifying
Officer must also:
(a)Represent the responsible entity and be subject to the jurisdiction of the Federal courts. The
Certifying Officer will not be represented by the Department of Justice in court; and
4
(b)Ensure that the responsible entity reviews and comments on all environxnental impact
statements prepared for Federal projects that may have an impact on the recipient's program.
"Bureau of Indian Affairs" is a bureau of the U.S. Department of the Interiar that provides services
(directly ar through contracts, grants, or compacts)to American Indians and Alaska Natives, and is
responsible far the administration and management of certain surface acres and subsurface minerals
estates held in trust by the U.S. for American Indian, Indian tribes, and Alaska Natives.
"Commercial and Government Entity(CAG� Code"is a unique identifier assigned to suppliers to
various government, as well as to Federal Agencies and various organizations. CAGE codes provide a
standardized method of identifying a given facility at a specific location.
"Contract" as defined in 2 CFR §200.22 means a legal instrument by which a non-Federal entity
purchases property or services needed to carry out the project or program under a Federal award.
"Contractor" means an entity that receives a contract as defined in 2 CFR §200.22 Contract
"Direct Costs" as define in 2 CFR §200.413 are those costs that can be identified specifically with a
particular final cost objective, such as a Federal award, or other internally or externally funded activity, or
that can be directly assigned to such activities relatively easily with a high degree of accuracy. Typical
direct costs chargeable to Federal awards are: Compensation of employees far the time devoted and
identified specifically to the performance of those awards, Cost of materials acquired, consumed, or
expended specifically far the purpose of those awards,Equipment and other approved capital
expenditures; and travel expenses incurred specifically to carry out the award. Any direct cost of a minor
amount may be treated as an indirect cost for reasons of practicality where such accounting treatment for
that item of cost is consistently applied to all cost objectives. A cost may not be assigned to a Federal
award as a direct cost if any other cost incurred for the same purpose in like circumstances has been
allocated to the Federal award as an indirect cost. Refer to the Notice of Fundina Availabilitv(NOFA)
for specific information reaardina what constitutes Direct Costs for vou and anv applicable
proarammatic reauirements vou must adhere to.
"Disallowable Costs" means those charges to an award that IILJD deterxnines to be unallowable, in
accordance with the applicable Federal cost principles or other terxns and conditions contained in the
award.
"General Purpose EquipmenY' as defined 2 CFR §200.48 means equipment which is not limited to
research,medical, scientific or other technical activities. Examples include office equipment and
furnishings,modular offices, telephone networks, inforxnation technology equipment and systems, air
conditioning equipment, reproduction and printing equipment, and motor vehicles.
"Government Technical Representative"(GTR)means the IILJD Official who is responsible far 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.
5
"Grant Award" or"Federal Award" means the award document consisting of the IILJD-1044,
including any special conditions.
"Grantee" or"RecipienY' as defined in 2 CFR §200.86,means non-Federal entity that expends Federal
awards received directly from a Federal awarding agency to carry out an activity under a Federal
program.
"Grant Officer"means the official authorized by IILJD to execute and/or administer this grant
"Guidelines"refers to the defmitions, standards and inforxnation contained in the latest edition of the
"Guidelines far the Evaluation and Control of Lead-Based Paint in Housing."The Guidelines are
incorporated by reference into the grant.
"HIIGMS"means Healthy Homes Grant Management System. The OLHCHH online data management
system that allows processing administrative,technical actions, and quarterly reparting among the
Grantee, Governxnent Technical Representative, and Grant Officer.
"HUD"means Department of Housing and Urban Development.
"Indian Health Service"is an agency within the U.A. Department of Health and Human Services that is
responsible for providing federal health services to American Indians and Alaska Natives, is the principal
federal health care provider and health advocate for Indian people and provides a comprehensive health
service delivery system for American Indians and Alaska Natives.
"Indirect(Facilities&Administrative(F&A) Costs" as defined in 2 CFR §200.56 means those costs
incurred for a common or joint purpose benefitting more than one cost objective, and not readily
assignable to the cost objectives specifically benefitted, without effort disproportionate to the results
achieved. To facilitate equitable distribution of indirect expenses to the cost objectives served, it may be
necessary to establish several pools of indirect(F&A)costs. Indirect(F&A) cost pools must be
distributed to benefitted cost objectives on bases that will produce an equitable result in consideration of
relative benefits derived.
The term applies to costs of this type originating in the Grantee's organizational unit, as well as those
incurred by other organizational units or other entities in supplying goods, services, and facilities. To
facilitate equitable distribution of indirect expenses to the cost objectives served, it may be necessary to
establish several pools of indirect costs within a Grantee's organizational unit or in other agencies
providing services to a Grantee's organizational unit. Indirect cost pools should be distributed to
benefitted cost objectives on bases that will produce an equitable result in consideration of relative
benefits derived.
"Modified Total Direct Cost(MTDC)"as defined in 2 CFR §200.68 means all direct salaries and
wages, applicable fringe benefits,materials and supplies, services,travel, and up to the first$25,000 of
each subaward(regardless of the period of perforxnance of the subawards under the award). MTDC
excludes equipment, capital expenditures, charges for patient care,rental costs,tuition remission,
scholarships and fellowships, participant support costs and the portion of each subaward more than
$25,000. Other items may only be excluded when necessary to avoid a serious inequity in the distribution
of indirect costs, and with the approval of the cognizant agency for indirect costs.
"Must"or"Sha1P'means a mandatory requirement of the Terms and Conditions in association with the
forxn IILJD-1044 for the grant.
6
"NOFA"means the Notice of Funding Availability that announced the availability of funding far this
award.
"Non-Federal Entity" as define in 2 CFR §200.69 means a state, local government, Indian
Tribe, Institution of Higher Education (IHE), or Nonprofit Organization that carries out a Federal
award as a Recipient or Subrecipient.
"OLHCHH"means the IILJD Office of Lead Hazard Control and Healthy Homes.
"Partner or Partnership" is identified as a Subgrantee or Contractor that has an arrangement in which
skills, services, or resources are shared in accordance with the partnership agreement to meet the goals of
the grant.
"Pass-Through Entity" as defined in 2 CFR §200.74,means a non-Federal entity that provides a
subaward to a subrecipient to carry out part of a Federal program.
"Prohibited Awarding" is defined as contracts or subrecipient agreements not approved in writing by
the Grant SpecialisUGrant Officer when cost or funds exceed $3,500.00.
"Publication"includes: (a) any document containing inforxnation for public consumption; ar(b)the act
of, or any act which may result in, disclosing inforxnation to the public.
"Research" as defined in 2 CFR §200.87, means a systematic sbxdy directed toward fuller scientific
knowledge or understanding of the subject sbxdied. "DevelopmenY'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.
"Should" means the best practices or recommended approach of the Terms and Conditions in association
with the forxn IILJD-1044 far the grant
"Subaward" as defined in 2 CFR 200.92,means an award provided by a pass-through entity to a
subrecipient far the subrecipient to carry out part of a Federal award received by the pass-through entity.
It does not include payments to a contractor or payments to an individual that is a beneficiary of a Federal
program. A subaward may be provided through any forxn of legal agreement, including an agreement that
the pass-through entity considers a contract
"SubrecipienY' or"Subgrantee" as defined in 2 CFR §200.23 means an entity that receives a contract
A"contracY'is defined in 2 CFR §200.22 as a legal instrument by which a non-Federal entity purchases
property or services needed to carry out the project or program under a Federal award. The term as used
in 2 CFR Part 200 and in these Terms &Conditions does not include a legal instrument, even if the non-
Federal entity considers it a contract, when the substance of the transaction meets the definition of a
Federal award or subaward(see §200.92 Subaward).
"Tribally designated housing entity" (`°PDHE'�has the meaning as defined in section 4 of the Native
American Housing Assistance and Self-Determination Act of 1996 (25 U.S.C. § 4101 et seq.)
(NAHASDA), specifically, at 24 U.S.C. § 4103(22).
7
"Tribal Housing"means housing owned by a person who is an"Indian,"as that terxn is defined by HLJD
in its definitions for its regulations on loan guarantees for Indian housing(24 CFR 1005.103),namely,
any person recognized as being Indian or Alaska Native by an Indian tribe, the Federal Government, or
any State, and which includes the terxn"1Vative American".
C. Chanaes to Reportina- Transparencv Act Reportina
1. Recipient Reporting to Meet the Requirements of the Federal Financial Assistance Accountability
and Transparency Act of 2006 (FFATA), as amended.
a. Recipient Reporting. Recipients and other prime awardees of IILJD financial assistance
are required to report sub-awards in the Federal Subaward Reporting System(FSRS)
website: https://www.fsrs.aov or its successor system. Prime financial assistance
awardees receiving funds directly from IILJD are required to report subawards and
executive compensation information both far the award and subawards,where both the
initial award is $25,000 or greater or the cumulative award will be $25,000 or greater if
funding incrementally as directed by IILJD in accordance with OMB guidance. The
reporting of award and subaward information is in accordance with the requirements of
the FFATA, as amended by section 6202 of Public Law 110-252, and OMB Guidance
issued to the Federal agencies on September 14, 2010 (75 FR 55669) and in OMB Policy
guidance. The prime awardee will have until the end of the month plus one additional
month after a subaward is obligated to fulfill the reparting requirement The FFATA
requires the creation of a public government wide website in which the following
subaward data will be displayed:
• Name of entity receiving award;
• Amount of award;
• Funding agency;
• Narth American Industry Classification System(NAICS) code for contracts, or
Catalog of Federal Domestic Assistance(CFDA)program for financial
assistance awards;
• Program source;
• Award title descriptive of the purpose of the funding action;
• Location of the entity(including Congressional district);
• Place of Performance(including Congressional district);
• Unique Entity Identifier(s)of the entity and its parent; and
• Total compensation and names of top five executives.
Far the purposes of reporting into the FFATA Sub-Award Reporting System(FSRS)
reparting site, the unique ENTITY identifier is the identifier used by DiJN and Bradstreet
Universal Numbering System(DiJNS)number the entity has obtained from Dun and
Bradstreet, and for Prime Awardees the DiJNS number registered in the Central
Contractor Registration as required by IILJD regulation 24 CFR 5.1004.
The Grantee shall submit the Federal Financial Report(FFR) (Standard Form 425)for
each project or program annually. A final FFR shall be required at the completion of the
award agreement and shall use the end date of the project or grant period as the reporting
end date.
8
HLJD requires recipients to submit the FFR no later than 90 calendar days after the end of
each specified reporting period for annual reports. Final reports shall be submitted no
later than 90 days after the project or grant period end date. Extensions of reporting due
dates may be approved by HLJD upon request of the recipient.
b. Prime Awardee Executive Compensation Reporting. Recipients and Other Prime
Awardees must also repart in the government wide website the total compensation and
names of the top five executives in the prime awardee organization if:
• More than 80%of the annual gross revenues are from the Federal Government,
and those revenues are greater than $25 million annually; and
• Compensation inforxnation is not readily available through reporting to the
Securities and Exchange Commission(SEC).
a Sub-award Executive Compensation Reporting. Recipients and other Prime Awardees
must also repart in the governxnent wide website the total compensation and names of
the organization if:
• More than 80%of the annual gross revenues are from the Federal governxnent,
and those revenues are greater than $25 million annually; and
• Compensation inforxnation is not readily available through reporting to the
Securities Exchange Commission(SEC.)
d. The FFATA Reporting Exemptions. The FFATA exempts any sub-awards less than
$25,000 made to individuals and any sub-wards less than $25,000 made to an entity
whose annual expenditures are less than$300,000. Subawards with a cumulative total of
$25,000 or greater are subject to subaward reporting beginning the date the subaward total
award amount reaches $25,000. Any other exemptions to the requirements must be
approved by the Office of Management and Budget. If vou have anv aroblems or issues
reaardina FFATA, please notifv the Grants Manaaement and Oversiaht Division
of HUD bv callina 202-708-066Z The ohone number mav also be reached bv
individuals who are deaf or hard of hearina, or who have soeech disabilities,
throuah the Federal Relav Service's teletvoe service at 800-877-8339.
Further, each recipient of federal funds with a cumulative value greater than$10 million and their
Grantee See the following websites below:
• FFATAInformation S,��
https://www.fsrs.aov/
• FFATA Sub-Award Reportine Svstem
httos://www.fsrs.aov/
• FSRS Awardee User Guide
httvs://www.fsrs.¢ov/documents/FSRS Awardee User Guide.pdf
• Grants.¢ov(Trainin¢Webinars)
http://www.ar ants.aov/web/ar antsAearn-ar ants/arant-reportin a.html
9
The term subaward used in the FSRS database covers both subgrantees and contractors under the Prime
Awardee(Grantee). The repart list will indicate the"source"of the report. Those reparts tired to a
Contract award will list"contracY'and those reparts tied to a grant award will list"granY'.
The federal funding reporting requirement(under FFATA) is that payments to subawards of federal
grants must be reparted when the payments total $25,000 or more. Subawards include,first, subgrants,
and, second, contracts by the grantee that carry out part of the grant purpose(as contrasted with providing
ordinary business materials or services). Contractors that do lead hazard control wark(such as outreach,
enrollment eligibility verification, inspections,risk assessments, interim controls, or abatement) are
carrying out the purpose of a lead hazard control grant If they are to be paid $25,000 or more,they must
be listed in the FFATA database system, called FSRS.
D. Enalish Lanauaae
The English language will be used in the 2018 Terxns and Conditions as defined in 2 CFR §200.111:
• All Federal financial assistance announcements and Federal award inforxnation must be in the
English language. Applications must be submitted in the English language and must be in the
terms of U.S. dollars. If the Federal awarding agency receives applications in another
currency,the Federal awarding agency will evaluate the application by converting the foreign
currency to United States currency using the date specified for receipt of the application.
Non-Federal entities may translate the Federal award and other documents into another language. In the
event of inconsistency between any terms and conditions of the Federal award and any translation into
another language,the English language meaning will control. Where a significant portion of the non-Federal
entity's employees who are working on the Federal award are not fluent in English,the non-Federal entity
must provide the Federal award in English and the language(s)with which employees are more familiar.
E. Conflict of Interest
"Conflict of Interest(CO�" as defined by 2 CFR §200.112, means the non-Federal entity must disclose
in writing any potential conflict of interest to the Federal awarding agency or pass-through entity in
accordance with applicable Federal awarding agency policy.
1. Code of Conduct for Procuring Property and Services. All Federal award
recipients, except states, and all subrecipients under Federal awards must have a code of
conduct(or written standards of conduct)for procurements that meets all requirements in
2 CFR 200.318(c). Before entering into an agreement with HUD, each applicant selected
for award (other than a state)must ensure an up-to-date copy of the organization's code
of conduct, dated and signed by the Executive Director, Chair, or equivalent official, of
the governing body of the organization, is available in Code of Conduct e-library.
Applicants can check the Code of Conduct List
(httns://portal.hud.�ov/hudportaUHUD?src=/proeram offices/administration/erants/cond
uct to confirm HUD has determined their Code of Conduct complies with 2 CFR
200.318(c).
10
HUD does not collect or review state codes of conduct for compliance with 2 CFR
200.318(c). Instead, each state must follow the same policies and procedures for
procurements under Federal awards that the state uses for procurements from its non-
Federal funds, as provided in 2 CFR 200.317.
2. Other Conflicts of Interest
In all cases not governed by 2 CFR 200.317 and 200.318(c), all recipients and
subrecipients must comply with the conflict of interest requirements in the applicable
program regulations. If there are no program-specific regulations far the award, the
following conflict of interest requirements apply in all cases not governed by 2 CFR
200.317 and 200.318(c):
i. General prohibirion. No person who is an employee, agent, consultant, officer,
or elected or appointed official of the recipient or subrecipient and who
exercises or has exercised any functions or responsibilities with respect to
assisted activities, or who is in a position to participate in a decision
making process or gain inside information with regard to such activities,
may obtain a financial interest or benefit from the activity, or have an
interest in any contract, subcontract, or agreement with respect thereto, or
the proceeds thereunder, either for himself or herself or far those with
whom he or she has immediate family or business ties, during his or her
tenure or for one year thereafter. Immediate family ties include (whether
by blood, marriage or adoption)the spouse, parent(including a
stepparent), child (including a stepchild), brother, sister(including a
stepbrother or stepsister), grandparent, grandchild, and in-laws of a
covered person.
ii.Exceprions. HUD may grant an exception to the general prohibition in
paragraph (i)upon the recipienYs written request and satisfaction of the
threshold requirements in paragraph (iii), if HUD determines the exception
will further the Federal purpose of the award and the effective and
efficient administration of the recipienYs program or project, taking into
account the cumulative effects of the factors in paragraph (iv).
iii. Threshold requirements for exceptions. HUD will consider an exception only
after the recipient has provided the following documentation:
a. A disclosure ofthe nature ofthe conflict, accompanied by an assurance
that there has been public disclosure of the conflict and a
description of how the public disclosure was made; and
b. An opinion of the recipient's attorney that the interest for which the
exception is sought would not violate State or local law.
iv. Factors to be considered for exceptions. In determining whether to grant a
requested exception after the recipient has satisfactorily met the threshold
requirements in paragraph (iii), HUD will consider the cumulative effect
of the following factors, where applicable:
a. Whether the exception would provide a significant cost benefit or an
essential degree of expertise to the program or project that would
otherwise not be available;
11
b. Whether an opporiunity was provided for open competitive bidding or
negotiation;
c. Whether the person affected is a member of a group or class of low- or
moderate-income persons intended to be the beneficiaries of the
assisted activity, and the exception will permit such person to
receive generally the same interests or benefits as are being made
available or provided to the group or class;
d. Whether the affected person has withdrawn from his or her functions or
responsibilities, ar the decision-making process with respect to the
specific assisted activity in question;
e. Whether the interest or benefit was present before the affected person
was in a position as described in paragraph (i);
£ Whether undue hardship will result either to the recipient ar the person
affected when weighed against the public interest served by
avoiding the prohibited conflict; and
g. Any other relevant considerations.
Recipients must disclose in writing any potential conflict of interest to HUD.
F. Determinina Subrecipient or Contractor Classification
"Determining Subrecipient or Contractor Classification" as defined by 2 CFR§200.330 means the
Non-Federal entity may concurrently receive Federal awards as a recipient, a subrecipient, and a
contractor, depending on the substance of its agreements with Federal awarding agencies and pass-
through entities. Therefore, a pass-through entity must make case-by-case deterxninations whether each
agreement it makes for the disbursement of Federal program funds casts the party receiving the funds in
the role of a subrecipient or a contractor. Please note that a non-federal entity partner to the prime
recipient cannot operate as both a contractor and a sub recipient on the same award. See OLHCHH's
Policy Guidance Number: 2017-02.
G. Prowrement Standards
"Procurement Standards"as defined by 2 CFR § 200.317 through § 200.326 means when procuring
property and services under a Federal award, a state must follow the same policies and procedures it uses
for procurements from its non-Federal funds. The state will comply with §200.322 Procurement of
recovered materials and ensure that every purchase order or other contract includes any clauses required
by section §200.326 Contract provisions. All other non-Federal entities, including subrecipients of a state,
will follow §§200.318 General procurement standards through 200.326 Contract provisions. See
OLHCHH's Policy Guidance Number: 2017-04.
12
H. Treatina Zero -Bedroom Pre-1978 Units with a Child under Aae 6 under Lead Hazard Control
Grant(New1
The new OLHCHH policy will expand the scope of target housing units that may be treated under
its Lead Hazard Control Grant Programs (Lead-Based Paint Hazard Control (LBPHC) and Lead
Hazard Reduction Demonstration (LHRD))to include 0-bedroom dwellings constructed priar to
1978 in which there is actual evidence of a child under age 6 resides or a pregnant woman residing.
The option of"make available to"for these rentals does not apply as zero bedroom units are not
intended for marketing to families with children under the age of 6. See Policy Guidance Number
2017-03.
PROGRAM REQUIREMENT (Articles)
1. Administrative Costs
LBPHC,LIIRD, and Other Grants Awarded under section 1011 of the Residential Lead Based Paint
Hazard Reduction Act of 1992(Title X of the Housing Community Development Act of 1992,Public
Law 102-550): Administrative costs may not exceed 10 percent of the federal lead grant award. Far the
purposes of grants awarded under section 1101 of the Residential Lead-Based Paint Hazard Reduction
Act of 1992, administrative costs are defined as overhead costs and costs of general management,
oversight, and coordination. Administrative costs include all allowable and allocable direct
administrative costs (costs far the general management, oversight, and coordination of the grant—i.e.
program administration and indirect(F&A cost(defined in 2 CFR §2005�). During negotiations,the
Grantee's Authorized Official and Fiscal OfFicer must certify administrative costs and complete the
Standard Form 425 Part 3 Financial Reparting Form(Administrative Cost Summary).
Notwithstanding any Administrative Cost limits provided in a stabxte,regulation, or in the
applicable NOFA, an indirect cost rate that is no greater than the approved rate negotiated with the
applicanYs federal cognizant agency shall be used.
2. AdministrativeRequirements
For all grantees, awards will be governed by 2 CFR Part 200 and these grant provisions.
3. Advance Pavment bv Treasury Check or Electronic Funds Transfer
Advance payments by the Treasury electronic funds transfer are authorized under this grant.
HUD may provide to the Grantee a one-time cash advance that shall not exceed 10 percent of the
grant amount, and shall be limited to the minimum amount needed for the actual, immediate cash
requirements ofthe Grantee in carrying outthe startup activities ofthis agreement and as agreed
to by the Grant Officer. In accordance with 2 CFR §200.305, "PaymenY', to the ea�tent available,
the non-Federal entity must disburse funds available from program income (including
repayments to a revolving fund), rebates, refunds, contract settlements, audit recoveries, and
interest earned on such funds before requesting additional cash payments. The non-Federal entity
must maintain advance payments of Federal awards in interest-bearing accounts, unless the
following apply: (i) The Non-Federal entity receives less than $120,000 in Federal awards per
year, (ii) The best reasonably available interest-bearing account would not be expected to earn
13
interest in excess of$500 per year on Federal cash balances; (iii) The depository would require
an average or minimum balance so high that it would not be feasible within the expected Federal
and non-Federal cash resources; or (iv) A foreign government or banking system prohibits or
precludes interest bearing accounts.
Should the Grantee demonstrate an unwillingness or inability to establish procedures that will
minimize the time elapsing between advances and disbursements or fail to provide any required
progress report in a timely manner,the authorization for advance one-time payment may be
revoked. The Grantee may then be required to finance the project with its own working capital,
and payment to the Grantee may be made by Treasury check or electronic funds transfer, at
HUD's discretion, to reimburse the Grantee for actual cash disbursements.
4. Allowable Costs
This is a cost reimbursement award. Except as described in Article 3, "Advance Payment by Treasury
Check or Electronic Funds Transfer,"the Grantee shall be reimbursed for costs incurred in the
performance of wark in an amount not to exceed the obligated amount shown on the form IILJD-1044,
Assistance Award/Amendment. In the event the Grantee incurs costs in excess of the prescribed amount,
the excess shall be borne entirely by the Grantee. HLJD shall reimburse the Grantee for costs incurred in
the perforxnance of this award which are deterxnined by the GTR/Grant Officer to be allowable,
allocable, and reasonable in accordance with applicable Federal cost principles as perxnitted by 2 CFR
Part 200.
5. Amendments
The Grant may be modified at any time by written amendment. Amendments that reflect the rights and
obligations of either party shall be executed by both IILJD (through the Grant Officer) and the Grantee.
Administrative amendments, such as changes in appropriation data,may be issued unilaterally by the
Grant Officer. See OLHCHH Policy Guidance 2013-03.
6. Amount of Cost Share
The estimated cost far the performance of this grant is the`°Potal Inshument Amount." See the form
HLJD-1044, Assistance Award/Amendment. The Grantee shall be reimbursed by IILJD for 100%of
allowable costs incurred in the performance of this grant. HUD shall not reimburse the Grantee in
excess of the"Total HUD AmounY' of the form HUD-1044. IILJD reserves the right to withhold three-
percent(3%) of the Federal award amount pending the receipt and approval of a Final Report(with
supporting documentation)prepared in accordance with the OLHCHH Policy Guidance 2012-OS and/or
GTR instructions far the specific OLHCHH program and any amendments.
The proposed match contribution to supplement IILJD funds is the"Recipient Amount."The Grantee
agrees to bear without reimbursement by IILJD the"Recipient AmounY'of the total costs. The Grantee is
not obligated to contribute more than the"Recipient Amount."However,the Grantee shall be solely
responsible for any costs in excess of the estimated cost of the`°Potal Instrument Amount."The Grantee
shall submit to the GTR as an attachxnent to the SF-425 (Federal Financial Report),verification of
eligible match sources and verifiable documentation(if applicable far the specific quarterly reporting
period)for eligible match activities to substantiate the match(recipient amount)reflected on each require
14
quarterly SF-425 submission and on the final SF-425. The Grantee shall also include the eligible match
on the Part 3 -Financial Reporting Form(Match Commitment Summary).
For verification of the eligible match source(s) and verification of match for eligible program activities,
the Grantee shall submit a letter on letterhead signed by the Authorized OfficiaL The letter shall
include the following:
• Name of match source;
• Amount of match;
• Type of match(cash or in-kind);
• Description and purpose of eligible program activities performed as a result of receipt of
the match;
• Documentation to substantiate the match from the matching organization/entity.
The match from the matching organization may include:
• Cash Contributions,verified by:
o General ledger entries;
o Expenditure reports;
o Invoices;
o Signed contracts/agreement;
o Timesheets;
o Activity Report, etc.
• In-Kind(Including third part contributions),verified by:
o Identification of donated equipment, supplies,volunteers' services, etc.;
o Fair Market Determination;
o Invoices;
o Timesheets and/or Activity Reports.
The Grantee must satisfy all statutory matching requirements in the NOFA. If the Grantee's actual
matching contribution is less than"Recipient AmounY'on the form IILJD-1044,the Government
reserves the right to negotiate new line items and/or amounts to satisfy the Grantee's match, ar to reduce
the Governxnent's share propartionally, ar to require the Grantee to reimburse the
Government from non-federal funds the amount of eligible match not met. The Grantee shall notify
the Governxnent at any time it believes it will not meet its match by the completion of the grant If the
Grantee has a request to reduce match,the Grantee shall provide a revised SF-424, a revised form
HLJD 424 CBW, and a revised budget narrative. In addition, a justification is required.
7. Budaet
The Grantee shall incur eligible costs in conformance with the original or negotiated budget, presented
with the proposal far this grant. The Grantee shall not commingle any funds computed under this grant
with any other existing or future operating accounts held by the Grantee.
SF 425 —Standard Forxn 425 Financial Status Report, detailing match or in-kind contributions, shall be
submitted on a quarterly basis to the GTR via the HHGMS reporting system by attaching the report to the
corresponding quarterly report as specified in Article 38,Project Management System. OLHCHH must
receive a signed document. A Final Report(along with a final Standard Form 425)is due no later than 90
days after the end of the period of perforxnance. See Article 6, Amount of Cost Share,regarding the
15
holdback of 3%of the Federal amount pending the receipt and approval of the Final Report. The Final
Report should detail 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(Federal, leverage and in-kind statutory percent match amounts).
Failure to submit a Final Report within 90-days from the end of the grant period of performance may
result in the grant being administratively closed and all outstanding funds recaptured by IILJD ar the
Treasury. For guidance on how to complete the Grantee's Final Report, see OLHCHH Policv Guidance
2012-05.
8. Certifications and Assurances
The certifications and assurances submitted in the Grantee's application are incorporated into this award
document. They include, but are not limited to:
a. Standard Forxn 424(SF-424), Application for Federal Assistance
b. Certification and Disclosure Form Regarding Lobbying(SF-LLL)
c. Applicant/Recipient Disclosure Update Report(HLJD-2880)
d. Certification of Consistency with the Consolidated Plan(HLJD-2991)
9. Chanaes to Award Aareement
In accordance with 2 CFR Part 200 as applicable grantees/recipients and subgrantees must obtain the
prior approval of the awarding agency(see OLHCHH Policy Guidance 2013-03)whenever any
programmatic changes are anticipated to include the following:
a. Subrecipient or Contractor receiving funds greater than $10,000.00 classification must be
approved in writing by the Grant SpecialisUGrant Officer regarding their classification status;
b. Any equipment in excess of$5,000 must obtain prior approval in writing from the GTR or
Grant Specialist;
a Initial and any updated contact inforxnation must be provided within 30 days (See Article 13);
d. Any revision of the scope or objectives of the project(e.g., change in target area(s),
intervention methods, institutional review board approval to be obtained, interim or final
benchxnarks of numbers of environxnental reviews to be completed,housing units to be
treated, number of people to be trained, etc.)regardless of whether there is an associated
budget revision requiring prior approval);
e. Request to extend the period of performance/availability of funds;
£ Any Budget revisions by the GTR. In addition, budget revisions that are 10%or more of the
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. Changes in key personnel as specified in an
application or a grant award. In research projects, a change in the project director or principal
investigator always requires approval by the Grant Officer;
g. Contracting out, sub-granting(if authorized by law) or otherwise obtaining the third party
(e.g.vendors)to perforxn activities that are central to the purposes of the award;
h. International Travel—All international travel that is required to ensure the goals of the grant
MLJST have prior approval in writing from the assigned GTR with concurrence from the
Grant Officer before the travel takes place.
10. Closeout(See OLHCHH Policv Guidance 2012-0�
16
The Grantee shall provide the closeout documentation to the GTR within 90 days after the end of the
perforxnance period, consisting of the following elements:
a. Final Narrative Report
b. Final breakdown and justification of budget categories including direct costs,
administrative costs,match/cost share and indirect cost rate, if applicable;
c. Part 3 from the Healthy Homes Grants Management System(�II3GMS) on-line
quarterly reparting system;
d. Final Federal Financial Report(SF-425)
e. Final invoice for incurred expenses (All budget expenses reported in the SF-425,LOCCS and
placed HHGMS must match before the grant can be closed out); and
£ Final quarterly reporting into the Healthy Homes Grants Nlanagement System on-line quarterly
reporting system(only if additional housing units were completed and cleared during the close
out period).
g. Signed Statement by the authorizing official that the HHGMS award page reflects all fiscal
draws,balances,administrative burden and benchxnark counts that are claimed in the final report
submitted.
The Grantee shall submit a final Section 3 Report(HUD 60002)to its local HLJD Field Office at:
https://oortal.hud.Qov/hudoortaUHUD?src=/oroQram offices/fair housinQ equal 000/section3/section3/soears
HLJD will notify the Grantee in writing when the Grant is closed. The Grantee has three areas of
continuing responsibility after closeout of award:
a. Records and materials must be kept in a safe place and be accessible to IILJD, auditors and
other government officials for a period of at least 3 years from the end of the award's period of
perforxnance. This requirement also extends to all sub-grants/sub-wards and subcontracts the
Grantee has executed for over $10,000.
b. Accountability for property continues as long as the Grantee holds the property, or for the period
of time established by the award document.Disposal of property must be in accordance with 2
CFR§200.310-§200.316. See Article 37,Program income,regarding use of those funds.
c. Notification to the GTR and Grant Officer if at any time during the three-year period after the
period of performance, the Grantee organization is discontinued or changes location. The
GTR and Grant Officer shall be notified immediately of the new address ar the address of the
party retaining all records.
1L Conduct of Work
During the effective period of this grant,the Governxnent Technical Representative shall be responsible
for monitoring the technical effort of the Grantee. The Grantee must allow and fully cooperate with both
remote monitoring requests and on-site monitoring visits. Failure to comply with a request associated
with remote monitoring within a reasonable timeframe(As set by the GTR or Grant Officer)may result in
"High Risl�'designation, suspension, ar termination of grant. See Article 46, Suspension and
Termination (For Cause).
The Grantee or Subgrantee shall not engage in any unethical activities during the grant perforxnance
period. If HLJD makes a deterxnination that the Grantee or Subgrantee has engaged in unethical
activities,the Grantee or Subgrantee will be subject to"High Risl�'designation or suspension until such
17
time as the activities have ceased and assurance acceptable to HLJD is given that no further activities
will occur; in addition,IILJD may take enforcement action under 2 CFR §200.338.
Mandatory Disclosure Requirements: The Grantee and Subgrantee must disclose, in a timely manner
and in writing to IILJD, all violations of Federal criminal law involving fraud,bribery, or gratuity
violations potentially affecting the Federal award. Failure to make disclosures can result in any of the
remedies described in §200.338. Actions taken are subject to Article 46, Suspension and Termination
(For Cause).
12. Collection of Data
Collection of data from ten or more respondents and sponsored by HLJD shall be subject to the Paperwark
Reduction Act(44 U.S.C. 3501-3520). If a survey instrument for a collection of data sponsored by HLJD
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 priar to the use of the survey instrument. Also,the approval
time may considerably lengthen the time required for completion of the proposed project. The Grantee
shall give careful consideration to requiring the use of a survey or other inforxnation collection sponsored
by IILJD. The collection of data is deemed to be sponsored by IILJD only under the following conditions
(5 CFR 1320.3):
a. The Grantee is conducting the collection of information at the specific request of IILJD; or
b. The terms and conditions of the grant require specific approval by IILJD of the collection of
information or collection procedures. Note that if the Grantee decides on its own to collect
information and it does not need IILJD approval to do so, then IILJD is not the "sponsor"of
the information collection.
The Grantee shall cooperate fully with any research or evaluation sponsored by IILJD or another
governxnent agency associated with this grant program, including preservation of project data and records
and compiling requested information in formats provided by the researchers, evaluators or IILJD. This
also may include the compiling of certain relevant local demographic, dwelling unit, and participant data
not contemplated in the original proposal. Participant data shall be subject to the Privacy Rule of the
Health Insurance Portability and Accountability Act of 1996 (HIPAA). HIPAA and the Privacy Rule can
be found at http://www.hhs.aov/ocr/privacv/.
13. Contact Information Updates
The Grantee must inforxn the GTR within 30 days of any changes in contact inforxnation, including the
organization's name, address,telephone, e-mail, and key personnel or authorized official change.
The transferring of a grant to another entity/organization within the strucbxre of the Native American
Tribe, or Tribally Designated Housing Entity,requires notifying the GTR for involvement in the
transferring process. In addition,the Grantee must submit a request and receive a written approval
(HUD-1044) urior to the transfer from the Grant Specialist process through HHGMS. Failure to receive
a written approval may result in sanctions, suspension, ar termination of the grant. See Articles 43 and
46, Sanctions, Suspension and Termination (For Cause).
18
14. Copvriaht
HLJD reserves a royalty-free,nonexclusive, and irrevocable license to reproduce,publish, or otherwise
use, and to authorize others to use for Federal governxnent purposes: (a)the copyright in any wark
developed under this award, sub-award, or contract awarded under this grant; and(b) any rights of
copyright to which a Grantee or sub-Grantee or a contractor purchases ownership with award funds.
Section 508 of the Rehabilitation Act of 1973 requires all Federal electronic and information technology
to be accessible by people with disabilities. All Products of Wark that will be posted on HLJD's website
must meet IILJD's Web Publication Standards and Procedures at
http://www.hud.aovAi br arv/bookshelfl l/.
15. Direct Costs
"Direct Costs"as defined in 2 CFR §200.413 and in these terms and conditions, are those costs that can
be identified specifically with a particular final cost objective, such as a Federal award, or other internally
or externally funded activity, ar that can be directly assigned to such activities relatively easily with a
high degree of accuracy. Detailed explanations of direct costs are provided in 2 CFR Part 200, Subpart E
—Cost Principles.
Lead-Based Paint Hazard Control(LBPHC)grants,Lead Hazard Reduction Demonstration(LIIRD)
grants, and Healthy Homes Production(IIIIP) grants: OLHCHH Policy Guidance, "PGI-2015-01-
Clarification of Costs for LHRD and LBPHC Grant Programs"clarifies program costs, administrative
costs, direct cost, and indirect costs for LBPHC,LHRD, and IIIIP grants. Note that this policv euidance
does not applv to Lead Technical Studies erants or Healthv Home Technical Studies erants.
16. Disputes
During the perforxnance of the grant, disputes may arise between the Grantee and the GTR, or between
Grantee and the Grant Specialist If a dispute with the GTR arises,the Grantee may solicit the assistance
of the Grant Specialist in resolving the dispute, and/or may appeal the determination by the GTR to the
Grant Specialist
If a dispute with the Grant Specialist arises, or if the Grantee has appealed a decision by the GTR to the
Grant Specialist,the Grant Specialist shall prepare a fmal decision, considering all facts and
documentation presented. The decision shall be in writing to the Grantee.
If the Grantee disagrees with the final decision by the Grant Specialist,the Grantee may appeal the
decision to the Director, Grants Services Division, OLHCHH. If the Grantee wishes to submit a second
appeal,the Grantee may appeal to the Deputy Director, OLHCHH. If Grantee wishes to submit a third
appeal,the Grantee may appeal to the Director, OLHCHH for a final decision.
17. Estimated Cost and Pavment—Line of Credit Control Svstem (LOCCS)
The Grantee shall be reimbursed for allowable costs incurred in the performance of wark under this grant
in an amount not-to-exceed"Total HLJD AmounY'on the form IILJD-1044.
• Incurred costs shall be reimbursed through eLOCCS under the IILJD's Line of Credit Control System.
eLOCCS is accessed through the IILJD internet portal called Secure Systems and sometimes referred
to as the online systems. To use eLOCCS,you must Register as a`Business Partner"using this
website: httns://hudapps2.hud.eov/agps/nart ree/anns040.efm.
19
• The grantees must complete the HLJD-27054E LOCCS Access Authorization Form,which will
specify the Business Partner(s) and IILJD Programs you are authorized to access within eLOCCS. The
weblink is: httu://vortal.hud.¢ov/hudportal/documents/huddoc?id=27054E.pdf.
• The Grantees (all new or reinstated user who needs to access eLOCCS)will need to complete the
LOCCS HLJD-27054E forxn, have it notarized, and send the original HLJD-27054E LOCCS Access
Authorization Forxn(with the original signabxre and notary seal)via U.S. Mail to the OLHCHH
(Grant Officer)for review.
• The Grant Officer must review the forxn and validate that the grantee is the correct official accessing
the grant, and program area requests are accurate. The Grant Officer signs and dates the HUD-
27054E LOCCS Access Authorization Forxn acknowledging the review and authorization. The
Program Office must then send the original LOCCS Access Authorization Form(with the original
signabxre and notary seal)via U.S. Mail to the OCFO's Security office.
• To register as a"Coordinator or User"you will need a Secure System's User ID and use the Secure
Systems Registration weblink:
httv://vortal.hud.¢ov/hudportal/IILJD?src=/pro¢ram_offices/public_indian housin¢/reac/online
Before receiving funds from IILJD, the Grantee must designate a financial institution in order for IILJD to
make direct deposit payments through the ACH system. In the event that the Grantee, during the
performance of this grant, elects to designate a different financial institution far the receipt of any
payments, notification of such change and the related information must be received by the Grant Officer
at least 30 days priar to the date such change is to become effective.
The Grantee shall submit to the GTR the original documents (voucher)related to reimbursements
requested for wark performed. The voucher shall be supported by a detailed breakdown of the cost(s)
claimed. Grantees are to use the Part 3—Financial Reparting Form in accordance with OLHCHH Policy
Guidance PGI 2015-02, `I,ine of Credit Control System(eLOCCS)Reimbursement Procedures".
Note: Should you have any questions, please contact your Grant Officer.
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 HLJD by check. All
remittances shall be accomplished as follows:
The check should be made out to:
U.S. Department of Housing and Urban Development with the grant number on the check stub.
Express Mail to:
Department of Housing and Urban Development
451 7th Street SW,Room 8236
Washington, DC 20410-3000
Attn: Jeffrey Simpkins
The Grantee may retain up to $500.00 of interest earned per Grantee's fiscal year for administrative
expenses (2 CFR §200.305(b)(9)).
20
State universities and hospitals shall comply with the Cash Management Ixnprovement Act(CMIA,
http://www.fms.treas.aov/cmia/as itpertains to interest).
18. Equipment
The following equipment in excess of$5,000 is allowable, in accordance with the OLHCHH NOFA for
the applicable grant program,to be acquired for the performance of this grant:
• XRF Instruments, X-Ray Fluorescence(XRF)instruments purchased with Federal funds for use
in the OLHCHH Grant programs will remain the properly of the Grantee under the conditions
cited in 2 CFR §200.313, as applicable.
• Leased Vehicles; Leasing Motor Vehicles; must be used by the Grantee in the program or
project for which it was acquired for as long as needed and must not encumber the property
without prior approval of the OLHCHH in accordance with 2 CFR §200.313(c).
19. Flow Down Provisions
If the Grantee sub-awards funds under this agreement with an entity to perforxn wark under this award,
the Grantee shall include in the sub-award agreement these Terms and Conditions and any other
provisions as may be necessary to ensure that the sub-grantees or sub-recipients comply with the
requirement of the grant
In accordance with 2 CFR§200.328, "Monitoring and Reporting Program Perforxnance"Grantees are
responsible for oversight far the operations of the Federal award supported activities. Grantees must
monitor its activities under Federal awards to assure compliance with applicable Federal requirements and
performance expectations are being achieved. Monitoring by the Grantee must cover each program,
function or activity. See also 2 CFR§200.331—"Requirements for Pass-Through Entities".
20. Grantee Lead Certification Proaram Requirement
The Grantee and Subgrantee agrees that any funds under this grant used for lead-based paint hazard
evaluation or control activities shall be conducted by firxns and persons qualified far the activities
according to 24 CFR Part 35, subpart R(possessing, as applicable, certification valid far the State or
Tribal area in which the activity is conducted as abatement contractors,risk assessors, inspectors,
abatement warkers, or sampling technicians,), and that laboratories used for analysis of samples for lead
in paint, soil or dust shall be recognized by the U.S. Environxnental Protection Agency for the analysis of
those samples under EPA's National Lead Laboratory Accreditation Program.
2L Sinale Audit Reportina Requirements
In accordance with 2 CFR Part 200, Subpart F—Audit Requirements, a Single or Program Specific Audit
Report must be conducted each fiscal year for non-federal entities that exceeds $750,000 in federal grant
awards and submitted to the Federal Clearing House System as a requirement under the Single Audit Act
of 1984(amended in 1996). Grants may be placed on"High Risl�'designation, suspended, ar terminated
forfailingto submitthe Single AuditReport. SeeArticle 46, Suspension and Termination (For
Cause .
21
The website for the Single Audit Report submission is:
https://h arvester.census.aov/facweb/
22. HUD's Riaht to Audit and Disallow Cost and Recover Funds
The Governxnent reserves the right to recover and recapture any funds that were not expended in
accordance with the requirements; considered an ineligible program cost; or conditions of this
agreement based upon IILJD review,the final audit,monitoring site visit or any other special audits or
reviews undertaken. IILJD has the right to order a special audit, even if the Grantee's auditor or a
cognizant agency has already conducted one.
Access to Records of Grantees and Subgrantees -IILJD and the Comptroller General of the United
States, or any of their authorized representatives, shall have the riaht to access any books, documents,
papers, or other records of Grantees and Subgrantees that are pertinent to the grant, in order to conduct
audits, monitoring visits, examinations, excerpts, and transcript.
Later Disallowances and Adjustments -the closeout of a grant does not affect:
• IILJD's right to disallow costs and recover funds on the basis of a later audit or other review(2
CFR §200.344);
• The Grantee's obligation to return any funds due as a result of later refunds, corrections, or other
transactions including final indirect cost rate adjustment(2 CFR §200.344);
• Audit requirements in 2 CFR Part 200, Subpart D—Post Federal Award Requirements of this
part, §200.333-§200.337;
• Property management and disposition requirements in 2 CFR §200.310 — §200.316; and
• Audit requirements in CFR Part 200, Subpart F—Audit Requirements.
23. Inwrrence of Costs
The Grantee is allowed to incur costs for activities beginning on the effective date on the form IILJD-
1044. Any costs incurred before the date are not allowable unless specifically authorized in writing by the
Grant Officer with concurrence of the GTR.
24. Indirect(F&A) Cost Rate
If the Grantee has received a current federally negotiated indirect cost rate from its cognizant agency,
reimbursement will be made on the basis of the current federally negotiated indirect cost rate.
Any Grantee that has never received a negotiated indirect cost rate, except far those non-Federal entities
described in Appendix VII to Part 200�tates and Local Government and Indian Tribe Indirect Cost
Proposals,paragraph D.l.b,may elect to charge a de minims rate of 10%of Modified Total Direct Costs
(MTDC)* which may be used indefinitely. As described in 2 CFR §200.403 Factors affecting
allowability of costs, costs must be consistently charged as either indirect or direct costs,but may not be
double charged or inconsistently charged as both. If chosen,this methodology once elected must be used
consistently for all Federal awards until such time as a non-Federal entity chooses to negotiate for a rate,
which the non-Federal entity may apply to do at any time. [*See definition on page SJ
22
In Category 10,the Indirect Costs, on the IILJD-424-CB W,the Grantee shall enter the federally
negotiated indirect cost rate ar the de minims rate of 10%. Then the Grantee must apply the appropriate
indirect cost rate and base(MTDC)to calculate the total estimated indirect cost far the grant Therefore,
in Category 10: Rate x Base(MTDC)=Estimated Cost.
25. Inspection and Acceptance
Inspection,review, correction, and acceptance of all deliverables under this award shall be the
responsibility of the GTR.
26. Kev Personnel
Personnel specified as key personnel in the original grant application,Factor 1, Capacity of the Applicant
and Relevant Organizational Experience, are considered to be essential to the wark being perforxned
hereunder. The Program Manager must commit at least 75%of his/her time to grant award. Prior
to diverting any of the specified individuals to other work,to include reductions in the allocation of time
spent on the grant by any of the key personnel, the Grantee shall notify the Grant Officer and GTR
reasonably in advance, in writing, and shall submit justification(including proposed substitutions with the
qualifications and experience of the substitute personnel) in sufficient detail to perxnit evaluation of the
impact on the wark effort and quality. At a minimum,IILJD requires a current resume detailing the
individuaPs experience as it relates to the position being sought. All changes to key personnel(except
upon the death of such personnel)must be approved by the GTR in advance and may be denied in
writing. No diversion shall be made by the Grantee without the prior written consent of the Grant Officer.
Minimum Training and Qualification Expected for Program Manager include lead inspector risk assessor
training and certification; if certification is required in the state to review or design scopes of wark. In
addition, if the Program Manager will oversee or complete onsite unit monitoring; lead safe wark
practices class is also expected to be completed by any candidate before placed in the program manager
position. A program manager candidate may be approved conditionally based on the training and
certification taking place timely after the hiring of the candidate with the expectation that they wark with
a mentor that is assuming full accountability for review and approval of unit documents until the GTR is
satisfied that the candidate is ready to assume the responsibility independently.
27. Liabilitv Insurance
Costs of insurance required or approved and maintained,pursuant to the Federal award, are allowable.
Costs of other insurance in connection with the general conduct of activities are allowable subject to
limitations. See 2 CFR §200.447.
Medical liability(malpractice) insurance as defined by 2 CFR §200.447, "Insurance and
indexnnification,"is an nllornable cost of Federal research programs only to the extent that the Federal
research programs involve human subjects ar training of participants in research techniques. Medical
liability insurance costs must be treated as a dired cost and must be assigned to individual projects based
on the manner in which the insurer allocates the risk to the population covered by the insurance.
23
28. Limitation on Consultant Pavments
Consultants may not be paid, or provided reimbursement for payment,whether retained by the federal
governxnent ar the Grantee, at a rate more than the equivalent of General Schedule 15, Step 10 base pay
rate far the current federal pay year in which the consultant perforxns services under the grant
Consultants retained far technical assistance on the grant must provide documentation that they are
providing services eligible,unique and reasonable to the grant program and that are nonduplicative to
what the GTR is already providing to the grantee directly.
29. Limitation Pavments to Influence Certain Federal Transactions
31 U.S.C. section 1352 provides in part that no appropriated funds may be expended by the recipient of a
Federal contract, grant, or loan 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, and the extension, continuation,renewal, amendment, or modification of any Federal contract,
grant, or loan.
30. Lobbvina Activities Prohibition
The Grantee is subject to the provisions of section 319 of the Deparhnent of Interior and Related
Agencies Appropriation Actfor Fiscal Year 1991,31 U.S.C. 1352(the Byrd Amendment), implemented
in IILJD regulations at 24 CFR Part 87, and to the provisions of the Lobbying Disclosure Act of 1995,
P.L. 104-65 (December 19, 1995).
31. Grant Deliverables
The Grantee shall complete and submit a final negotiated wark plan,benchmarks (with Benchxnark
Standards-Forxn IILJD 96008), and the Grantee's policy and procedures within 60 days after the effective
date of the grant. These are subject to review and approval by IILJD for incorporation as part of the grant
These revisions shall update the general plan submitted in the Grantee's proposal and include any
negotiated changes of the work plan or budget if applicable. The plan shall be developed according to the
instructions and benchxnark standards that will be provided by the Governxnent Technical Representative
(GTR)far the grant program as applicable.
The work plan consists of the goals and time-phased objectives and deliverables for each of the major
tasks to be undertaken by the program. Benchxnark standards (milestones)have been developed to assist
the Grantee plan and implement its program in a timely and cost-effective manner. A revised budget, in
accordance with the final negotiation, shall be submitted(if necessary). The policy and procedures shall
also include a detailed narrative description of how assistance and funding will flow from the Grantee to
the actual performers of the hazard reduction wark;the selection process for sub-recipients and vendors;
the selection process far the particular properties to be abated,the lead hazard control activities to be
undertaken, and the screening,health, and other measures to be taken to protect children and other
occupants. Where there is interdependence among the tasks,the wark plan, and policy and procedures
shall indicate how each interdependent task will provide needed inputs to the others. (See, also, Article
39,Project Management System).
24
32. Order of Precedence
In the event of any inconsistency among any provisions of this grant,the following order of precedence
shall apply:
• Statutes;
• Regulation other than 2 CFR Part 200,Uniform Administrative Requirements (see below);
• The applicable NOFA, including the General Section and the Program Section;
• Grant Agreement(form IILJD-1044), including Terms and Conditions;
• ManagementandWarkPlan;
• Special Conditions;
• Schedule of Articles;
• 2 CFR Part 200, Uniforxn Administrative Requirements, Cost Principles, and Audit Requirements
for Federal Awards;
• Grantee's Proposal(If incorporated, exceptfar the Management and Wark Plan see above).
33. Patent Riahts(Small Business Firms and Nonprofit Oraanizations)
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:
[GTR identified on the form HUD-1044]
Government Technical Representative
U.S. Departxnent of Housing and Urban Development
Office of Lead Hazard Control and Healthy Homes
U.S. Departxnent of Housing and Urban Development
451 Seventh Street SW,Room 8236
Washington,DC 20410-3000
34. Period of Performance and Extensions and Inwrrina Costs or Obliaatina Federal
The Grantee shall provide all services stipulated in this award agreement for the period of months
specified on the forxn IILJD-1044, "Assistance Award/AmendmenY'Continuation Sheetfrom the effective
date stipulated on the form IILJD 1044. Grantees are to comply with the requirement of 2 CFR §200.309
and §200.343, as applicable, in charging costs to the grant. All obligations incurred under the award must
be liquidated not later than 90 days after the end of the funding period. The preparation of the fmal
administrative and financial reports is to be completed within 90-days after the end of the period of
perforxnance.
The Grantee shall not incur costs or obligate funds for any purpose pertaining to the operation of the
project,program, or activities beyond the expiration date stipulated in the award. The only costs which
are authorized for a period of up to 90 days following the award expiration date are those strictly
associated with closeout activities. Closeout activities are normally limited to the preparation of final
progress,financial, and required project audit reports unless otherwise approved in writing by the Grants
Officer.
An extension of the award period can be authorized only by the Grant Officer in writing. Neither verbal
assurances,nor written assurances of funding from other than the Grant Officer, shall constibxte authority
to obligate funds for programmatic activities beyond the expiration date.
25
The OLHCHH has no obligation to provide any additional prospective funding. Any amendment of the
award to increase funding or extend the period of perforxnance is at the sole discretion of the OLHCHH.
35. Pre-Award Costs
Priar to the effective date of the Grant, a Grantee may, at its own risk, incur pre-award costs with prior
written approval of the Grant Officer with the concurrence of the GTR. Pre-award costs are those incurred
priar to the effective date of the award directly pursuant to the negotiation and in anticipation of the award
where such costs are necessary to comply with the proposed delivery schedule or period of performance.
Such costs are allowable only to the extent that they would have been allowable if incurred after the date
of the award and only with the written approval of the awarding agency.
36. ProfiUFee
No increment above cost,fee, or profit shall be paid to the Grantee or any subgrantee or sub-recipient
under this award.
37. Proaram Income
Any program income derived as a result of this award, including royalties,whether obtained during or
after the period of performance, shall be added to funds committed under the Grantee's award to further
activities eligible for assistance under this award in accordance with 2 CFR Part 200 as applicable,
including 2 CFR §200.305 and §200.307. The program income must be used far the purposes and under
the conditions of this award. If not contained in the Wark Plan or under Special Conditions itemized in
these provisions,priar to using program income to further the objectives of the grant program,the parties
shall mutually agree by written amendment on the use of program income.
38. Proiect Manaaement Svstem
a. Deliverables
The Grantee shall include a schedule listing all significant project benchxnark milestones, and dates for
submission of all project deliverables including quarterly project reports, interim reports where
appropriate, the final report, and financial reports utilizing form IILJD-425. Upon approval of the wark
plan,the Grantee shall ensure all deliverables identified in the Wark Plan and Benchxnark schedule are
delivered on time.
b. Ouarterlv Proaress Reoorts
Quarterly reports will be due no later than January 30th, Apri130th, July 30th and October 30th,far the
preceding quarter following the initiation of the grant through project closeout, and should be submitted
as soon as possible after the end of the quarter. If a due date falls on a federal weekend or holiday, or on
an otherwise-closed IILJD warkday in Washington,DC, it shall be extended to the next Federal warkday
in Washington, DC,without affecting subsequent due dates. Quarterly reports must reflect activities
undertaken, obstacles encountered, solutions achieved, and accomplishxnents in each calendar quarter. In
addition, a separate document illustrating match contribution for each quarter is required. [See Article 6,
Amount of Cost Share.] Contracts,training materials,protocols,rosters of persons trained, outreach and
educational materials prepared, and other significant products developed to implement, analyze or control
the project or disseminate inforxnation shall be submitted with the quarterly reparts as attachments.
26
The Grantee shall use the Healthy Homes Grant Management System(HHGMS), or a replacement
system selected by the OLHCHH, after notifying the Grantee. The reporting system requires the
submission of a wark plan with specific,time phased, and realistic goals, objectives, and benchxnark
milestones established. Quarterly status reports that show progress and measure perforxnance of the
program in meeting approved wark plan goals, objectives and benchxnark milestones shall be submitted.
The reporting system utilizes quantifiable data and a narrative description of progress.
In the event that a Grantee cannot access the Internet, a"Word template"version of the HHGMS
reparting forms is available. Completed quarterly reports in this forxnat should be submitted to Healthy
Homes Grant Management System(�II3GMS) or other Internet address or other method as advised by the
GTR.
The Grantee is advised that failure to submit timely quarterly progress reparts will result in not having its
"eLOCCS Request V oucher for Grant PaymenY'processed and/or approved for payment until such time
as the quarterly progress report is submitted to HLJD.
c. Annual Reports
Race and Ethnic Data Reportin¢Forxn IILJD-27061. The Race and Ethnic Data Reporting Forxn must be
submitted annually by January 10.
d. Final Report
The Final Report shall summarize the applicanYs plans, execution of the plans, achievements noted, and
lessons learned. The Report need not be lengthy but should be of a quality and detail to provide a
freestanding description to any outside reader of all of the applicanYs wark and achievements under the
grant and compare the grantee proposal of achievements with actual results. Specific and detailed
guidance on preparing the forms and the narratives may be obtained from the GTR identified on Form
HLJD-1044. See Article 10, "CloseouY' and Policy Guidance Number PGI 2012-05, "Closeout
Procedures for OHHLHC Grantees."
39. Publications and News Releases
The results of work conducted under the award may be made available to the public through
dedication, assignment by IILJD, or other means, as IILJD shall deterxnine. All interim and final
reports and any other specified deliverables shall be owned by the government and held far the
benefit of the public which shall include the Grantee and the Grantee's sub-recipients.
Interim and final reparts (need to confirm that this includes the required scientific manuscript)may
not be published by the recipient or any sub-recipients participating in the wark for a period of sixty
days (60)after acceptance of the deliverables by the GTR.
All deliverables, or any part thereof, and any independent products and special products arising from
this award,when published by the recipient or other participants in the wark shall contain the
following acknowledgxnent and disclaimer:
"The wark that provided the basis far this publication was supported by funding under an award
with the U.S. Departxnent 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."
27
Copies of all press releases,formal announcements, and other planned,written issuances containing
news or inforxnation concerning wark products or activities of this award that may be made by the
recipient or its staff, or any sub-recipient or other person or organization participating in the wark of
the award, shall,whenever possible, be provided to the GTR for review and comment at least two
weeks before the planned release but in no event, later than coincidental with release.
40. Release of Funds and Environmental Certification
Award of a FY2018 OLHCHH grant does not constibxte approval of specific sites where activities that are
subject to environxnental review may be carried out. Recipients conducting eligible construction,
rehabilitation,repair,weatherization or related hazard remediation wark must comply with 24 CFR Part
58, "Environxnental Review Procedures for Entities Assuming IILJD Environxnental Responsibilities.
Recipients that are States, units of general local government or Native American Tribes must carry out
environmental review responsibilities as responsible entities, defined under Part 58. Recipients that are
not-for-profit firms, educational or for-profit institutions must contact and partner with the responsible
entity,usually the unit of general local government or Native American Tribe of the target area(s),to
assume the environxnental review responsibilities. Should the responsible entity object to perforxning the
environmental review, ar the non-governmental recipient is unable to identify a responsible entity with
whom they can partner to perforxn the environxnental review,IILJD may designate another responsible
entity to perform the review or may perform the environxnental review itself under the provision of 24
CFR Part 50. When IILJD perforxns the review itself, following grant award execution,IILJD will be
responsible for ensuring that any necessary environxnental reviews are completed.
Ori inals Co ies:
Karen M. Griego (HUD Address on the HLJD-1044)
Program Environxnental Clearance Officer Attn: GTR on the IILJD-1044
Office of Lead Hazard Control and Healthy Homes
U.S. Department of Housing and Urban Development
500 Gold Avenue SW, Ste. 7301
Albuquerque,NM 87102
TeL (505)346-6462
Fax(815) 572-0033
Karen.M.Grie o hud. ov
HLJD will not make additional payments from the amount awarded to a Grantee for lead hazard and
healthy homes evaluation or control until the Grantee's contractors and warkers are qualified far the
activities according to 24 CFR Part 35 (possessing certification as abatement contractors,risk assessors,
inspectors, abatement warkers, or sampling technicians, or others having been trained in a IILJD-approved
course in lead-safe wark practices).
Any additional funds requested by the Grantee shall be requested in accordance with Article 17,
"Estimated Cost and Payment- Line of Credit Control System (LOCCS).
28
41. Review of Deliverables
Deliverables include, but are not limited to:
a. All interim and final reports;
b. Survey instruments required by the Management and Wark Plan, if applicable;
c. Other physical materials and products produced directly under the Management and Wark Plan of
this grant, if applicable;
d. Match, in-kind and leverage commitments, if applicable.
The GTR shall be responsible for IILJD review,receipt of corrections from the Grantee, and acceptance of
the operational deliverables, above, of this grant Such review(s) shall be carried out promptly by the
GTR, so as not to impede the wark of the Grantee. Acceptance of the deliverable(s) shall be issued in
writing by the GTR, with comments and/or required corrections, within thirty(30) days of the date of the
GTR's receipt of such product from the Grantee. 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. The basis
for acceptance shall be the Grantee's good faith efforts to complete the deliverables of this grant. The
GTR's review, correction, and acceptance of narrative 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.
42. Sanctions
Failure to comply with the Federal statutes;regulations, including 2 CFR Part 200; ar the requirements
established in the award and these provisions, including failure to submit reports on time and in
accordance with the requirements contained in these provisions, may result in the GTR/Grant Officer
taking action to limit access to program funds. Actions by the GTR/Grant Officer may include, but are not
limited to: requiring that reparts and financial statements be submitted to the GTR/Grant Officer for
approval before drawing down any funds; suspending the ability to incur costs or draw funds; and/or
suspending ar terminating the Grant for non-performance as defined in Article 46, Suspension and
Termination(For Cause). HLJD may take enforcement action under 2 CFR §200.338, as applicable.
43. Scope of Services
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 wark set forth in the Grantee's original/revised application under this NOFA as well as the subsequent
Statement of Work/Management and Work Plan and Benchxnark schedule.
44. Soecial Conditions
Special Conditions to this award are listed on the forxn IILJD-1044 Continuation Sheets.
29
45. Suspension and Termination (For Cause)
The Grant Officer may, on reasonable notice to the Grantee and/or Subgrantee,temporarily suspend the
award and withhold further payments pending corrective action by the Grantee and/or Subgrantee. The
award may be terminated in whole or in part before the end of the perforxnance period for cause when the
Grantee and/or Subgrantee has failed to comply with the terms, conditions, standards, or provisions of
this award. The award may be terminated for convenience when both parties agree that the continuation
of the award would not produce beneficial results. Action will be taken in accordance with 2 CFR
§200.338—§200.342.
Effects of Suspension and Termination
Costs of Grantee or Subgrantee resulting from obligations incurred by the Grantee or Subgrantee during a
suspension or after terxnination of an award are not allowable unless IILJD expressly authorizes them in
the notice of suspension ar termination or subsequently. Other Grantee or Subgrantee costs during
suspension or after terxnination which are necessary and not reasonably avoidable are allowable if:
• The costs result from obligations which were properly incurred by the Grantee or Subgrantee
before the effective date of suspension ar terxnination, are not in anticipation of it, and, in the case
of a terxnination, are non-cancellable, and;
• 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
• Relationship to debarment and suspension: The enforcement remedies identified in this
section, including suspension and terxnination, do not preclude Grantee or Subgrantee from being
subject to "Debarxnent and Suspension"under Executive Orders 12549 and 12689, CFR Part 180
as outlined in CFR §200.338.
30
ATTACHMENT: LIST OF ACTIONS DUE
Action Due Date(Deliverables may be
rovided earlier)'
Wark plan,written policies and procedures, 60 days after effective date of grant
benchxnarks and revised budget with a
breakdown of the match
Re uest for Release of Funds and Certification 60 da s after effective date
Institutional Review Board approval(if 120 days after effective date
applicable)/Approval of Request for Release of
Funds and Certification
Grant work/deliverables As per benchxnarks following Institutional
Review Board approval/Approval of Request
for Release of Funds and Certification
Quarterly Progress Reports with a separate 30 days after quarter ends, i.e.: January 30,
attached document illustrating match stabxs and Apri130, July 30, October 30
a current SF-424
FFATA Sub-Award Reporting System By the end of the month following the month in
which the Grantee awards a subaward greater
than or e ual to $25,000
Economic Opportunities for Low- and Very Within 30 days of the end of the grantee fiscal
Low-Income Persons (Section 3) ear end
Race and Ethnic Data Re artin Janua 10 annuall
Annual Audit Annuall base on the Grantee's fiscal ear
Deliverables In accordance with benchmark schedule
90-day letter confirms all elements outlined in Due priar to the end of the period of
the ant have been met. erforxnance
Final Report(Grant Award). 90 days after the end of the period of
erforxnance
31
OFFICE OF
LEAD HAZARD CONTROL
AND HEALTHY HOMES
azar
t;•taa! 1 tan[x-mo
or
Office of Lead Hazard Control and Healthy Homes
Verification of Adrninistr
Budget Categories
Description of the Activity
HUD Share Total
HUD Share Admln
HUD Share Direct
1, Personnel (Direct Labor)
Labor/wagesfor sieffto deliver lead hazard controlpragrammhg
0850,655.60
8362,511.20
$163,606.78
682,402.93
$469,745.52
$191,515.25
2. Fringe Benefits
Fringe benefits for staff delivering lead hazard control programming
3. Travel °
Includes travel to mandatory lead hazard HUD conferences
$26,277.16
$18,684.00
87,593.16
4. Equipment
NAAdmIn
$20,920.04
$000
$0.00
5. Supplies and Materials
Computers and Office aupplies
$14,250.00
$12,200.00
$0.00
6. Consultants
NA Admin
$0.00
$0.00
80.00
7. Contracts and Sub -Grantees (List individually)
NA Admin
$1,552,300.00
80.00
$1,493,502.00
8. Construction
NA Admin
$0.00
KIM
$0.00
9. Other Direct Costs
Staff Training, printing, shipping, uniforms, telephones, etc.
$754,054,00
$0.00
$21,404.00
$0.00
$127,500.00
$0.00
10. Indirect Costs
NA Admin
Total:
83,580968.00
8290.577.71
82,209,953,93
Percentage of HUD Share Total:
100%
10%
76%
Grant Agreement Number
The Authorizing Official and the Fiscal StaffJ3frcial {person) shall certify this form that the Administrative Casts do
not exceed the 10% Administrative Cost tin_ t on the revised PART 3 - Financial Reporting -Administrative Costs
Summary.
Authorizing OMeld Signature: /f/]
Final Staff Official Signature: a
organization Name
Sate Completed