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U.S. Department of Housing & Urban Development (HUD) Older Adult Home Modification Program Grant AgreementCity of Dubuque City Council Meeting Action Items # 3. Copyrighted October 4, 2021 ITEM TITLE: U.S. Department of Housing & Urban Development (HUD) Older Adult Home Modification Program Grant Agreement SUMMARY: City Manager recommending authorization of an agreement with the U.S. Department of Housing & Urban Development (HUD) for the use of $1,000,000 to administer an OlderAdult Home Modification Program Grant to help an aging population age in place, or stay in their homes as they age. RESOLUTION Authorizing the City Manager or his designee to execute an Agreement and any further documents required for the execution of the HUD Older Adult Home Modification Program Grant Award of $1,000,000 SUGGESTED Suggested Disposition: Receive and File; Adopt Resolution(s) DISPOSITION: ATTACHMENTS: Description HUD Older Adult Home Modification Program Grant Agreement-MVM Memo Staff Memo Resolution Accepting Award/Executing Agreement Agreement Terms and Conditions Application Narrative Type City Manager Memo Staff Memo Resolutions Supporting Documentation Supporting Documentation Supporting Documentation THE CITY DUOF B TEE Masterpiece on the Mississippi TO: The Honorable Mayor and City Council Members FROM: Michael C. Van Milligen, City Manager SUBJECT: HUD Older Adult Home Modification Program Grant Agreement DATE: September 30, 2021 Dubuque All -America City IN 2007.2012.2013 2017*2019 Housing & Community Development Director Alexis Steger recommends City Council authorization of an agreement with the U.S. Department of Housing & Urban Development (HUD) for the use of $1,000,000 to administer an Older Adult Home Modification Program Grant to help an aging population age in place, or stay in their homes as they age. The Housing & Community Development Department will administer this program, partnering with Unified Therapy Solutions as a requirement of the grant to have an occupational therapist evaluate the needs in the home. The City will also team with the HEART Program to complete the modifications to each home. Each unit will average $4,000 of improvements such as grab bars, non-stick flooring, removal of uneven thresholds, railings, and other modifications as identified by the Occupational Therapist. This program requires a Program Manager that dedicates at least 50% of an FTE to this grant, and a financial specialist to complete the intake processes and administrative work. These positions will be combined into 1 FTE and increases the number of FTEs in the Housing Department on a temporary basis by 1.0. This agreement is for 36 months and will complete approximately 230 units. I concur with the recommendation and respectfully request Mayor and City Council approval. v Mic ael C. Van Milligen MCVM:jh Attachment cc: Crenna Brumwell, City Attorney Cori Burbach, Assistant City Manager Alexis M. Steger, Housing & Community Development Director THE C DUj!B9aTE Masterpiece on the Mississippi TO: Michael C. Van Milligen, City Manager FROM: Alexis M. Steger, Housing & Community Development Director DATE: September 30, 2021 RE: HUD Older Adult Home Modification Program Grant Agreement Dubuque AII.1win Clly ii 2007-2012.2013 2017*2019 Introduction The purpose of this memorandum is to request the City Council's authorization of an agreement with the U.S. Department of Housing & Urban Development (HUD) for the use of $1,000,000 to administer an Older Adult Home Modification Program Grant. Background The Older Adult Home modification grant application was submitted in August 2021, to request $1,000,000 to help an aging population age in place, or stay in their homes as they age. In early September 2021, the City of Dubuque was awarded these funds, and the City began negotiations with HUD to develop the agreement between HUD and the City of Dubuque for the use of the funds. Discussion The Housing & Community Development Department (HCDD) will administer this program, partnering with Unified Therapy Solutions as a requirement of the grant to have an occupational therapist evaluate the needs in the home. The City will also team with the HEART Program to complete the modifications to each home. Each unit will average $4,000 of improvements such as grab bars, non-stick flooring, removal of uneven thresholds, railings, and other modifications as identified by the Occupational Therapist. This program requires a Program Manager that dedicates at least 50% of an FTE to this grant, and a financial specialist to complete the intake processes and administrative work. These positions will be combined into 1 FTE and increases the number of FTEs in the Housing Department on a temporary basis by 1.0. This agreement is for 36 months and will complete approximately 230 units. Requested Action I respectfully request City Council to accept the Older Adult Home Modification Grant awarded to the City of Dubuque by authorizing the City Manager, or his designee, to enter into the attached agreement and execute any further documents as required for the successful completion of this grant opportunity. Cc: Jenny Larson, Budget and Finance Director Cori Burbach, Assistant City Manager Teri Goodman, Assistant City Manager Prepared by Alexis Steger. Housing & Community Devel., 350 W. 611 St Suite 312 (563) 690-6072 Return to Adrienne N. Breitfelder, City Clerk, 50 W. 1311 St., Dubuque, IA 52001, (563) 5894100 RESOLUTION NO. 346-21 RESOLUTION AUTHORIZING THE CITY MANAGER OR HIS DESIGNEE TO EXECUTE AN AGREEMENT AND ANY FURTHER DOCUMENTS REQUIRED FOR THE EXECUTION OF THE HUD OLDER ADULT HOME MODIFICATION PROGRAM GRANT AWARD OF $1,000,000 Whereas, the U.S. Department of Housing and Urban Development has published a Notice of Funding Availability (NOFA) for the Older Adult Home Modification Program Grant; and Whereas, the City of Dubuque applied for the grant opportunity in May 2021 in the amount of $1,000,000; and Whereas, the U.S. Department of Housing and Urban Development awarded $1,000,000 to the City of Dubuque to administer the Older Adult Home Modification Program, and entered into negotiations for an agreement; and Whereas, the City of Dubuque proposes acceptance of the Older Adult Home Modification Program Grant funding from the U.S. Department of Housing and Urban Development to assist approximately 230 residents safely age in place. NOW, THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF DUBUQUE IOWA: Section 1: That the City Manager and the Housing and Community Development Director are hereby authorized accept the $1,000,000 Older Adult Home Modification Program Grant funds and approve the agreement with the U.S. Department of Housing and Urban Development; and Section 2: That the City Manager and the Housing & Community Development Director are hereby authorized and directed to execute any further documents to ensure the grant program regulations stipulated in the agreement are met. Passed, approved and adopted this 4th day of October 2021.(n Roy 1b. Buol, Mayor Attest: l.Gl,//l t e� !i/ Aa416'2 Adrienne N. Breitfelder a City Clerk Assistance Award/Amendment U.S. Department of Housing and Urban Development Office of Administration 1. Assistance Instrument 2. Type of Action ® Cooperative Agreement ❑ Grant ® Award ❑ Amendment 3. Instrument Number 4. Amendment Number 5. Effective Date of this Action 6. Control Number ILALMI0011-21 See Block #20 7. Name and Address of Recipient S. HUD Administering Office HUD, Office of Lead Hazard Control and Healthy Homes City of Dubuque 451 Seventh Street, SW 350 W 6`b Street, Suite 312 Room 8236 Dubuque, Iowa 52001-4648 Washington, DC 20410 8a. Name of Administrator 8b. Telephone Number Loyedi Marie Gedeon 202-402-6052 10. Recipient Project Manager 9. HUD Government Technical Representative Alexis Steger, astegerncityofdubu�{c ue.orH, 563-690-6072 Aaron Mitchell, Aaron.T.MitchellCdhud.gov, 202-402-2289 11. Assistance Arrangement 12. Payment Method 13. HUD Payment Office ® Cost Reimbursement ❑ Treasury Check Reimbursement U.S. Dept. of HUD ❑ Cost Sharing ❑ Advance Check CFO Accounting Center, 6AF ❑ Fixed Price ® Automated Clearinghouse 801 Cherry St., Unit 945 Ste. 2500 Fort Worm, Tx 76102 14. Assistance Amount 15. HUD Accounting and Appropriation Data Previous HUD Amount $0.00 15b. Reservation number 8620230320-20HFm14nOHF.HIY1 $824,084.00 ......................................................... .............. ................. ............................ ................ 8619220320-19HEHM/19HEHM$175,916.00 LHM 21-11 HUD Amountthis ........... $ 824,084.00 ............ ................... .__............. ........... __......... _ ..... _....--..... _... _...................... ... _...... $..175,916A0..... . Total_HUD Amount ...................................._...__.......__....__...__......................._......_._.__.. $11000r000.00 Amount Previously Obligated $0.00 ._-__-.._..Pr io s.............._..._.._...._.................._........................_._..$0.......... , Recipient Amount ......................................... .... ,$ .00 ..... _._-_...... ..._........_... ._........._..........._......._....___--_-....---..........--"---"----_._.._._..'-'--'-_..._......._.-_....._....�......._._....�......._...... Obligation by this action $1,000,000.00 Total Instrument Amount $ 1 000 000.00 Total Obli ation $1000 000.00 16. Description Employer Identification: 42-6004596 DUNS: 148218832 Program: AIP 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 and Continuation Sheet 2. FY 2021 Terms and Conditions 3. Statement of Work/Work Plan/Benchmark Standards 4. Grantee's financial and technical proposal 5. Mutually agreed and negotiated proposal changes 6. Abstract of grant activities 7. TITLE 2: GRANTS AND AGREEMENTS - PART 200-UNIFORM ADMINISTRATIVE REOUIREMENTS, COST PRINCIPLES. AND AUDIT REQUIREMENTS FOR FEDERAL AWARDS bre 1.1121 8. Notice of Grant Opportunity announced in GRANTS.GOV (FR-6400-N-69)-Posted date: 03/02/2021 Period of Performance: 36 months-' 4 October 15, 2021 to October 15, 2024 17. ® Recipient is required to sign and return three (3) copies I& ❑ Recipient is not required to sign this document. of this document to the HUD Administering Office 19. Recipient (By Name) 20. HUD (By Name) Alexis Steger, Housing and Community Development Director Loyedi Marie Gedeon, Loyedi.M.Gedeon(a)hud.eov Signature & Title Date (mm/dd/ ) )a11y�Zl signature & Title Digital�� LOYEDI GEDEON Date:210021.0n Date (mm/d&yyyy) 0d410LOSDI �E0D0' U.S. Department of Housing and Urban Development Office of Lead Hazard Control and Healthy Homes �O } Gyp^N p��UV4" Older Adults Home Modification Grant Program Fiscal Year 2021 - Terms and Conditions TABLE OF CONTENTS i GENERAL 1. Introduction 2. Overview of Award Implementation 3. Definitions 4. Federal Funding Accountability and Transparency Act (FFATA) 5. English Language 6. Code of Conduct 7. Determining Subrecipient or Contractor Classification 8. Procurement Standards II PROGRAM REQUIREMENTS 1. Administrative Costs 2. Administrative Requirements 3. Advance Payment by Treasury Check or Electronic Funds Transfer 4. Cost Reimbursement 5. Amendments 6. Budget 7. Certifications and Assurances 8. Prior Approval Requirements (Changes to Award Agreement) 9. Closeout 10. Conduct of Work 11. Collection of Data 12. Contact Information Updates 13. Copyrights 14. Direct Costs 15. Disputes 16. Estimated Cost and Payment - Line of Credit Control System (LOCCS) 17. Equipment 18. Flow Down Provisions 19. Single Audit Reporting Requirements 20. HUD's Right to Audit and Disallow Cost and Recover Funds 21. Incurrence of Costs 22. Indirect (F&A) Cost Rate 23. Inspection and Acceptance 24. Key Personnel 25. Liability Insurance 26. Limitation of Consultant Payments 27. Limitation on Payments to Influence Certain Federal Transactions 28. Lobbying Activities Prohibition 29. Grant Deliverables 30. Order of Precedence 31. Patent Rights (Small Business Firms and Nonprofit Organizations) 32. Period of Performance (POP) Extensions, Incurring Costs, and Obligating Federal Funds OFFICE OF LEAD HAZAR000NTROL AND HEALTHY HOMES 33. Pre -award Costs 34. Profit/Fee 35. Program Income 36. Program Services Model 37. Project Management 38. Publications and News Releases 39. Release of Funds and Environmental Certification 40. Review of Deliverables 41. Sanctions 42. Scope of Work 43. Special Conditions 44. Substantial Involvement 45. Suspension and Termination APPENDIX 1 - List of Actions Due 2 I GENERAL 1. Introduction 1. This instrument is governed by 2 CFR Part 200 — "Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards," commonly referred to as the Uniform Guidance. The Uniform Guidance streamlines and consolidates government requirements for receiving and using federal awards to reduce administrative burden and improve outcomes. The Office of Management and Budget (OMB) made major changes and updates to the Uniform Guidance on August 12, 2020, that became effective November 12, 2020, and published corrections to that notice on February 22, 2021, that became effective that day. 1.2. Recipients must review their official award document for additional administrative and programmatic requirements. a. Assistance Award/Amendment — Form HUD-1044 —The form shall be used by HUD and the recipient to execute the agreement; it shall also be used for changes in key personnel, the award amount, the primary contact/recipient of the quarterly assessment report, terms and conditions, and other identifying information. b. A copy of the governing body's authorization of an individual to sign the application for assistance and the Assistance Award as the Authorized Representative must be on file in the recipient's office. 1.3. The Grantee any subrecipients must comply with the applicable Terms and Conditions outlined below. Also, recipients should review the separate OLHCHH Grant Program Policy Guidance applicable to its program, found on the Office's website, www.hud.gov/healthyhomes (specifically, as of the publication of this document, on the Grant Program Policy Guidance page, https://www.hud.gov/program_offices/healthy homes/lbp//pg). 1.4. By acceptance of the grant award, each recipient/grantee agrees to comply with these requirements. Failure to comply with the general terms and conditions in this document and those directly reflected on the official assistance award document may result in enforcement actions outlined in 2 CFR§200.339 and §200.340. 2. Overview of Award Implementation 2.1. This instrument reflects the acceptance by HUD of the proposed budget, key personnel and partners, and primary conditions of the applicant's awarded proposal, or any subsequent revision, submitted in response to the Notice of Funding Opportunity (NOFO) for the Department of Housing and Urban Development, OLHCHH Grant Programs for the NOFO indicated on the form HUD-1044 cover page. A final budget, work plan, and benchmarks will be developed, accepted, and incorporated with the form HUD 1044 within 60 days of the award notice. As a condition of this grant award, the Grantee and subrecipients, as applicable, agree to submit the following documents: a. a final negotiated work plan, with deliverables/outcomes measures, prioritization plan, targeted areas of program implementation, and b. policies and procedures for how the grant will be administered. Submit the documents listed via the Healthy Homes Grant Management System (HHGMS) within 60 calendar days of the Period of Performance start date (located on form HUD-1044). 2.2. These revisions will update the general/basic plan submitted with the proposal and include any negotiated changes to the work plan, benchmarks and budget. A Grantee whose work plan includes conducting activities that physically alter the dwelling or its property, such as modifications considered rehabilitation repair , will not be allowed to draw down funds before the completion of a satisfactory environmental review by the appropriate HUD Environmental Officer and HUD approval of the property, or the Grantee's receipt of an approved Request for Release of Funds and Certification, as prescribed within Section 40 of this agreement. See OLHCHH Policy Guidance 2008-03 for further details. NOTE: If the applicant or grantee does not provide documents in Section I.2 that are satisfactory to the Grant Officer in a timely manner, including not addressing problems identified, the grantee grant may be terminated based on failure to successfully conclude negotiations or to provide HUD with the requested information, according to with the General Section of the NOFO for which the Grantee applied. 3. Definitions The following terms and definitions are in accordance with 2 CFR Part 200 and the HUD Guidelines for the Evaluation and Control of Lead -Based Paint Hazards in Housing, and applicable Notices of Funding Opportunity. 3.1. Allocable Costs as defined in 2 CFR §200.405, are costs that are assignable to a particular Federal award or cost objective if the goods or services involved are chargeable to that Federal award or cost objective in accordance with relative benefits received. This standard is met if the cost: a. is incurred specifically for the Federal award; b. benefits both the Federal award and other work of the Grantee and can be distributed in proportions that may be approximated using reasonable methods; and c. is 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. 3.2. All activities that benefit from the Grantee's indirect costs, including unallowable activities and services donated by the Grantee or to the Grantee by third parties, will receive an appropriate allocation of indirect costs. 3.3. 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 and conditions of the Federal awards, or for other reasons. 3.4. Allowable Costs, as defined in 2 CFR §200.403, are those costs that are: a. necessary and reasonable for the performance of the Federal award and are allocable to the Federal Award; 4 b. Conform to any limitations or exclusions set forth herein, in the NOFO, or in the Federal award as to types or amount of cost items; c. consistent with policies and procedures that apply uniformly to both federally -financed and other activities of the Grantee; d. accorded consistent treatment. 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; e. determined in accordance with generally accepted accounting principles (GAAP), except, for state and local governments and Indian tribes only, as otherwise provided for in 2 CFR Part 200; f. not included as a cost or used to meet cost sharing or matching requirements of any other federally -financed program in either the current or a prior period; g. adequately documented. See also §§200.300 through 200.309 of 2 CFR 200; and h. incurred during the approved budget period. 3.5. Assistance Award/Amendment- HUD 1044 The HUD 1044 is used for changes in key personnel, etc., and primary contact/recipient of the quarterly assessment report. To be signed and dated by the authorized representative of the applicant organization. 3.6. Authorized Representative or Official is the official at the operational level who has the responsibility for the full measure of the mission and the authority to obligate funds to support the grant from the grantee. 3.7. Certifying Officer is the "responsible Federal official" as that term is used in section 102 of the National Environmental Policy Act (NEPA) and in statutory provisions cited in 24 CFR §58.1(b), and, as defined at 24 CFR §58.2(a)(2), means the official who is authorized to execute the Request for Release of Funds and Certification and has the legal capacity to carry out the following responsibilities from 24 CFR §58.13. 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 24 CFR§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 b. Ensure that the responsible entity reviews and comments on all environmental impact statements prepared for Federal projects that may have an impact on the recipient's program. 3.8. Contract as defined in 2 CFR §200.1 is a legal instrument by which a recipient or subrecipient purchases property or services needed to carry out the project or program under a Federal award. 3.9. Contractor means an entity that receives a contract as defined in 2 CFR §200.1. 3.10. Direct Costs as described 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: a. Compensation of employees for the time devoted and identified specifically to the performance of those awards; b. Cost of materials acquired, consumed, or expended specifically for the awards; c. Equipment and other approved capital expenditures; and d. 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 NOFO for specific information regarding what constitutes Direct Costs for your program and any applicable programmatic requirements to which you must adhere. 3.11. Disallowed Costs means those charges to an award that HUD determines to be unallowable, in accordance with the applicable Federal statutes, regulations, or the terms and conditions contained in the award. 3.12. Equipment means tangible personal property (including information technology systems) having a useful life of more than one year and a per -unit acquisition cost which equals or exceeds the lesser of the capitalization level established by the non -Federal entity for financial statement purposes, or $5,OOO.Examples include X-ray fluorescence (XRF) machines, office equipment and furnishings, modular offices, telephone networks, information technology equipment and systems, air conditioning equipment, reproduction and printing equipment, and motor vehicles. 3.13. Government Technical Representative (GTR) means the HUD Official who is responsible for the technical administration of the grant, the evaluation of performance under the grant the acceptance of technical reports or projects, and other such specific responsibilities as may be stipulated in the grant. 3.14. Grant Award (Federal Award) means a legal instrument of financial assistance between a Federal awarding agency or pass -through entity and a non -Federal entity that, consistent with 31 U.S.C. 6302, 6304: a. Is used to enter into a relationship the principal purpose of which is to transfer anything of value to carry out a public purpose authorized by a law of the United States (see 31 U.S.C. 6101(3)); and not to acquire property or services for the Federal awardingagencX or pass -through entity's direct benefit or use; b. Is distinguished from a cooperative agreement in that it does not provide for substantial involvement of the Federal awardingagency in carrying out the activity contemplated by the Federal award. c. Does not include an agreement that provides only: a. Direct United States Government cash assistance to an individual; b. A subsidy; c. A loan; d. A loan guarantee; or e. Insurance. HUD grant agreements consist of the HUD form 1044 and any special award conditions. 0 3.15. Grantee (or Recipient) means a non-federal entity, usually but not limited to non-federal entities that receive a Federal award directly from the Federal awarding agency. The term recipient does not include subrecipients or individuals that are beneficiaries of the award. 3.16. Grant Award (also referred to as an award document) consists of the HUD-1044 (including the policies and guidance and any special conditions outlined in the HUD-1044) and this Terms and Condition document. 3.17. Grant Officer means the official authorized by HUD to execute and/or administer this grant. 3.18. Guidelines refer to the definitions, standards, and information contained in the latest edition of the "Guidelines for the Evaluation and Control of Lead -Based Paint Hazards in Housing." The Guidelines are incorporated by reference into the grant; as of the publication of this document see his://www.hud.gov/program_offices/healthy homes/lbp/hudguidelines 3.19. HHGMS is the Healthy Homes Grant Management System. HHGMS is the OLHCHH online data management system that allows the processing of administrative and technical actions, and quarterly reporting among the Grantee, Government Technical Representative, and Grant Officer. 3.20. HUD means the U.S. Department of Housing and Urban Development. 3.21. High Risk Designation is the designation of the grantee that may be given by HUD to inform it that HUD will be conducting heightened monitoring of the grantee's performance as a result of unsatisfactory performance or when a grantee has not complied with Federal statutes; regulations, including 2 CFR Part 200; or 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. The high -risk designation will stay in place until the corrective actions specified by HUD in the High -Risk Designation amendment have been addressed to HUD's satisfaction. If the corrective actions are not addressed within the time frame specified by HUD, HUD may pursue sanctions as defined in Section II. 42 or suspension and termination as described in article Section II.45. 3.22. Indirect Costs are those that have been incurred for common or joint purposes. These costs benefit more than one cost objective and cannot be readily identified with a particular final cost objective without effort disproportionate to the results achieved. After direct costs have been determined and assigned directly to Federal awards and other activities as appropriate, indirect costs are those remaining to be allocated to benefitted cost objectives. A cost may not be allocated to a Federal award as an indirect cost if any other cost incurred for the same purpose, in like circumstances, has been assigned to a Federal award as a direct cost. Indirect costs are generally charged to Federal awards through the development and application of an indirect cost rate (ICR). Requirements for development and submission of indirect (F&A) cost rate proposals and cost allocation plans are contained in Appendices III-VII and Appendix IX of 2 CFR Part 200 as follows: a. Appendix III to Part 200 - Indirect (F&A) Costs Identification and Assignment, and Rate Determination for Institutions of Higher Education (IHEs). 7 b. Appendix IV to Part 200 - Indirect (F&A) Costs Identification and Assignment, and Rate Determination for Nonprofit Organizations. c. Appendix V to Part 200 - State/Local Governmentwide Central Service Cost Allocation Plans. d. Appendix VI to Part 200 - Public Assistance Cost Allocation Plans. e. Appendix VII to Part 200 — States and Local Government and Indian Tribe Indirect Cost Proposals. f. Appendix IX to Part 200 - Hospital Cost Principles. 3.23. Leverage means the non -match resources provided by the grantee in excess of the required match for making a grant fully operational. 3.24. Line of Credit Control System (LOCCS) is HUD's primary grant and subsidy disbursement system that handles disbursement and cash management for most HUD grant programs. Organizations and individuals have access to these grants through an internet version of LOCCS called eLOCCS, where Business Partners with appropriate authorization can access, manage, and drawdown against their HUD grant portfolios. For more information visit eLOCCS Access Guidelines for Grantees. 3.25. Modified Total Direct Cost (MTDC) means all direct salaries and wages, applicable fringe benefits, materials and supplies, services, travel, and up to the first $25,000 of each sub -award (regardless of the period of performance of the sub -awards 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 sub -award 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 (2 CFR § 200.1). 3.26. Must (or Shall) means a mandatory requirement of the Terms and Conditions in association with the form HUD-1044 for the grant. 3.27. NOFO means the Notice of Funding Opportunity that announced the availability of funding for this award ). 3.28. Non -Federal Entity means a State, local government, Indian Tribe, Institution of Higher Education (IHE), or Nonprofit Organization that carries out an OLHCHH award as a Grantee or Subrecipient. 3.29. OLHCHH means the U.S. Department of Housing and Urban Development (HUD), Office of Lead Hazard Control and Healthy Homes. 3.30. 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. 3.31. Pass -Through Entity means a non -Federal entity that provides a sub -award to a subrecipient to carry out part of a OLHCHH program. 3.32. Period of performance (PoP) means the total estimated time interval between the start of an initial OLHCHH award and the planned end date, which may include one or more funded portions, or budget periods. 3.33. Publication includes: a. any document containing information for public consumption; or b. the act of, or any act which may result in, disclosing information to the public. 3.34. Responsible Entity means: (i) With respect to environmental responsibilities under programs listed in § 58.1(b)(1), (2), (3)(i), (4), and (5), a recipient under the program. (ii) With respect to environmental responsibilities under the programs listed in § 5 8. 1 (b)(3)(ii) and (6) through (12), a state, unit of general local government, Indian tribe or Alaska Native Village, or the Department of Hawaiian Home Lands, when it is the recipient under the program. Non -recipient responsible entities are designated as follows: (A) For qualified housing finance agencies, the State or a unit of general local government, Indian tribe or Alaska native village whose jurisdiction contains the project site; (B) For public housing agencies, the unit of general local government within which the project is located that exercises land use responsibility, or if HUD determines this infeasible, the county, or if HUD determines this infeasible, the State; (C) For non-profit organizations and other entities, the unit of general local government, Indian tribe or Alaska native village within which the project is located that exercises land use responsibility, or if HUD determines this infeasible, the county, or if HUD determines this infeasible, the State. 3.35. Should means the best practices or recommended approach of the Terms and Conditions in association with the form HUD-1044 for the grant. 3.36. Standard Form-424 (SF-424) - the application for Federal assistance programs required by discretionary grant programs. 3.37. Sub -award means an award provided by a pass -through entity to a subrecipient for 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 sub -award may be provided through any form of legal agreement, including an agreement that the pass -through entity considers a contract. A subgrantee is the recipient of a subaward, while a contractor is the recipient of a contract for the purpose of obtaining goods and services for the non -Federal entity's own use. 3.38. 3.39. Subrecipient or Subgrantee means an entity, usually but not limited to non -Federal entities, that receives a sub -award from a pass -through entity to carry out part of a Federal award, but does not include an individual that is a beneficiary of such award. A subrecipient may also be a recipient of other Federal awards directly from a Federal awarding agency. 3.40. Third -party in -kind contributions means the value of non -cash contributions (i.e., property or services) that: a. Benefit a federally -assisted project or program; and b. Are contributed by non -Federal third parties, without charge, to a non -Federal entity under a Federal award. 0 Third -party in -kind contributions may be a source of match funds. 4. Federal Funding Accountability and Transparency Act of 2006 (FFATA) 4.1. The Federal Funding Accountability and Transparency Act (FFATA) of 2006 (Public Law 109-282) requires disclosure of all entities and organizations receiving federal funds through a single publicly accessible website, USASpending.gov. USASpending.gov includes information on each federal financial assistance award and contract over $30,000, including such information as: a. The name of the entity receiving the award b. The amount of the award c. Information on the award including transaction type, funding agency, etc. d. The location of the entity receiving the award e. A unique identifier of the entity receiving the award; and f. Names and compensation of highly compensated officers (as applicable) 4.2. Grantee Reporting. Recipients are required to report sub -awards on the Federal Sub -award Reporting System (FSRS)Website www.FSRS.gov. 4.3. Prime financial assistance awardees receiving funds directly from HUD are required to report sub -awards and executive compensation information both for the award and sub -awards, where both the initial award is $30,000 or greater or the cumulative award will be $30,000 or greater if funding incrementally as directed by HUD in accordance with OMB guidance. The reporting of award and sub -award 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 sub -award is obligated to fulfill the reporting requirement. For more information on FFATA Reporting visit FSRS, USASpending.gov, and HUD's Grants Information webpage. 5. English Language The English language will be used in the 2021 Terms and Conditions as defined in 2 CFR §200.111: 5.1. All Federal financial assistance announcements and Federal award information 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. 5.2. 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. 6. Code of Conduct 10 6.1. Code of Conduct for OLHCHH Grant Programs - All OLHCHH grantees, except states, and all subrecipients under Federal awards must have a code of conduct (or written standards of conduct) for procurements that meet all requirements in 2 CFR 200.318(c) regarding conflicts of interest. Each applicant selected for an 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 HUD's Code of Conduct e-library. Applicants can check the Code of Conduct List at Code of Conduct for HUD Program to confirm if HUD has determined their Code of Conduct complies with 2 CFR §200.318(c)(1). 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. 6.2. Conflict of Interest (COI) 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. 6.3. 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 for the award, the following conflict of interest requirements apply in all cases not governed by 2 CFR 200.317 and 200.318(c): a. General prohibition. 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 for 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. b. Exceptions. HUD may grant an exception to the general prohibition in paragraph 6.3.a, upon the recipient's written request and satisfaction of the threshold requirements in paragraph 6.3.c, if HUD determines the exception will further the Federal purpose of the award and the effective and efficient administration of the recipient's program or project, taking into account the cumulative effects of the factors in paragraph 6.3.d. Threshold requirements for exceptions. HUD will consider an exception only after the recipient has provided the following documentation: (i) A disclosure of the nature of the conflict, accompanied by an assurance that there has been a public disclosure of the conflict and a description of how the public disclosure was made; and (ii) An opinion of the recipient's attorney that the interest for which the exception is sought would not violate State or local law. 11 d. 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 6.3.c, HUD will consider the cumulative effect of the following factors, where applicable: (i) 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. (ii) Whether an opportunity was provided for open competitive bidding or negotiation. (iii) 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; (iv) Whether the affected person has withdrawn from his or her functions or responsibilities, or the decision -making process with respect to the specific assisted activity in question. (v) Whether the interest or benefit was present before the affected person was in a position as described in paragraph 6.3.a. (vi) Whether undue hardship will result either to the recipient or the person affected when weighed against the public interest served by avoiding the prohibited conflict; and (vii) Any other relevant considerations. Important: Recipients must disclose in writing any potential conflict of interest to HUD. 7. Determining Subrecipient or Contractor Classification Determining Subrecipient or Contractor Classification as defined by 2 CFR§200.331 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 determinations 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 subrecipient on the same award. See OLHCHH's Policy Guidance Number: 2019-02 — Determining Subrecipient or Contractor Classification. 8. Procurement Standards Procurement refers to the process of selecting contracts, establishing price and terms to acquire goods and services. Recipients must follow the procurement standards articulated in 2 CFR 200. 8.1. States must follow the same policies and procedures it uses for procurements from its non - Federal funds. States must comply with §§200.321, 200.322, and 200.323 and ensure that every purchase order or other contract includes any clauses required by §200.327. 8.2. All other non -Federal entities, including subrecipients of a State, must follow the procurement standards in §§200.318 through 200.327. a. As required by § 200.327, and Appendix II of Part 200 which the section cites, and which cites Executive Order 11246, "Equal Employment Opportunity", recipients performing or having subrecipients or contractors at any tier perform, federally assisted construction contracts (i.e., including work that includes rehabilitation or repair of buildings, or improvements to real property, and supervision, inspection, and other onsite functions incidental to the actual construction) under their award shall comply, in implementing 12 their agreement, with, in the Department of Labor's equal employment opportunity regulations at 41 CFR part 60, section 60-1.4, Equal opportunity clause, subsections (b) through (e) (with definitions in section 60-1.3), and excepting such contracts up to $10,000 (as per section 60-4.1), with section 60-4.2, Solicitations. Please see Policy Guidance Number - 2017-04 for additional guidance. ii PROGRAM REQUIREMENTS 1. Administrative Costs Administrative costs may not exceed 10 percent of the federal lead grant award. 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 for the general management, oversight, and coordination of the grant — i.e. program administration and indirect (F&A) cost (defined in 2 CFR §200.414)). During negotiations, the Grantee's Authorized Official and Fiscal Officer must certify administrative costs and complete the Standard Form 425 Part 3 Financial Reporting (Administrative Cost Summary). Notwithstanding any Administrative Cost limits provided in a statute, regulation, or the applicable NOFO, an indirect cost rate that is no greater than the approved rate negotiated with the applicant's federal cognizant agency for indirect costs shall be used. See Policy Guidance Number 2015-01 2. Administrative Requirements For all grantees, awards will be governed by the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (2 CFR Part 200) and these grant provisions. 3. Advance Payment by Treasury Check or Electronic Funds Transfer 3.1. 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 of the Grantee in carrying out the startup activities of this agreement and as agreed to by the Grant Officer. 3.2. In accordance with 2 CFR §200.305, "Federal payment", to the extent 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: a. The Non -Federal entity receives less than $250,000 in Federal awards per year. b. The best reasonably available interest -bearing account would not be expected to earn interest over $500 per year on Federal cash balances. c. 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. 13 d. A foreign government or banking system prohibits or precludes interest -bearing accounts. 3.3. 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 on time, the authorization for advance one-time payment may be revoked. The Grantee may then be required to finance the project with its 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. Cost Reimbursement This is a cost -reimbursement award. Except as described in Section 3, "Advance Payment by Treasury Check or Electronic Funds Transfer," the Grantee shall be reimbursed for costs incurred in the performance of work in an amount not to exceed the obligated amount shown on the form HUD- 1044, Assistance Award/Amendment. In the event the Grantee incurs costs over the prescribed amount, the excess shall be borne entirely by the Grantee. HUD shall reimburse the Grantee for costs incurred in the performance of this award which is determined by the GTR/Grant Officer to be allowable, allocable, and reasonable in accordance with applicable Federal cost principles as permitted by 2 CFR Part 200 Subpart E. 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 HUD (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 Policv Guidance 2013-03. 6. Budget 6.1. The Grantee shall incur eligible costs in conformance with the final negotiated budget. The Grantee shall not commingle any funds computed under this grant with any other existing or future operating accounts held by the Grantee. 6.2. In addition to the general requirement that any costs incurred are allowable as described in Section I 3.1, grantees must also ensure that cost following OAHM program specific allowability requirements below. a. Program Operations. Program Operation costs are program implementation, management, and oversight activities that are directly attributable and specifically identified with this grant. All costs must be reasonable and clearly detailed. Examples of costs may include but are not limited to the following: i. Staff and contractor recruitment. ii. Salaries and wages for direct hires or contractors working directly on activities supported by this grant. iii. Fringe benefits for direct hires working directly on activities supported by this grant. Fringe benefits are allowable as a direct cost in proportion to the salary charged to the grant, to the extent that such payments are made under formally established and consistently applied organizational policies. 14 iv. Program marketing/advertising and printing. v. Procurement of materials and supplies for program administration. Materials and supplies are defined as tangible personal property other than equipment, costing less than $5,000. Materials and supplies that are necessary to carry out the project are allowable as prescribed in 2 CFR § 200.453. vi. Local travel. b. Information Technology and IT Services. Costs are directly attributable to tracking service activities and collecting program monitoring data. Examples of such costs may include but are not limited to the following: i. Procurement and maintenance of database and other tools ii. Information technology consulting services c. Client Intake, Assessment, and Reasonable Accommodations. Costs directly attributable to activities that ensure the client's needs and goals are fully understood and that they get the maximum benefit from the program to address their needs and goals. Examples of such costs may include but are not limited to the following: i. Assistance to client in locating proof of eligibility ii. Fees to use standardized assessment tools iii. Occupational therapist services iv. Registered nurse services (only if required by evidence -based model) as described in section I.A.1, Background, which do not include medical treatment. Examples of registered nurse services are assessing a client's goals related to pain, depressive symptoms, medication use, strength, and balance, and facilitating communication with a primary care practitioner. v. Social worker services vi. Translation (Limited English Proficiency) services vii. Development of list of resources to refer the client to, which will address needs outside of the scope of this program viii. Any costs associated with providing a reasonable accommodation for a beneficiary with a disability or a potential beneficiary applying to participate in the program. ix. Any costs associated with ensuring effective communication with applicants and beneficiaries with visual, hearing, speech, and other communication -related disabilities. d. Home Modifications and Adaptive Equipment. Costs that are directly attributable to the implementation of recommended home modifications and adaptive equipment specified by the Occupational Therapist, OT Assistant, or Certified Aging in Place Specialist operating under the supervision of the OT based on the interview and assessment of the client and home environment. Examples of such costs may include but are not limited to the following: i. Procurement of equipment associated with the home modification. Equipment means tangible nonexpendable personal property charged directly to the grant, having a useful life of more than one year and an acquisition cost of $5,000 or less; however, procurement of equipment with unit cost in excess of $5,000 is allowable if prior written approval is obtained from HUD. ii. Procurement of adaptive equipment, materials, and supplies associated with the home modification. Materials and supplies are defined as tangible personal property other than equipment, costing less than $5,000. Materials and supplies 15 that are necessary to carry out the project are allowable as prescribed 2 CFR § 200.453. iii. Costs associated with making a specific home modification or adaptive equipment accessible for a beneficiary with a disability. e. Professional Development. Costs directly attributable to activities that are intended to improve the organization's ability to ensure high -quality program outcomes and to share information about the program with industry groups. Examples of such costs may include but are not limited to the following: i. Certification and/or training in aging in place or related areas, including travel costs and training fees ii. Peer group conference registration and travel (requires prior approval by HUD). 6.3. The signed Standard Form 425 Financial Status Report shall be submitted quarterly to the GTR via the HHGMS reporting system by attaching the report to the corresponding quarterly report as specified in Section II.38, Project Management System. A Final Report (along with a final Standard Form 425) is due no later than 120 days after the end of the period of performance. See Section II.10, Closeout, regarding the holdback of 5% 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 and match amounts). 7. Certifications and Assurances 7.1. 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 Form 424 (SF-424), Application for Federal Assistance b. Certification and Disclosure Form Regarding Lobbying (SF-LLL) c. Applicant/Recipient Disclosure Update Report (HUD-2880) d. Certification of Consistency with the Consolidated Plan (HUD-2991) 8. Prior Approval Requirements (Changes to Award Agreement) 8.1. In accordance with 2 CFR 200.308, as applicable, grantees/recipients and subgrantees must obtain prior approval from HUD whenever any changes are anticipated to include the following: a. Purchase of equipment over $5,000. b. Any revision of the scope or objectives of the project (e.g., change in the target area(s), intervention methods, institutional review board approval to be obtained, interim or final benchmarks, numbers of environmental 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. c. Any scope of work for a single unit projected to cost more than $5000 for modifications must receive prior approval in writing from the GTR. d. Request to extend the period of performance/availability of funds. e. Any revisions to the budget must be approved by the GTR. Budget revisions that are 10% or more of the total budget as last approved by HUD. f. Changes in the approved cost -sharing or matching provided by the Grantee. 16 g. Changes in key personnel as specified in an application or a grant award. h. Contracting out, sub -granting (if authorized by law), or otherwise obtaining the third party (e.g. vendors) to perform activities that are central to the purposes of the award i. Any international travel that is required to meet the goals and objectives of the grant. j. The transferring of a grant to another entity/organization, requires notifying the GTR for involvement in the transferring process. The Grantee must submit a request and receive written approval from the Grants Officer via a HUD 1044 amendment. Failure to receive written approval may result in sanctions, suspension, or termination of the grant. See Section II.43 and 46, Sanctions, Suspension, and Termination (For Cause). See OLHCHH Policy Guidance 2013-03 9. Closeout 9.1. The Grantee shall provide the closeout documentation to the GTR within 120 days after the end of the performance 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. Final Part 3 report from the Healthy Homes Grants Management System (HHGMS) on- line quarterly reporting system. d. Final Federal Financial Status Report (SF-425) e. The final invoice for incurred expenses (All budget expenses reported in the SF-425, LOCOS, and placed HHGMS must match before the grant can be closed out); and f. Final quarterly reporting into the Healthy Homes Grants Management System on-line quarterly reporting system (only if additional housing units were completed and cleared during the closeout period). g. Signed statement by the authorizing official that the HHGMS award page reflects all fiscal draws, balances, administrative burden, and benchmark counts that are claimed in the final report submitted, including confirmation if match commitment was met by listing the source and amount. 9.2. The grantee can use the online Section 3 Summary Reporting System at http://www.hud.gov/section3 to ensure that the form HUD-60002 is received by the appropriate HUD office on time. 9.3. HUD reserves the right to withhold five percent (5%) of the Federal award amount pending the receipt and approval of a Final Report (with supporting documentation). 9.4. HUD will notify the Grantee in writing when the Grant is closed. After the grant is closed the grantee must comply with 2 CFR §200.345 Post -closeout adjustments and continuing responsibilities". The Grantee has the following areas of continuing responsibility after closeout of award: a. Records and materials must be kept in a safe place and be accessible to HUD, auditors, and other government officials for at least 3 years from the date of submission of the final expenditure report. This requirement also extends to all sub-grants/sub-awards and subcontracts the Grantee has executed for over $10,000. b. Accountability for property continues if the Grantee holds the property, or for the period established by the award document. Disposal of property must be in accordance with 2 17 CFR §200.310-§200.316. See Section 37, Program income, regarding the use of those funds. c. The grantee must return any funds due to HUD as a result of later refunds, corrections, or other transactions including final indirect cost rate adjustments. d. Comply with 2 CFR Part 200 Subpart F Audit Requirements. e. Notification to the GTR and Grant Officer if at any time during the three years 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 or the address of the party retaining all records. See OLHCHH Policy Guidance 2020-06 10. Conduct of Work 10.1. During the period of performance of this grant, the GTR 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 and on -site monitoring within a reasonable timeframe (determined by the GTR or Grant Officer) may result in "High Risk" designation, suspension, or termination of the grant. See Section 45, Suspension, and Termination. 10.2. The Grantee or Subgrantee shall not engage in any unethical activities during the grant period of performance. If HUD decides that the Grantee or Subgrantee has engaged in unethical activities, the Grantee or Subgrantee will be subject to "High Risk" designation or suspension until the activities have ceased and assurance acceptable to HUD is given that no further activities will occur. HUD may also take enforcement action under 2 CFR §.200.339. 10.3. Mandatory Disclosure Requirements: The Grantee and Subgrantee must promptly disclose in writing to HUD, 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 §200.339. Actions taken are subject to Section 45, Suspension, and Termination. 11. Collection of Data 11.1. The collection of data from ten or more respondents and sponsored by HUD shall be subject to the Paperwork Reduction Act (44 U.S.C. 3501-3520). If a survey instrument for a collection of data sponsored by HUD 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 before the use of the survey instrument. Also, the approval time may considerably lengthen the time required for the completion of the proposed project. The Grantee should consider requiring the use of a survey or other information collection sponsored by HUD. The collection of data is deemed to be sponsored by HUD only under the following conditions (5 CFR 1320.3): a. The Grantee is conducting the collection of information at the specific request of HUD; or b. The terms and conditions of the grant require specific approval by HUD 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 HUD approval to do so, then HUD is not the 18 "sponsor" of the information collection. 11.2. The Grantee shall cooperate fully with any research or evaluation sponsored by HUD or another government 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 HUD. This also may include the compiling of certain and 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 https://www.hhs. og v/hipaa/index.html 12. Contact Information Updates 12.1. The Grantee must inform the GTR within 30 days of any changes in contact information, including the organization's name, address, telephone number, e-mail, and key personnel or authorized official change. 13. Copyrights 13.1. HUD reserves a royalty -free, nonexclusive, and irrevocable license to reproduce, publish, or otherwise use, and to authorize others to use for Federal government purposes: (a) the copyright in any work developed under this award, sub -award, or contract awarded under this grant; and (b) any rights of copyright to which a Grantee or subgrantee or a contractor purchases ownership with award funds. 13.2. 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 Work that will be posted on HUD's website must meet HUD's Web Publication Standards and Procedures_ 14. Direct Costs 14.1. Direct Costs as defined in 2 CFR §200.413 and 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, or that can be directly assigned to such activities relatively easily with a high degree of accuracy. 14.2. OLHCHH Policy Guidance, "PGI-2015-01-Clarification of Costs for LHRD and LBPHC Grant Programs," clarifies program costs, administrative costs, direct costs, and indirect costs for Lead -Based Paint Hazard Control (LBPHC) grants and Lead Hazard Reduction Demonstration (LHRD) Healthy Homes and Weatherization Cooperation Demonstration (HHWCD), Older Adult Home Modification Program (OAHMP), and Radon Testing and Mitigation in Public Housing (RTMPH grants. 15. Disputes 15.1. During the performance of the grant, disputes may arise between the Grantee and the GTR, or between the Grantee and the Grant Officer. If a dispute with the GTR arises, the Grantee may solicit the assistance of the Grant Officer in resolving the dispute, and/or may appeal the determination by the GTR to the Grant Officer. 19 15.2. If a dispute with the Grant Officer arises, or if the Grantee has appealed a decision by the GTR to the Grant Officer, the Grant Officer shall prepare a final decision, considering all facts and documentation presented. The decision shall be in writing to the Grantee. 15.3. If the Grantee disagrees with the final decision by the Grant Officer, the Grantee may appeal the decision to the Director, Grants Services Division, OLHCHH. If the Grantee disagrees with the appellate decision of the Director, Grants Services Division, the Grantee may appeal to the Deputy Director, OLHCHH. If the Grantee disagrees with the appellate decision of the Deputy Director, the Grantee may appeal to the Director, OLHCHH for a final decision 16. Estimated Cost and Payment — Line of Credit Control System (LOCCS) 16.1. The Grantee shall be reimbursed for allowable costs incurred in the performance of work under this grant in an amount not- to- exceed "Total HUD Amount" on the form HUD-1044. 16.2. Incurred costs approved by the GTR for reimbursement shall be reimbursed through eLOCCS. eLOCCS is accessed through the HUD internet portal called Secure Systems. To gain access to eLOCCS, Grantees must obtain a Secure System's User ID and password. The Secure System's User ID will be used to complete the HUD-27054E form that will be submitted to their Program Office. 16.3. All information needed to obtain a Secure System User ID and complete the eLOCCS registration process can be found at eLOCCS Access Guidelines for Grantees. 16.4. It is imperative that Grantees thoroughly review the eLOCCS Access Guidelines for Grantees. 16.5. Under IT Security guidelines, specifically the National Institute of Standards and Technology SP 800-53, users shall not share Secure Systems User IDs and Passwords. If User IDs are found to be shared, access will be terminated. 16.6. The Grantees (each new or reinstated user who need to access eLOCCS) will need to complete the LOCCS HUD-27054E form, have it notarized, and send the original HUD- 27054E LOCCS Access Authorization Form (with the original signature and notary seal) via U.S. Mail or Express Mail (preferred method) to the OLHCHH (Grant Officer) for review. 16.7. The Grant Officer will review the form and validate that the Grantee staff member is the correct individual accessing the grant, and program area requests are accurate. The Grant Officer signs and dates the HUD-27054E LOCCS Access Authorization Form acknowledging the review and authorization. The OLHCHH will then send the original LOCCS Access Authorization Form (with the original signature and notary seal) via U.S. Mail to the OCFO's Security office. Before receiving funds from HUD, the Grantee must designate a financial institution for HUD to make direct deposit payments through the ACH system. The Grantee must fill out the SF- 1199a along with a voided check or statement from their Financial Institution (on letterhead) and submit the form to the Grant Officer. 16.8. If the Grantee, during the performance of this grant, elects to designate a different financial institution for the receipt of any payments, notification of such change and the related information must be received by the Grant Officer at least 30 days before the date such 20 change is to become effective. 16.9. The Grantee shall submit to the GTR the original documents (voucher) related to reimbursements requested for work performed. The voucher shall be supported by a detailed breakdown of the cost(s) claimed. Grantees are to use the Part 3 — Financial Reporting Form in accordance with OLHCHH Policy Guidance PGI 2015-02, "Line of Credit Control System (eLOCCS) Reimbursement Procedures". Note: A grantee that has any questions, please contact your Grant Officer. 16.10. Funds advanced to the Grantee shall be maintained in an interest -bearing account. Any interest over $500.00 earned by the Grantee as a result of the advanced funds shall be promptly returned to HUD by check. All remittances shall be accomplished as follows: a. The check should be made out to the 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)). 16.11. State universities and hospitals shall comply with the Cash Management Improvement Act (CMIA, http://www.ftns.treas.gov/cmia/ as it pertains to interest). 17. Equipment 17.1. The following equipment is allowable, in accordance with the OLHCHH NOFO for the applicable grant program, to be acquired for the performance of this grant: a. XRF Instruments; X-Ray Fluorescence (XRF) instruments purchased with Federal funds for use in the OLHCHH Grant programs will remain the property of the Grantee under the conditions cited in 2 CFR §200.313, as applicable. b. 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). 18. Flow Down Provisions 18.1. If the Grantee sub -awards funds under this agreement with an entity to perform work 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 subgrantees or subrecipients comply with the requirements of the grant. 18.2. In accordance with 2 CFR §200.329, "Monitoring and Reporting Program Performance" Grantees are responsible for oversight of 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 21 §200.332 — "Requirements for Pass -Through Entities". 19. Single Audit Reporting Requirements Under 2 CFR Part 200, Subpart F — Audit Requirements, a Single or Program Specific Audit must be conducted each fiscal year for non-federal entities that expend more than $750,000 in federal 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 Risk" designation, suspended, or terminated for failing to submit the Single Audit Report. See section II.45, Suspension and Termination. The website for the Single Audit Report submission is https://harvester.census.gov/facweb/ 20. HUD's Right to Audit and Disallow Cost and Recover Funds 20.1. The Government reserves the right to recover and recapture any funds that were not expended in accordance with the terms and conditions of this agreement based upon HUD review, the final audit, a monitoring site visit, or any other special audits or reviews undertaken. HUD has the right to order a special audit, even if the Grantee's auditor or a cognizant agency for audit (2 CFR § 200.1) has already conducted one. 20.2. Access to Records of Grantees and Subgrantees — HUD, Inspectors General, the Comptroller General of the United States, and the pass -through entity, or any of their authorized representatives, shall have the right to access any books, documents, papers, or other records of Grantees and Subgrantees that are pertinent to the grant, to conduct audits, monitoring visits, and examinations. 20.3. Later Disallowances and Adjustments - the closeout of a grant does not affect: a. HUD's right to disallow costs and recover funds based on a later audit or another review (2 CFR §200.345). b. 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 §200.345). c. Record Retention and Access requirements in 2 CFR Part 200, Subpart D — Post Federal Award Requirements, §200.334-§200.337. d. Property management and disposition requirements in 2 CFR §200.310 — §200.316; and e. Audit requirements in CFR Part 200, Subpart F — Audit Requirements. f. The ability of HUD to make financial adjustments to a previously closed award such as resolving indirect cost payments and making final payments. 21. Incurrence of Costs The Grantee can incur costs for activities beginning on the period of performance start date on the form HUD-1044. Any costs incurred before the date are not allowable costs unless specifically authorized in writing by the Grant Officer with the concurrence of the GTR. 22. Indirect (F&A) Cost Rate 22.1. The Grantee may recover indirect costs in one of following manners: 22 a. To recover indirect costs related to Federal awards, organizations must negotiate an ICR with the cognizant federal agency for indirect costs and present the negotiated and active Indirect Cost Rate agreement to HUD. b. A recipient other than other than a State, Local, and Tribal governments may elect to utilize a 10% de minimis indirect cost rate of modified total direct costs (MTDC). This rate may be used indefinitely until they choose to negotiate for a rate. No documentation is required to justify the 10% de minimis rate. If they have a Federally negotiated ICR, they must utilize that rate. c. State, Local, and Tribal governments may elect to utilize a 10% de minimis indirect cost rate of modified total direct costs (MTDC) only if they receive less than $35 million in direct federal funding per year and they do not have a current negotiated rate (including provisional rate). No documentation is required to justify the 10% de minimis rate. If they receive less than $35 million in direct Federal funding per year and they have developed and maintain an indirect cost rate proposal, they may use that indirect cost rate. If they receive over $35 million in direct Federal funding per year they must obtain a negotiated indirect cost rate in order to recover indirect costs. 22.2. If the Grantee elects to use the 10% de minimis rate, this methodology must be used consistently for all Federal awards until the Grantee entity chooses to negotiate for a rate, which the Grantee may apply to do at any time. As described in 2 CFR §200.403, costs must be consistently charged as either indirect or direct costs but may not be double charged or inconsistently charged as both. 22.3. In Category 10, the Indirect Costs, on the HUD-424-CBW, the Grantee shall enter the federally negotiated indirect cost rate or the de minims rate of 10%. The Grantee must then apply the appropriate indirect cost rate and base (MTDC) to calculate the total estimated indirect cost for the grant. Therefore, in Category 10: Rate x Base = Estimated Cost. 23. Inspection and Acceptance Inspection, review, correction, and acceptance of all deliverables under this award shall be the responsibility of the GTR. 24. Key Personnel 24.1. Personnel specified as key personnel in the original grant application (HUD Form 96012) are essential to the work being performed hereunder. The Program Manager must commit at least 50% of their time to grant awards. Before 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 permit evaluation of the impact on the work effort and quality. 24.2. At a minimum, HUD requires a current resume detailing the individual's 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. The day-to-day Program Manager must be experienced in occupational therapy, housing rehabilitation, aging in place modifications, or other work related to the project. The Program Manager must have demonstrated project management experience and must dedicate at least 23 50 percent of his/her time for the proposed project. It is expected that the Program Manager and any support staff will have all necessary certifications and experience for the job descriptions for the position. 25. Liability Insurance 25.1. Costs of insurance required or approved and maintained, under 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. 25.2. Medical liability (malpractice) insurance as defined by 2 CFR §200.447, "Insurance and indemnification," is an allowable cost of Federal research programs only to the extent that the Federal research programs involve human subjects or training of participants in research techniques. Medical liability insurance costs must be treated as a direct cost and must be assigned to individual projects based on how the insurer allocates the risk to the population covered by the insurance. 26. Limitation on Consultant Payments 26.1. Consultants may not be paid or provided reimbursement for payment, whether retained by the federal government or the Grantee, at a rate more than the equivalent of General Schedule 15, Step 10 base pay rate for the current federal pay year in which the consultant performs services under the grant. a. Daily Pay Limitation: Consultants may not be paid for any 1 day an aggregate amount of pay that exceeds the daily rate for GS-15, step 10. A daily rate is computed by dividing the annual GS-15, step 10, base rate by 2,087 hours to find the hourly rate of pay and by multiplying the hourly rate by 8 hours. b. Biweekly Pay Limitation: Consultants may not be paid for any biweekly pay period an aggregate amount of pay that exceeds the daily rate for GS-15, step 10. The biweekly rate is computed by dividing the annual GS-15, step 10, base rate by 2,087 hours to find the hourly rate of pay and by multiplying the hourly rate by 80 hours. 26.2. Consultants retained for technical assistance on the grant must provide documentation that they are providing valuable and pertinent advice generally drawn from a high degree of broad administrative, professional, or technical knowledge or experience 27. Limitation Payments to Influence Certain Federal Transactions 31 U.S.C. § 1352 provides, in part, that no appropriated funds may be expended by the recipient of a Federal contract, grant, loan, or cooperative agreement to pay any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with any of the following covered Federal actions: the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. 28. Lobbying Activities Prohibition 24 The Grantee is subject to the provisions of section 319 of the Department of Interior and Related Agencies Appropriation Act for Fiscal Year 1991, 31 U.S.C. 1352 (the Byrd Amendment), implemented in HUD regulations at 24 CFR Part 87, and to the provisions of the Lobbying Disclosure Act of 1995, P.L. 104-65 (December 19, 1995). 29. Grant Deliverables 29.1. The Grantee shall complete and submit a final negotiated work plan, benchmarks (with Benchmark Standards -Form HUD 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 HUD 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 benchmark standards that will be provided by the Government Technical Representative (GTR) for the grant program as applicable. 29.2. 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. Benchmark 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 work; the selection process for subrecipients and vendors; the selection process for 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 the tasks are interdependent, the work plan and policy and procedures shall indicate how each interdependent task will provide needed inputs to the others. (See, also, Section II.38, Project Management System). 30. Order of Precedence 30.1. In the event of any inconsistency among any provisions of this grant, the following order of precedence shall apply: a. Constitution of the United States b. Federal Statutes c. Federal Regulation (including 2 CFR Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards) d. Executive Orders e. The applicable NOFO f. OLHCHH Grant Programs Policy Guidance (hltps://www.hud.jzoy/program_ offices/healthy homes/lbp//p ) and other OLHCHH policies g. Grant Agreement (form HUD-1044), including Terms and Conditions h. Special Conditions i. Management and Work Plan j. Grantee's Proposal (if incorporated, except for the Management and Work Plan see above) 31. Patent Rights (Small Business Firms and Nonprofit Organizations) 25 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 directed to the Government Technical Representative identified on the form HUD-1044 via email. 32. Period of Performance (POP) Extensions, Incurring Costs and Obligating Federal Funds 32.1. The Grantee shall complete all benchmark goals and objectives stipulated in this award agreement during the period of performance specified on the form HUD-1044, "Assistance Award/Amendment and Continuation Sheet. Grantees are to comply with the requirements of 2 CFR 200, Subpart E (Cost Principles) in charging costs to the grant. All obligations incurred under the award must be liquidated not later than 120 days after the end of the period of performance. The preparation of the final administrative and financial reports is to be completed within 120-days after the end of the period of performance. 32.2. The Grantee shall not incur costs or obligate funds for any purpose pertaining to the operation of the project, program, or activities beyond the period of performance end date stipulated in the award. The only costs which are authorized for a period of up to 120 days following the period of performance 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 Grant Officer. 32.3. 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 constitute authority to obligate funds for programmatic activities beyond the period of performance. 32.4. The OLHCHH has no obligation to provide any additional funding. Any amendment of the award to increase funding or extend the period of performance is at the sole discretion of the OLHCHH. 33. Pre -Award Costs Before the effective date of the Grant, a Grantee may, at its own risk, incur pre -award costs with the prior written approval of the Grant Officer with the concurrence of the GTR. Pre -award costs are those incurred before the effective date of the award directly according 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. 34. Profit No increment above cost shall be paid to the Grantee or any subgrantee or subrecipient under this award. Profit is unallowable. 35. Program 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 under 2 CFR Part 200 as applicable, 26 including 2 CFR §200.307. The program income must be used for the purposes and under the conditions of this award. If not contained in the Work Plan or under Special Conditions itemized in these provisions, before 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. 36. Program Services Model 36.1. The minimum requirements of the services to be provided by the grantee are detailed in NOFA (Grants.gov Opportunity #: FR-6400-N-69) in section III.F.14. 37. Project Management 37.1. Deliverables - The Grantee shall include a schedule listing all significant project benchmark 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 HUD-425. Upon approval of the work plan, the Grantee shall ensure all deliverables identified in the Work Plan and Benchmark schedule are delivered on time. 37.2. Quarterly Progress Reports - Quarterly reports will be due no later than January 30th, April 30th, July 30th, and October 30th, for the preceding quarter following the initiation of the grant through project close-out 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 an otherwise -closed HUD workday in Washington, DC, it shall be extended to the next Federal workday in Washington, DC, without affecting subsequent due dates. Quarterly reports must reflect activities undertaken, obstacles encountered, solutions achieved, and accomplishments in each calendar quarter. Also, a separate document illustrating the match contribution for each quarter is required (See Section 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 information shall be submitted with the quarterly reports as attachments. 37.1. Federal Financial Report (FFR) Standard Form 425 - Grantee shall submit an FFR for each grant quarterly. FFRs are due 30 days after the quarter ends. A final FFR shall be required after the award agreement and shall use the end date of the project or grant period as the reporting end date. Final reports shall be submitted no later than 120 days after the project or grant period end date. Extensions of reporting due dates may be approved by the GTR upon request of the recipient. 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 work plan with specific, time -phased, and realistic goals, objectives, and benchmark milestones established. Quarterly status reports that show progress and measure performance of the program in meeting approved work plan goals, objectives, and benchmark milestones shall be submitted. The reporting system utilizes quantifiable data and a narrative description of progress. The Grantee is advised that failure to submit timely quarterly progress reports will result in not having its "eLOCCS Request Voucher for Grant Payment" processed and/or approved for payment until the quarterly progress report is submitted to HUD. 27 37.2. Annual Reports - Race and Ethnic Data Reporting Form HUD-27061. The Race and Ethnic Data Reporting Form must be submitted annually by January 10. 37.3. Final Report - The Final Report shall summarize the applicant's 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 the applicant's work 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 HUD-1044. See section II.10, "Closeout" and "Policy Guidance Number 2020-06 - Closeout Procedures for OLHCHH Grantees." 38. Publications and News Releases 38.1. The results of work conducted under the award may be made available to the public through dedication, assignment by HUD, or other means, as HUD shall determine. All interim and final reports and any other specified deliverables shall be owned by the government and held for the benefit of the public which shall include the Grantee and the Grantee's subrecipients. 38.2. Interim and final reports may not be published by the recipient or any subrecipients participating in the work for sixty days (60) after acceptance of the deliverables by the GTR. 38.3. 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 work shall contain the following acknowledgment and disclaimer: "The work that provided the basis for this publication was supported by funding under an award with the U.S. Department of Housing and Urban Development. The substance and findings of the work are dedicated to the public. The author and publisher are solely responsible for the accuracy of the statements and interpretations contained in this publication. Such interpretations do not necessarily reflect the views of the Government." 38.4. Copies of all press releases, formal announcements, and other planned, written issuances containing news or information concerning work products or activities of this award that may be made by the recipient or its staff, or any subrecipient or other person or organization participating in the work 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 the release. 39. Release of Funds and Environmental Certification 39.1. Proposed projects involving repair or rehabilitation above the maintenance level require an environmental review by HUD. That environmental review includes consultation with the State Historic Preservation Officer and compliance with other federal environmental requirements listed at 24 CFR §50.4. Project implementation may be delayed 30 to 60 days, pending completion of the environmental review, and approval by HUD. To the greatest extent feasible, awardees of OAHMP should select the home modifications identified in the "maintenance" column of the table in Appendix B, Home Modifications/Repairs. Proposed projects that meet the definition of maintenance will not require an environmental review or approval by HUD, and the grantee may proceed with implementation. 28 39.2. Award of an FY2021 OLHCHH grant does not constitute approval of specific sites where activities that are subject to environmental review may be carried out. Recipients conducting eligible construction, rehabilitation, repair, weatherization, or related hazard remediation work must comply with 24 CFR Part 58, "Environmental Review Procedures for Entities Assuming HUD Environmental Responsibilities," or, if specified in the Notice of Funding Opportunity for the award, 24 CFR Part 50, "Environmental Assessment". Except when Part 50 is specified. 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. For the Healthy Homes Production grant program, 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 environmental review responsibilities. Should the responsible entity object to performing the environmental review, or the non -governmental recipient is unable to identify a responsible entity with whom they can partner to perform the environmental review, HUD may designate another responsible entity to perform the review or may perform the environmental review itself under the provision of 24 CFR Part 50. For Lead Hazard Reduction grant program recipients that are not States, units of general local government, or Native American Tribes, HUD will perform the environmental review. For all grants under the NOFO, recipients and other participants in the project are prohibited from undertaking, or committing or expending HUD or non -HUD funds (including match funds) on, a project or activities under the NOFO (other than activities listed in 24 CFR §§58.34, 58.35(b) or 58.22(f)) until the responsible entity completes an environmental review and the applicant submits and HUD approves a Request for the Release of Funds and the responsible entity's environmental certification (both on Form HUD-7015.15) or, in instances where HUD performs the environmental review under Part 50, HUD has completed the review and notified the grantee of its approval. The results of the environmental review may require that proposed activities be modified, or proposed sites rejected. 39.3. HUD 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 workers are qualified for the activities according to 24 CFR Part 35 (possessing certification as abatement contractors, risk assessors, inspectors, abatement workers, or sampling technicians, or others having been trained in a HUD -approved course in lead -safe work practices). Any additional funds requested by the Grantee shall be requested in accordance with Section II.17, "Estimated Cost and Payment - Line of Credit Control System (LOCCS)." 40. Review of Deliverables 40.1. Deliverables include, but are not limited to: a. All interim and final reports; b. Survey instruments required by the Management and Work Plan, if applicable; c. Other physical materials and products produced directly under the Management and Work Plan of this grant, if applicable; d. Match, in -kind and leverage commitments, if applicable. 40.2. The GTR shall be responsible for HUD 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 work 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 29 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: a. corrections of omissions or errors of fact, methodology, or analysis; b. deletion of irrelevant materials; and c. improvements in style readability. 41. Sanctions Failure to comply with the Federal statutes; regulations, including 2 CFR Part 200; or 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 reports 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 or terminating the Grant for non-performance as defined in Section 45, Suspension and Termination. HUD may take enforcement action under 2 CFR §200.339, as applicable. 42. Scope of Work The Grantee shall furnish the necessary personnel, materials, services, equipment, facilities (except as otherwise specified herein) and otherwise do all things necessary for or incidental to the performance of the work outlined in the Grantee's original/revised application under this NOFO as well as the subsequent Statement of Work / Management and Work Plan and Benchmark schedule. 43. Substantial Involvement 43.1. Anticipated substantial involvement by HUD staff for cooperative agreements may include but will not be limited to: a. Review and suggestion of amendments to the program design, including: selection of, and guidance in the use of, partners to encourage awareness of the program and enrollment in it by eligible families and contractors; techniques for addressing needs of older adults in urbanized areas and in rural communities; planning for and implementing collection and analysis of data on the benefits, if any, of the program for the older adults served by the program; collaboration with HUD's Office of Policy Development and Research (PD&R) on that Office's evaluation of the impact of the OAHMP, and any other HUD research on the program, in accordance with section III.17.20, Cooperation with Related Research and Evaluation. b. Review and provision of recommendations in response to quarterly progress reports and other information provided by the grantee or otherwise obtained by HUD, such as recommending amendments to the grantee's program design and/or implementation based on preliminary results. c. Review and provision of technical recommendations on the interim and final reports on the benefits, if any, of the program for the older adults served by the program. 44. Special Conditions 30 Special Conditions to this award are listed on the form HUD-1044 and/or its Continuation Sheets. 45. Suspension and Termination 45.1. 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 performance period when the Grantee and/or Subgrantee has failed to comply with the terms, conditions, standards, or provisions of this award, or if an award no longer effectuates the program goals or agency priorities. 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 §200.339 — §200.343. 45.2. Effects of Suspension and Termination - Costs of Grantee or Subgrantee resulting from obligations incurred by the Grantee or Subgrantee during a suspension or after the termination of an award are not allowable unless HUD expressly authorizes them in the notice of suspension or termination. Other Grantee or Subgrantee costs during suspension or after termination which are necessary and not reasonably avoidable are allowable if: a. The costs result from financial obligations which were properly incurred by the Grantee or Subgrantee before the effective date of suspension or termination, are not in anticipation of it; and b. The costs would be allowable if the award was not suspended or expired normally at the end of the period of performance in which the termination takes effect. 45.3. Relationship to debarment and suspension: The enforcement remedies identified in this section, including suspension and termination, do not preclude the Grantee or Subgrantee from being subject to "Debarment and Suspension" under Executive Orders 12549 and 12689, 2 CFR Part 180 as outlined in CFR §200.339. 31 APPENDIX 1 - LIST OF ACTIONS DUE Action Due Date (Deliverables maybe provided earlier) I Work plan, written policies and procedures, 60 days after the effective date of grant benchmarks, and revised budget with a breakdown of the match Request for Release of Funds and Certification 60 days after the effective date Institutional Review Board approval (if 120 days after the effective date applicable)/Approval of Request for Release of Funds and Certification Grant work/deliverables As per benchmarks following Institutional Review Board approval/Approval of Request for Release of Funds and Certification Quarterly Progress Reports with a separate 30 days after the quarter ends, i.e.: January 30, April 30, attached document illustrating match status and a July 30, October 30 current SF-425 FFATA sub -award Reporting System By the end of the month following the month in which he Grantee awards a sub -award greater than or equal to $30,000 Economic Opportunities for Low- and Very Low- Within 30 days of the end of the grantee fiscal year-end Income Persons (Section 3) Race and Ethnic Data Reporting January 10 annually Annual Single Audit Annually base on the Grantee's fiscal year Deliverables In accordance with the benchmark schedule The 90-day letter confirms all elements outlined in Due before the end of the period of he grant have been met performance. This will be sent to the grantee by the Grant Officer 90 days prior to the period of performance end date. Final Reports (programmatic and final SF 425) 120 days after the end of the period of performance (See Section 11. 9) 32 THE CTFY OF DUS E Masterpiece on the Mississippi RATING FACTOR 1: Capacity of the Applicant and Relevant Organizational Experience (1) The Capability and Qualifications of Key Personnel (See Resumes and Job Descriptions Attached). The Grants Project Manager (Program Manager) for this grant will be John Tharp (Resume See Attachment 3). He has been the program manager for an $8.5 million National Disaster Resiliency Grant awarded by HUD to improve the flood resiliency and rehabilitate over 300 individual homes of low -moderate income residence for the past 5-years. Many of these residents were elderly/disabled, and required home modifications to help them safely age in place. John has also been an essential employee the past 2-years, enabling the City of Dubuque to successfully administer a Lead Hazard Control Program. This position will be connecting the Occupational Therapist, Contractor and resident to ensure that safe and functional home modifications and repairs are carried out in a timely and compliant manner (Job Description see Attachment 4). An experienced financial specialist, LaMetra Murdock (Resume see Attachment 5), will prepare invoices and purchase orders for processing, followed by approval by the Department Director. The City's Finance Department processes the payments and will be in constant communication with the financial specialist and Program Manager. This position also completes all intake, income verifications, and schedules in -home assessments, as well as contractor and resident collaboration. Relocation activities will be completed as needed (Job Description see Attachment 6). LaMetra has 4-years of experience providing housing for senior residents and 18-years of experience with HUD grant administration. She possesses an additional 4-years of experience with financial management. Name & Title Description of Duties % Time John Tharp, HUD Contact, reporting, financial & performance tracking, 50% Grants Project LOCCS draws, work specification review, contract signing, Manager (PM) payment oversight, outreach & education, Section 3 LaMetra Waiting List management, application/intake, eligibility 15% (4 Murdock, Housing determination, file maintenance, document prep, relocation hrs/unit + Financial Specialist coordinator, scheduling, Section 3, Duplication of Benefits Admin Checks time) Michael Belmont, Review difficult layouts for accommodation, refer to/team 5% Asst. Director with other programs for larger modifications, construction compliance oversite Alexis Steger, Financial audits, compliance oversight, troubleshooting and 5% Director providing additional outside capacity/resources from City Departments The Assistant Housing and Community Development Director, Michael Belmont (Resume see Attachment 7), will provide oversight of modifications that may be unique or more difficult to accomplish based on the unique structures in the City of Dubuque. He will also refer modifications needed, that don't fit this grant model, to other programs available in the City to increase the chance of aging in place for any resident that applies for assistance. Michael 11Page THE CTFY OF DUS E Masterpiece on the Mississippi Belmont has 29 years of experience in design, planning, construction estimating, and construction/project management. Additional oversight will be provided by the Housing and Community Development Director Alexis Steger (Resume see Attachment 8) who has 6-years of experience in assisting the elderly through housing rehabilitation programs, ADA programs, assisted housing, and veteran's assistance. The Director is also a Certified Public Accountant with 8-years of experience with compliance and financial management of federal grants. Alexis also served on the Board of Directors for Luther Manor Communities, providing continuum of care options for seniors in the community. (2) Organizational Experience. The City of Dubuque has served as a Public Housing Authority for over 40 years and administers housing assistance of over $5,000,000 each year. The City of Dubuque serves homeless veterans, elderly/disabled residents and non -elderly disabled residents with special purpose vouchers. With these, the City provides additional services and works with partners to make physical accommodations to housing units for those aging in place. The City also provides project -based vouchers at the Rose of Dubuque, an assisted living facility providing continuum of care options for those 55 and older. These vouchers require an in -home evaluation (needs assessment) and the city partners with occupational therapy services for this evaluation. This program has assisted 17 residents each year for over 10 years. The City of Dubuque began the Lead Hazard and Control grant in 1997 and has remediated lead hazards in 1,280. With Dubuque being the oldest city in Iowa, the majority of housing stock was built prior to 1978. Furthermore, the housing stock is not built to sustain modernizing codes and safety regulations. Healthy Homes Rider funds are used in coordination with lead abatement activities to make homes safer and allow aging or health compromised individuals to live safely in their homes. The Home Advocate was introduced in conjunction with this grant in 2010 to offer additional support to individuals and families and offered community resources that would ensure long term success in their home. In 2016, the City of Dubuque was awarded $31.5 million in National Disaster Resiliency grant funds to modify homes of residents to increase resiliency, as well as update public infrastructure. This resiliency included modifications for health outcomes and the ability to age in place. Some of the modifications included sidewalk improvements, ramp installations, handrail installations, mold remediation, removal of trip hazards, installation of accessible (visual) smoke alarms/carbon monoxide detectors as well as many other improvements to prevent water intrusion. The City of Dubuque created a unique approach to home modification that assigned a Home Advocate to each resident that provided services for residents to become socially resilient. This unique approach identified services that can keep people in their homes, such as an occupational therapist, but more often they provided help finding primary care provider and transportation assistance. This has been a very successful grant, run by Program Manager John Tharp, with 255 persons experiencing positive health, economic, education, social, and built environment outcomes within 18-months of initial assessment (Home Advocate is assigned for 2 1 P a g e THE CTFY OF DUS E Masterpiece on the Mississippi 12-months of service). During the in -home assessments completed in this grant, it was identified that several residents plan to age in place and need assistance doing so safely. The City of Dubuque is a CDBG Entitlement Community and therefore receives funding to assist low -moderate income residents. For the past 20 years, the City of Dubuque has provided a homeowner rehabilitation program, in which the city funds and hires contractors to complete the rehabilitation of properties. The City added onto this program in 2002, to include a specific set - aside for an Accessibility Program that helps residents adapt their home to age in place. This program serves the non -elderly disabled and the elderly to complete in -home modifications. Inspectors are employed by the City of Dubuque with the training and expertise in ADA accommodations in single-family homes. They assist residents in identifying needs in the home, and then create the bid specifications for the program. The National Disaster Resiliency grant administered by the City of Dubuque has been in compliance and completed more units than originally estimated. With the extent of the modifications, the City of Dubuque was successful in completing full environmental reviews that required consultation with the State Historic Preservation Office and requirements from 24 CFR 50.4. The City of Dubuque is well trained in environmental reviews due to being a CDBG Entitlement City, administering Lead and Healthy Homes Grants and the National Disaster Resiliency grant. The Older Adult Home Modification Program focuses on maintenance/repair type activities that are exempt from extensive environmental reviews. The City of Dubuque has over 40 years of experience to help ensure activities are not delayed by exceeding the maintenance/repair thresholds for environmental reviews. As a Public Housing Authority, the City of Dubuque is also a Fair Housing Organization and is required to further fair housing. The City of Dubuque partners extensively with several organizations that further fair housing including the Human Rights Commission, the NAACP Friends of Fair Housing, and Iowa Legal Aid. The work with these partners focuses on higher level access for persons with disabilities, such as public infrastructure access, ADA enforcement and ensuring housing providers are providing fair opportunities to housing through fair marketing, advertising and reasonable accommodations. The City of Dubuque Human Rights Department provides training to housing providers on how to navigate reasonable accommodations. As a Fair Housing Organization, the City of Dubuque employs an expert in ADA and completes ADA enforcement in structures throughout the city. This inspector has worked with the Health Department and Housing Authority employees to monitor and inspect home modifications for ADA and aging in place. This ADA inspector also helps identify aging in place needs for individuals during complaint inspections, and refers them to grants available for modifications such as the CDBG Accessibility grant. (3) Partnerships. Being a government entity, partnerships are required for a more individualized and strategic approach to assisting residents. The City of Dubuque partners with many organization serving older adults such as the Department of Human Services, Medical Associates, MercyOne, 3 1 P a g e THE CTFY OF DUS E Masterpiece on the Mississippi Affordable Housing Network Inc., Hawkeye Area Community Action Program, and those detailed below, with funding and the labor capacity to serve residents. In 2015, the City of Dubuque partnered with the Hills and Dales Senior Center to expand the services/classes provided to seniors. Additionally, the target area of service was expanded by intentionally changing public transportation options for seniors to more readily access the senior center in 2016 and continues today. The Area Agency on Aging (named Scenic Valley Agency on Aging at that time) participated in the City of Dubuque transit action group in 2014 to help guide improved transit access for seniors. This led to a "call for service" route for seniors to get to medical appointments, provided by the City of Dubuque, known as the ADA ParaTransit Service. The City of Dubuque further expanded this program by partnering with DuRide, a non-profit partner, to provide door to door service for any senior who cannot or chooses not to drive. These services continue to provide transportation services to help seniors age in place. The City of Dubuque has served as the Public Housing Authority and Health Department for over 40 years, so continual policy review is completed in-house on how to better serve our aging population. Due to this continuous review, additional funding was provided for public sidewalk ramps, accessible bus stops, and individual home accessibility programs in 2012. These programs continue to be a focus of CDBG Entitlement funds allocated to the City of Dubuque to serve low -moderate income residents. Additionally, during this review the City of Dubuque identified a need for a First Responder Program that identifies needs in a home that required their services. First responders enter information into a database describing the need within a specific household, and this is then routed to those that are able to provide additional services for assistance, such as the Health Department, the Housing Department and the Recreation Division. Aging in place needs are often identified by the Fire Department during a medical call. This was implemented in 2015 and continues today. Although many non -profits and City partners serve the residents of Dubuque, in -home modifications for aging in place is a gap in the community. The City of Dubuque has the experience with in -home modifications to assist the elderly and will partner with an Occupational Therapist experienced in aging in place employed by Unified Therapy Services to successfully fill this gap. (4) Sub recipient and Sub grantee Unified Therapy Services, DUNS #804332661 Unified Therapy Services will enter into a Memorandum of Understanding with the City of Dubuque (Attachment 9 Draft MOU) to provide an Occupational Therapist to complete the in - home assessments and recommend modifications. Unified Therapy Services has over 30 employees and four clinic locations, and has been providing occupational therapy services since 2006 in the City of Dubuque. They are nationally and locally recognized for the quality of care 4 1 P a g e THE CTFY OF DUS E Masterpiece on the Mississippi they provide. The team at Unified Therapy Services consists of occupational and physical therapists, speech -language pathologists, physicians, medical professionals, and care staff. Specifically, for this grant, Unified Therapy Services will conduct an initial interview and in - home assessment with the client. This will be provided by an Occupational Therapist or an Occupational Therapists Assistant overseen by the Occupational Therapist. The initial interview and in -home assessment will include all care takers as they are available. This assessment will identify safety hazards, including the client's fall risk/functional abilities with ADLs and IADLs. The Occupational Therapist will create a work order for the contractor. The work will be prioritized by the Occupational Therapist and any additional guidance needed for contractors to complete the modifications to appropriately mitigate the safety hazards will be provided. The work will then be completed by a licensed contractor as required in the State of Iowa. The follow-up assessment and inspection will then be completed by the Occupational Therapist. This follow-up assessment will include education on how to safely use adaptive equipment. If any adjustments are needed, additional work orders will be provided by the Occupational Therapist to the contract for completion. Key Personnel with collectively over 20-years of experience in assisting adults: Margaret Brunworth OTR/L, Lisa Hemann OTR/L, Lauren Hoover OTR/L, Terese McMahon OT (5) Financial Capacity. The City of Dubuque has over $20 million in general fund, unassigned, reserves that are readily available for upfront funding to support this grant until reimbursement could be received (See Attachment 10 for Fund Balance Table from FY 2020 Audited Financials). RATING FACTOR 2: Program Strategy and Management (a)(1) Urban/rural area designation. The proposed target area is residential units in the City of Dubuque, Iowa. The City of Dubuque is an urbanized area. State County Place Component Component Component Component Component Compone Total Rural Urban Rural Urban nt Population Population Population Population Population Substantia Percentage Percentage lly Rural? Iowa Dubuque Dubuque 57,637 341 57,296 0.6% 99.4% No County city Total Total Rural Urban Rural Urban Substantia Target Population Population Population Population Population lly Rural? Area Percentage Percentage 57,637 341 57,296 0.6% 99.4% Not Substantial ly Rural 5 1 P a g e THE CTFY OF DUS E Masterpiece on the Mississippi (2) Within -target -area flexibility. The City of Dubuque is unable to work on homes in other urban/substantially rural areas due to the local funding support provided by other City departments to ensure the program viability. (b) Program Strategy. The City of Dubuque will market the program and accept voluntary applications for assistance. The financial specialist will provide assistance completing the application with residents as needed. This assistance can be provided in the residents' home or over the phone, whichever is preferred by the resident. The application will be processed to ensure the resident is eligible for the program, meeting the age and income requirements. Once approved, the program follows the model outlined in the NOFO as described below: Unified Therapy Services will conduct an initial interview and an in -home assessment with the client. This will be provided by an Occupational Therapist or an Occupational Therapists Assistant overseen by the Occupational Therapist. The initial interview and in -home assessment will include all care takers as they are available. This assessment will identify safety hazards, including the client's fall risk/functional abilities with ADLs and IADLs. This is highly individualized and modifications will not be restricted to the list provided, but to those that provide the safest environment for the resident; however, the standard list of improvements that could be made will be part of the checklist at assessment. Any work identified by the Occupational Therapist as necessary for the individual to age in place, but is outside the scope of work supported by the NOFA will be referred to a partnering department. The Occupational Therapist will create a work order for the contractor. The work will be prioritized by the Occupational Therapist and any additional guidance needed for contractors to complete the modifications to appropriately mitigate the safety hazards will be provided. The work will then be completed by a licensed contractor as required in the State of Iowa. The follow-up assessment and inspection will then be completed by the Occupational Therapist. This follow-up assessment will include education on how to safely use adaptive equipment. If any adjustments are needed, additional work orders will be provided by the Occupational Therapist to the contractor for completion. Unified Therapy Services will use a standardized testing assessment tool for each resident to ensure a complete evaluation. This assessment will not replace any home care visits or other services already ordered for the resident for skilled nursing needs, follow-up from a hospitalization or other similar need. The in -home assessment and work specifications will be completed within 2-weeks and provided to the contractor. The contractor and resident will have a two -week window to schedule the work to be completed, allowing the resident to choose convenient times to have the least family disruption. The contractor will also work with the resident to ensure work is completed by the end of the day to guarantee the continued safety in the home without relocation. Unified Therapy 6 1 P a g e THE CTFY OF DUS E Masterpiece on the Mississippi Services will conduct the follow-up assessment within one week of work being completed so residents understand how to safely use the new components of their home. The City of Dubuque is using the target area of the city limits. The city is home to 10,400 residents that are age 65 and older, and it was found during the National Disaster Resiliency Program that many are choosing to age in place as other living arrangements get more expensive. Seniors in our community often live on fixed incomes, and assisted living facilities often do not fit into their budget, therefore some people choose to stay in their home, but often many people must stay where they are because they cannot afford other arrangements. Our senior residents in Dubuque are finding it difficult with older housing stock to make their homes safe to be able to live in, because of their fixed budgets: hazards and safety upgrades often get placed at the end of the budget. Not only are monetary concerns part of the aging in place obstacle, but maintaining brain health for our Dubuque Seniors is a priority. Being able to remain in a cherished home environment is important for maintaining independence and dignity during senior years, aiding in continued positive brain health. Recruitment efforts will include news releases, radio ads, flyers distributed by the Public Housing Authority and other partners such as DHS, the Senior Center, Dubuque County Fairgrounds, Hawkeye Area Community Action Program, Food Banks, Veteran's Freedom Center, Northeast Iowa Area on Aging and Dubuque Area Labor Harvest. Additionally, program employees will participate in community events hosted by local organizations, disseminating information and outreach materials to community members. Events include: City Expo, Multicultural Family Center's Juneteenth, Downtown Neighborhood Associations Music in the Park, National Night Out, Homebuilders Expo, and more. An article about the program will also be featured in the City News that is disseminated to all utility billing customers in the City of Dubuque. The City of Dubuque expects to assist approximately 232 units with the following modifications expected to be most commonly employed based on the age of structures and ability to prevent falls/remove safety hazards: 1) Installing hand rails on steps to enter/exit home 2) Installing grab bars in bathroom 3) Installing a hand held or adjustable shower head 4) Installing toilet riser with handles or installing toilet safety frame or rails 5) Replacing doorknobs with lever style handles 6) Widening doorways to accommodate a walker or wheelchair 7) Repairing floor transitions so there is 0 height difference 8) Adding nonskid strips to tub and/or shower 9) Tub cuts to enable easy entry/conversion to shower 10) Replacing or adjusting position of bathroom accessories to meet client's needs 11) Moving light switches and electrical outlets where they are more accessible 12) Replacing light switches with safety and accessibility features such as glow in the dark, rocker -style switches, or other easy to function switches 7 1 P a g e THE CTFY OF DUS E Masterpiece on the Mississippi 13) Cleaning surface mold 14) Installing carbon monoxide alarms and additional smoke alarms (c) Client and Home Assessments. Two types of assessments will be completed during the in -home assessment. The first is related to the abilities and activities of the resident in their home. This assessment will include (among other things individual to the resident): • Balance ability during ADLs and fine motor activities • Any long-term or short-term injuries changing ADL • Visual/Perceptual abilities • Upper extremity range of motion, strength and endurance • Movements, obstacles and challenges experienced during ADLs in the home • Family/care giver interview attesting to the above This assessment will be guided by an Occupational Therapist using standardized assessment tools. A second assessment is focused on the structure of the home, and safety hazards that may be unrelated to aging in place, but are an essential piece to aging in place. The list of items to be checked is attached (Attachment 11 Checklist) and includes things such as carbon monoxide detectors, smoke alarms, sanitary conditions throughout, functioning doors, stair components in good repair, etc. (d) Number of Beneficiaries. The City of Dubuque expects to serve approximately 232 units with an average cost of $4,000 per unit. The City of Dubuque has an older housing stock, so it is expected that additional safety needs such as carbon monoxide alarms, emergency escape and rescue openings, installing handrails and moving electrical outlets will be needed in most homes based on building code at the time the homes were built. This will increase the cost per unit to ensure a whole -home safety approach. (e) Addressing Additional Needs of Clients. The City of Dubuque Housing and Community Development Department runs a homeowner rehabilitation program that will be used for clients that need more modifications than this grant can provide. The qualifications for that program are the same as this grant, so the applications will transfer and the resident will not need to complete paperwork a second time to participate in that program. Additionally, the City of Dubuque trains employees how to identify barriers that a resident may be experiencing and how to initiate a follow-up from other agencies based on that need. For example, the City of Dubuque partners with the Visiting Nurses Association and Crescent Community Health Center to set up a primary care provider, and helps address other medical needs. All referrals will be made by all persons employed in the grant (OT, Contractor, PM), to the financial specialist, who will in turn contact the proper agency for referral. 8 1 P a g e THE CTFY OF DUS E Masterpiece on the Mississippi The City of Dubuque is part of a coordinated entry system for the area that allows providers to share information and make referrals for assistance. This will be utilized when a direct referral that can be guided by employees already entrusted by the resident in this program, cannot be made. (f) Program Administration and Oversight. (i) Existing administrative capacity The Program Manager assigned to this grant is completing the National Disaster Resiliency grant in December of 2021; therefore, only completing closeout activities on that grant. This provides capacity to start a new federal grant, such as this one. The financial specialist has capacity to serve both the Lead and Healthy Homes Grant and this grant with the hiring of the second inspector on the Lead and Healthy Homes Grant in February 2021. The City of Dubuque has established departments that are built with capacity to support federal grants, and were expanded to support the National Disaster Resiliency grant in 2016. Although that grant is ending, this capacity will be maintained in the Public Information Office, the Information Services Department, the Finance/Budget Department and the City Manager's Office to continue to serve federal grants awarded. Computers and equipment exist for all employees of this grant, and all are trained in their use. The City of Dubuque has a Grant Accountant assigned to overseeing compliance and high level financial reporting for all federal/state grants. The City of Dubuque Housing and Community Development Department continuously receives federal funding through HUD (Lead and Healthy Homes, CDBG Entitlement, Section 8 Programs, CoC SNAP) and therefore the structure to support compliance has been in place for over 20 years. (ii) Expanding administrative capacity The City of Dubuque does not employ an Occupational Therapist; therefore, Unified Therapy Services will provide this additional capacity to serve residents. Additionally, a contractor must be hired to complete this grant (See Attachment 12 Organization Chart). No other administrative expansion will occur because of the National Disaster Resiliency grant ending and capacity being shifted to this grant. (iii) Flow of Funding Program funding for projects is expended as work is completed. A Payment Verification Packet is used by the Occupational Therapist to certify that each line item specified in the scope of work is completed using appropriate, quality materials prior to payment disbursement. Contractors request payment verification, then the approved work amount is invoiced from the contractor through the payment packet and the approved dollar amount of completed work is paid out. No payment to the contractor is made without the Occupational Therapist's approval. Contractors must obtain permits for any applicable work under City Building Codes; permits must be approved by a Building Inspector prior to final payment. Once modifications are completed, the financial specialist completes a 9 1 P a g e THE CTFY OF DUS E Masterpiece on the Mississippi close-out call with the resident to ensure all expectations were met and payment for the Occupational Therapist will be processed. The Project Manager (PM) is responsible for ensuring quality control of work and that work is completed by any sub recipients. An experienced financial specialist will prepare invoices and purchase orders followed by approval by the Program Manager and Department Director. This can occur as often as weekly if needed; however, based on the work in this grant, payments will often be processed monthly. The City's Finance Department processes the payments and are in constant communication with the financial specialist and PM. Expenses are reviewed monthly by the PM to ensure all are eligible and incurred by the grant Program. An expense spreadsheet is updated monthly with eligible Program expenses. The total expenses are then reviewed by a Director and a drawdown request will be submitted to HUD. When necessary or requested, copies of all invoices expended in the month are included in the drawdown request. (iv) Key Personnel, Staff, Procedures and EMS for proper oversight Key personnel listed in Rating Factor One will be managed by the Housing and Community Development Director, Alexis Steger, with additional oversight provided by the Assistant Housing and Community Development Director, Michael Belmont. Director — Alexis Steger will be responsible for the financial management of the grant. Alexis is a Certified Public Accountant and has completed the financial management of grants for the City of Dubuque since 2013. She is familiar with the administrative policies that align with federal grants, including procurement regulations. This oversight will be completed during quarterly reviews with the Project Manager regarding expenses, receipts, contract administration, and reporting. Additionally, the Director is responsible for all single audit compliance and timely responses. Implementation of recommendations from a single audit are made immediately and reported to HUD by the Director. Assistant -Director — Michael Belmont will be responsible for ensuring compliance with building codes and procurement requirements, as well as monitoring program progress and stated outcomes for modifications. This will be completed with one monthly meeting with the Program Manager, and spot checks on -site of 10% of units completed. Program Manager — John Tharp will be responsible for day-to-day monitoring of compliance requirements, such as processing purchase orders and contract administration in accordance with federal, state and local regulations. This includes serving as the contact for HUD for reporting requirements, questions and audit/monitoring activities. John will be responsible for ensuring expenses match actual work completed and that draws are submitted appropriately and timely. A summary of the responsibilities is listed in the following table: 101 Page THE CTFY OF DUS E Masterpiece on the Mississippi Name & Title Description of Duties for Oversight/Monitoring Alexis Steger, Financial audit and annual compliance oversight, quarterly Director report review, financial management of the grant Michael Review difficult layouts for accommodation, refer to team Belmont, with other programs for larger modifications, construction Asst. Director compliance oversite John Tharp, HUD Contact, reporting, financial & performance tracking, Grants Project draws review, work specification review, contract signing, Manager (PM) payment oversight, Section 3 Reporting, Environmental Review The City of Dubuque uses FinancePlus to track all expenditures, and the Finance Department assigns a unique project code to each grant, as well as a setting up a separate fund. Federal regulations are built into this system for processing payments, such as a SAM.gov check for all vendors/contractors for each payment. These systems of controls go through layers of approval and oversight from the Program Manager, Director and the Finance Department prior to releasing a payment. Reconciliations are required at fiscal yearend for each grant and single audits are provided by an outside accounting firm. Each unit assisted has its own project folder with a checklist of required items that must be complete prior to close out of each unit. These are reviewed monthly by the Program Manager and quarterly by the Director for completeness. These reviews include on -site visits from the Assistant Director and Program Manager to monitor Unified Therapy Services' contribution to the project was effective and complete. (g) Contractor Capacity. The City of Dubuque has been successful in training and certifying contractors to complete work in the lead program since 1997. The same efforts to recruit/retain contractors will be used with this grant, such as helping expand the contractor workforce by partnering with the local community college offering construction trades education, marketing the trades with the local high schools and promoting trades jobs with Iowa Workforce Development. The City continues their partnerships with local labor unions to identify areas of need, although currently the need has been identified as a greater workforce. The City of Dubuque has shown in the past 5 years that it can successfully recruit contractors to complete work per grant requirements by completing 125 units per year in the Lead and Healthy Homes grant and the Bee Branch Healthy Homes Grant, while maintaining full rehabilitation programs and initiatives rehabilitating 10-20 homes a year. Direct outreach to the HEART Program in the City of Dubuque to assess capacity to support this grant will be the priority approach to contracting for this grant, and the HEART Program will be used to complete this grant as long as capacity allows. This program currently partners with the City of Dubuque to provide high school students trade skills as an alternative to a traditional college pathway. The work is guided and overseen by a licensed contractor. This program has been extremely successful in helping youth and transforming City owned dilapidated homes into 111 Page THE CTFY OF DUS E Masterpiece on the Mississippi amazing homes for low income families. The HEART program recently expanded to provide this type of program to adults looking to increase their skills within construction trades. Should HEARTs capacity (due to COVID) be unable to support the grant immediately, the City of Dubuque will release a Request for Proposal to solicit one contractor to complete the entirety of the grant. This will ensure continuity, consistency and reliability for residents participating in the program. Section 3 contractors will be provided preference. The contractor will be required to participate in an onboarding process and training from Unified Therapy Services to ensure a proper approach to interacting with older adults, care givers and family. The contractor will be licensed, bonded and insured in accordance with state and local requirements. A warranty period of one year will be required for all modifications. These stipulations will be requirements of the request for proposal to hire a contractor for the grant, or within the agreement with HEART. (h) Sustainability. Although there are many non -profits in Dubuque, the 62 and older population wanting to age in place is underserved. The Agency for Aging has a small regional office that is often un-staffed, the Department of Human Services went to a regional model, mainly providing children services in the City, and very few elderly services. COVID has crippled organizations that served the elderly, since service became dangerous to that population. Community improvements and funding in the past 8-years has focused on racial equity, access to childcare, employment and education opportunities. The population in Dubuque is aging with the Boomer Generation aging out of the workforce, and being able to safely age in place is essential in supporting this population in the future. Although assisted living is available in Dubuque, it is expensive, has long waiting lists, and takes residents out of the home they raised a family in. This grant will help bring the focus to this population through the formation of partnerships. The City of Dubuque helps drive the focus of non -profits through partnerships, so building capacity with this grant will increase capacity of non -profits to serve this population. Additional opportunities for public input into community strategies will be sought from those served in the grant, for inclusion in long-term planning documents of the City. The City of Dubuque also continues to adapt Community Development Block Grants to the needs of the community. As more of the aging in place needs go unmet at the end of this grant period, CDBG programs will be developed to continue the efforts of this grant. In the last 6 months of the grant, the Community Development Advisory Commission will be provided with the outcomes of this grant. The Commission at that time will be asked to adopt a program to continue the direct service efforts of this grant in a smaller scale to keep the focus on this population throughout the community. (i) Project timeline. The following schedule will guide the success of this grant. Meeting milestones will be important to successfully completing all units proposed to be assisted and helps keep workloads consistent throughout the grant. The schedule reflects the initial marketing time when a new grant produces fewer units as they ramp up interest and qualify participants. This "ramp -up" 121 Page THE CTFY OF DUS E Masterpiece on the Mississippi stage usually takes the City of Dubuque one quarter, and then the second quarter sees a little less production than following quarters of the grant based on continued marketing efforts needed. By the third quarter, the City of Dubuque expects to have a waiting list established for units that can be assisted with the grant funds that can support a steady unit production for the remainder of the grant. Quarter Ending Units Complete Total Grant Expenditures September 2021 0 $20,400 December 2021 15 $108,300 March 2022 38 $232,200 June 2022 61 $356,100 September 2022 84 $480,000 December 2022 107 $603,900 March 2023 130 $727,800 June 2023 153 $851,700 September 2023 176 $975,600 December 2023 199 $1,099,500 March 2024 222 $1,223,400 June 2024 232 $1,289,016 RATING FACTOR 3: Budget Proposal (a) Budget Justification Narrative Basic Table of Costs (See Attachment 13 for HUD_424_CBW): Item Direct Project Cost Admin Cost Match Direct Labor for 36 months (PM, FS, Director) $65,069 $80,914 $30,246 Fringe Benefits for Direct Labor (29% Rate) $16,681 $25,654 $8,771 Travel (Local) $580 Travel (Training) $1,000 Office Supplies $500 Consultant (Occupational Therapist) $116,000 Home Modifications (Construction/Contractor) $928,000 Other Direct Costs (Postage, Copying, Printing, Telephone, Advertising, Audit, No Travel Training) $15,602 Totals $1,126,330 $123,670 $39,017 % of Grant ($1,250,000) 90.1% 9.9% (i) Plan for Applicable Costs The City of Dubuque does not have an established indirect rate for federal grants and therefore all costs associated with the grant are direct costs. Indirect costs such as Finance Department, Health Department and other employee contributions are funded by local contributions and are part of the capacity the City of Dubuque has built over time to support these grant efforts. 131Page THE CTFY OF DUS E Masterpiece on the Mississippi Direct Labor is the only category in the budget that is split between direct project expenses and administrative expenses. The Direct Labor charges to admin support the efforts required for reporting to HUD, processing and monitoring payments to contractors, and supplies needed to support those activities. Although some of the administrative costs can be directly correlated to the modification of the home, such as mailing application materials to a resident, it is not feasible to track this per project and is therefore an administrative charge. Additional Direct Labor due to oversight is being provided as a local match in the amount of $39,017, allowing for the maximum amount of administrative support for residents to access this program. The Program Manager salary is listed at $39.48/hr for 3,120 hours and the Financial Specialist is $24.39/hr for 935 hours as is the current salaries with average with cost of living adjustments over two years (current plus two increase). It is anticipated that administrative costs will account for approximately 65% of all Direct Labor. Travel is budgeted in three separate categories; the first supports local mileage to and from project sites for 1,000 total miles at $.58/mile, the second supports travel to required trainings for grant staff, and the third is allocated to virtual trainings. Virtual trainings are anticipated due to COVID. The travel for training estimate is for 3 trainings for 2 employees over 36 months for $2,700. Telephone, Copying, Printing, Postage and Office Supplies that directly support this program are budgeted for $16,102. These supplies are specific to this grant and therefore charged as administrative expenses. Computers and software access are not charged to the grant as they remain the property of the City of Dubuque before and after the grant. The Consultant Services budget provides for the cost of an Occupational Therapist from Unified Therapy Services. It is estimate in the draft MOU that an average unit will cost $500 for these services for 232 units. No relocation expenses are expected with this grant. Construction Services includes the labor and materials for unit modifications in 232 units, estimated at an average cost of $4,000 per unit. Additional other direct costs include audit fees for $2,550 to support a single audit and advertising/outreach of $82 per month for 36 months. (ii) Ensure Maximum Number of Homes Modified The City of Dubuque will ensure the maximum number of homes can be modified by support grant oversight with local funds, including indirect costs incurred. Budgets for travel and training in grants is also often significant with office supplies; however, the grant model being proposed ensures direct assistance in the home is completed by an already certified individual reducing this need. (iii) Justification of Funds The Program Manager and Financial Specialist are allocated to support 13 hours per unit and 4 hours per unit respectively. Income verifications for the elderly average 1 hour, and the remaining 3 hours for the Financial Specialist are spent on outreach, application, 141 Page THE CTFY OF DUS E Masterpiece on the Mississippi environmental reviews (Exempt), scheduling, documentation, payments and close out of each project. The hours for the Program Manager are allocated for an hour on -site visit per home, monthly and quarterly reporting requirements, Section 3 monitoring, Contract administration, coordination, and full grant close out activities. The proposed budget for Direct Labor was kept to a minimum since the Occupational Therapist and Contractor will be able to complete the majority of the direct services needed. Supplies and other direct costs are also kept to a minimum required to be successful and capacity is built with indirect cost contributions from the local capacity. These costs include advertising for $2,952 over 36 months, printing of flyers, manuals and applications for $720, copying services for $720 to copy required resident documents supplied and shipping and postage for $4,800 for outreach mailers. (b) Fiscal Oversight and Financing Strategy Narrative. These home modifications will be provided to residents as grants, with income verified to HUD income guidelines (See Attachment 14 for Current Dubuque Income Limits). Residents must be age 62 or older and income qualify. The person must own the home being modified or be a documented family member of the owner of the home to qualify. The maximum assistance that will be provided will be $5,000 per unit and modifications are limited to those that are exempt from environmental review unless special circumstances arise and a designated three -person committee agrees to those special circumstances. The Program Manager will be responsible for establishing and administering the fiscal aspects of the program, including bidding, procurement and contracting modification work. Many of these aspects are already established at the City of Dubuque in the Administrative Policies per federal regulations. The Director will be responsible for overseeing/monitoring these fiscal aspects. Cost reasonableness is employed when completing bid specifications for modifications of homes. To mitigate fluctuations of costs in this area, the City of Dubuque will contract with one entity to complete the construction for the entire grant. The costs established in that contract will be vetted against recent bids received from Lead and Healthy Homes and the National Disaster Resiliency projects. Other Factors Section 3 This grant will provide preference for Section 3 contractors and those that employ Section 3 employees for the construction contract. Additionally, the HEART program provides training for Section 3 residents in the trades fields. Section 3 contractors are required to register with the State of Iowa, or claim status when bidding the project. The Section 3 income limits will be used and pay will be tracked per regulations throughout the contract by the Program Manager. This will be reported to HUD as required. Preference Points: Opportunity Zones (OZ) Certification Attached. 151Page