HomeMy WebLinkAboutAUGUSTA HUD AGREEMENT e
s
Assistance AWer� U.S. Department of Housing
Ameadmeni aad Urban Developroent
Office of Administration
1. Assiscance Insorumrnt 2. Type of Action
Cooperative Agreement ❑ Grant pW�d ❑ Amendment
3. Tnstrumcn� Number 4. Amendment IVumber 5. Effective Date of this Action 6. Controt Number
CCPGA0031-10 Februa 28 2011
7. Name and Address of Recipient 8. HUD Administaing OPfia
Augnsta, Georgia HUD, Offict of Sustairtablc Housing and Communities
530 Greene Street, Room 801 451 Seventh Street, SW
Augusta, GA: Georgia 30901 •5867 Room 10180
Washington, DC 20410
PFane:(706) 821-1796
Fax:(706) 821-1806
8a Name of Administrator 86. Telephone Number
Zul�ika K. Morales-Romero 242-402-7683
] 0. Recipient Project Manager 9. HUD Govanment Technical Representative
Paul DeCam . Plannin Director 3waree Marshall 202�02-b011 Sunaree.K.Marshall c�hud. ov
11. Assistance Arrangement 12. Payment Method 13. HUD Payment Office
� Cost Reimbursrment ❑ Trcasury Check Reimbursement 801 Cherry Street
❑ Cost Sharing ❑ Advar+ce Check Unit #45, 5uite 250(i
Fixed Price Fort Wocth, TX 76102
� Automated Clearing Nouse
I 4. Assistance Amount 1 S. HUD Accounting and Appropriation Data
Previous HUD Amount S 0.00 ISa. Appropriation Number ISb. Reservation Number
HUD Amoutu thic action $ 893,769.00 860/20162
Total HUD Amount S 893 769.00 Amount Previousl Obli ated $ O,pp
Reci ient Amount S 320 191.00 Obli ated b this action $ 893,769.00
Toeal lnstrument Amount S 1,213,960.00 Total Obli ted $ 893,7b9.00
16. Description
Emplayer ldentification I�Iumber: 58-2204274 Program: Communiry Challenga Planning Grant
This instrument sets for the agreement betwan the parties as to all terms and conditions, amoun►s, tasks, and period of performance. By
signing this award docummt, the Grentet certifies that it is in compliance with all administrative and financial pravisions of this award. This
grant instrument consisls of the following, some of which aro inwrporated by referencc.
]. HUD-104A and NUD-1044 Continuation S6eets
2. Grnat Agreement Terms snd Coadltiona
3. HUD 424-CBW, Total Budget Summary
4. Gnnt Deliverables (See HUD 1044 Continuallon Sheeta)
5. Work PIan/Logle Modd (Tasks wit6la Work Ptan are constdered deliverabla)
6. OM8 Circultr A-87, A-I33 and A-102, whlch is incorporated at 24 CFR Part BS
7. Notice of Funding AvrilabDity (Federal RegisterNol. 75. 121/ page 36246, Dock No. FR-5415-N-12)
Period of Performance is from l�ebrusry ZS, 2011 to February 27, 2014 (36 months)
17. Recipient is required to sign and retum three (3) copies of 18. Recipient is not required to sign thi d cument.
this documrnt to the HUD Administaing Of�ice.
19. Recipient (By Name}; 20. HW (By Name):
Deke Copenhaver Zuleika Morales-Romero .
Signature & i Da • Signattire & Tide Da :
A� �� Mayor ��, Z�L�� � Granu and Budget Division Director T,t,� h
�� u 1 ,Previous editionc are o solete fortn HUD 044 /90)
''� �`}� � ref. Nandbook 2Z 10. I 7
HUD 1044 CONTINUATION SHEET — PAGE 2
INSTRIJMENT NO: CCPGA003 ] -1 0
1. BUDGET
Match/Leverage
Budget HUD Amount Amount
Direct Labor 0 $0.00
Fringe Benefits 0 $0.00
Travel 0 $0.00
Equipment 0 $0.00
Supplies/Materials 0 $0.00
Consultants $893,769.00 $320,191.00
Contracts 0 $0.00
Construction 0 $0.00
Other Direct Cost 0 $0.00
Indirect Cost 0 $0.00
Total $893,769.00 $320,191.00
If'the grantee's match/leverage contribution is less than $320,191.00, the Govemment reserves the right to
negotiate new line items and/or amounts to satisfy the grantee's requirement, or to reduce the
Government's share proportionally. The grantee shall notify HUD at any time it believes it will not meet
its match requiremenl. In addition, the grantee shall obtain ]3UD approval regarding any changes
concerning the intended use of matching funds. If the grantee exceeds the dollar amount shown above,
there will be no impact on the Federal share.
2. AMOUNT OF COST SHARE
The estimated cost for the performance of this grant is �1,213,960.00. HUD shall not be obligated to
reimburse Augusta Georgia in excess of $893,769.00. The Grantee agrees to bear without
reimbursement from HUD $320,191.00 of the total costs. However, in the event that the Grantee incurs
cost in excess of the total estimated project cost of $1,213,960.00; all such excess costs shall be bome
entirely by the Grantee.
3. DELNERABLES IN ACCORDANCE WITH THE NOFA AND APPROVED WORK PLAN
AND LOGIC MODEL
A) Final and approved workplan (60 days after the effective date of the award)
B) Logic Model (60 days after the effective date of the award)
C) Priority Development District Plan (13 - 15�months)
D) Action Plan(s) for selected neighborhoods (14 - 16 months)
E) Regulations, codes, ordinances & Green Building Policy (12-14 months)
F) Comprehensive Land Acquisition Plan (24 - 26 months)
G) Commitment to participate in performance measurement and evaluation conducted by third
party.
4. INDIRECT COST RATE
N/A
HUD 1044 CONTINUATION SHEET — PAGE 3
Note: Grantee has agreed to process an indirect cost rate following HUD's procedures and
process should begin no later than 90 days of the execution of this grant agreement.
5• KEY PERSONNEL
Name Title % of time on the rant
N/A N/A N/A
6. PER10D OF PERFORMANCE
36 months
7. AUDTT INFORMATION
Augusta, Georgia submitted an audit report conducted by Cherry, Bekaert, and Holland, LLP for
the year ending December 3l , 2009. The audit report attests to "Augusta, Georgia" practice of
generally accepted accounting principles and compliance with laws and regulations relating to
govemment auditing standards. The intemal control structure has been reviewed in accordance
with OMB Circular A-] 33 and found to be in non-compliance with requirements that are
applicable to certain of its major federal programs. Augusta, Georgia has take comective actions
to address these findings and I�LTD will follow-up with the next audit report to ensure the
corrective action plan has been implemented.
S. SPECIAL CONDITION
Augusta, Georgia must take corrective actions to address the findings from the audit report for the
year ending December 31, 2009, as outlined in their CorTective Action Plan.
U.S. Department of Housing and Urban Development
Office of Sustainable Housing And Communities
COOPERATIVE AGREEMENT PROVISIONS
TABLE OF CONTENTS
L GENERAL
• Overview of Award Implementation
• Purpose
• Definitions
II. PROGRAM REQUIREMENTS
� Allowable Costs
• Administrative Requirements
• Advance Payrnent by Treasury Check or Electronic Funds Transfer
• Amendments
• Amount of Cost Share (Estimated Cost and Payment — Leveraging)
• Budget
� Central Contractor Registration (CCR)
• Certifications and Assurances
• Changes
• Closeout
� • Collection of Data
• Compliance with the Federal Funding Accountability and Transparency Act of 2006
(Pub. L. 109-282) (Transparency Act)
• Conduct of Work
• Confidentiality
• Consortia Agreement
• Contact Information Updates
• Copyrights
• Default and Disputes
• Deliverable Products
• DUNS Number (Dun and Bradstreet Data Universal Numbering System)
• Environmental Review
• Equipment
• Estimated Cost and Payment - Line of Credit Control System (LOCCS)
• Fair Housing and Civil Rights Laws
• Flow Down Provisions
• HUD's Right to Audit and Disallow and Recover Funds
• HUD's Substantial Involvement
• Incurrence of Costs
• Indirect Costs
• Inspection and Acceptance
• Inspector General Referrals
_ . _
HUD OSHC Terms and Conditions for FY 2010 NOFA 2
• Limitation of Consultant Payments
• Limitation on Payments to Influence Certain Federal Transactions
• Lobbying Activities Prohibition
• Management and Work Plan
� Monitoring
• Order of Precedence
• Patent Rights (Small Business Firms and Nonprofit Organizations)
• Period of Performance and Extensions and Incurring Costs or Obligating Federal
Funds Beyond the Expiration Date
• Personnel
• Profit/Fee
• Program Income
• Prohibited Use of Funds
• Publications and News Releases
• Reporting
• Reproduction of Reports
• Review of Deliverables
• Scope of Services
• Single Audit Transparency Transactions Listed in Schedule of Expenditures of
Federal Awards and Recipient Responsibilities for Informing Sub-recipients.
• Special Conditions
° • Sub-recipient Monitoring and Management
• Whistleblower Protection
HUD OSHC Terms and Conditions for FY 2010 NOFA 3
I. GENERAL
Overview of Award Implementation
This cooperative agreemenUgrant (also referred to as Agreement) is between the Grantee
(Recipient) identified in Block 7 of the form HUD-1044, and the U.S. Department of Housing
and Urban Development. The award agreement consists of the form HUD-1044, any special
conditions, and these Cooperative Agreement Terms and Conditions.
In signing this Agreement, the Grantee agrees to comply with all the requirements and
conditions contained herein.
The provisions of the Notice of Funding Availability (NOFA) are hereby incorporated
into this Agreement.
The Grantee's rights under this Agreement may not be assigned without the prior written
approval of HUD.
The Grantee shall complete and submit a revised management and work plan with Logic
1VIode1, Deliverables/Outcomes and Budget within 60 calendar days after the effective date of the
grant. These revisions shall update the general/basic plan submitted with the proposal and
include any changes to the proposed work plan, budget, performance measures and deliverables,
negotiated between HUD and the grantee. These revisions should be developed according to the
instructions provided by the HUD Government Technical Representative identified on the form
HUD-1044. Should you not address these specific issues, your grant may be terminated on the
basis of failure to conclude negotiations or to provide HUD with requested information, in
accordance with the General Section of the NOFA for which you applied.
Pur ose
The purpose of this Agreement is as stated in the "Purpose of the Program" section of the
NOFA.
Definitions
"Cooperative Agreement" means an agreement in which the Federal Government
provides funding authorized by public statute where the government plays a substantial role in
assisting the funding recipient.
"Equipment" means tangible, non-expendable, personal property having a useful life of
more than one year and an acquisition cost of $5,000 or more per unit. A grantee may use its
own definition of equipment provided that such definition would at least include all equipment
defined above.
HUD OSHC Terms and Conditions for FY 2010 NOFA 4
"Grant/Cooperative Officer" (Grant Officer) means the HUD individual who is
responsible for processing and executing grant award, change in key personnel, change of scope,
budget transfers, change of period of performance, and other administrative changes that would
require a modification to the agreement. This term also refers to designated HUD Officials
authorized to execute and/or administer this grant.
"Government Technical Representative (GTR)" means the HUD individual who is
responsible for the technical administration of the grant, the evaluation of performance under the
grant, the acceptance of technical reports or projects, and other such specific responsibilities as
may be stipulated in the grant.
"Government Technical Monitor (GTM)" means the individual responsible for assisting a
Government Technical Representative (GTR) in the latter's performance of his/her duties. The
GTM is also the responsible individual that will comply with the Office of Sustainable Housing
and Communities devolution of authority under our Continuity of Operations Plan (COOP).
Should the National Capital Region become non-operational due to emergency conditions, the
approval of vouchers and the authority to pay vouchers will transfer to the GTM until such time
as the designation is lifted. The Government Technical Representative (GTR) will continue to
be the point of contact for day-to-day management issues and responsibilities described above.
In a state of emergency, HUD reserves the right to designate a GTR for COOP purposes.
"Grantee" as used herein refers to the recipient of this cooperative agreement.
"NOFA" means the Notice of Funding Availability, which announced the availability of
funding for this grant.
"OSHC" means the HUD Office of Sustainable Housing and Communities, or its
successor Office, if any.
"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.
"Recipient" means any entity other than an individual that received grant funds in the
form of a grant, cooperative agreement or loan directly from the Federal government.
"Subaward" means:
1. A legal instrument to provide support far the performance of any portion of
the substantive project or program for which the recipient received this award
and that:
a. The recipient awards to an eligible sub-recipient; or
b. The sub-recipient at one tier awards to a sub-recipient at the next lower
tier.
2. The term does not include the recipient's procurement of property and services
needed to carry out the project or program (see, generally, §_.210 of the
HUD OSHC Terms and Conditions for FY 2010 NOFA 5
attachment to OMB Circular A-133 (2 CFR Part 180), "Audits of States, Local
Governments, and Non-Profit Organizations").
3. A subaward may be provided through any legal agreement, including an
agreement that the recipient or a sub-recipient considers a contract.
"Sub-recipient" means a non-Federal entity that expends Federal awards received from a
pass-through entity to carry out a Federal program, but does not include an individual that is a
beneficiary to such a program. The sub-recipient may also be a recipient of other Federal awards
directly from the Federal awarding agency. Guidance on distinguishing between a sub-recipient
and a vendor is provided in §_.210 of OMB Circular A-133 (2 CFR Part 180).
"Total Instrument Amount" is the amount under line item 14 of the HUD Form-1044
(Total Instrument Amount).
"Work Plan" refers to the Grantee's plan for addressing a specific service delivery need,
and consists of designated work activities including tasks and subtasks as required by the
program office; a timeline for completing the work; performance measures; outputs and
outcomes identified to achieve the performance measures/goals; budget; and resources
designated to complete the work.
IL PROGRAM REQUIREMENTS
Allowable Costs
This is a cost reimbursement award; the Grantee shall be reimbursed for certain costs, as
described below, incurred in the performance of work in an amount not to exceed the obligated
amount shown in block 15 on the Assistance Award Form (form HUD-1044). In the event the
Grantee incurs costs in excess of 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 are determined by the GTR and the Grant Officer to be allowable, allocable, and
reasonable in accordance with applicable Federal cost principles as follows:
HUD OSHC Terms and Conditions for FY 2010 NOFA 6
Cost Principles for State, OMB Circular Relocated to 2 CFR, Part 225;
Local, and Indian Tribal A-87 http://www.whitehouse.gov/omb/circulars/a
Governments 087/a87 2004.htm1
Cost Principles for Non- OMB Circular Relocated to 2 CFR, Part 230;
profit Organizations A-122 http://www.whitehouse.gov/omb/fedreg/200
5/083105 a122. df
Cost Principles for OMB Circular Relocated to 2 CFR, Part 220;
EducationalInstitutions A-21 http://www.whitehouse.gov/omb/fedreg/200
5/083105 a21. df
Uniform Administrative OMB Circular Relocated to 2 CFR Part 215;
Requirements for Grants A-110 http://www.whitehouse.gov/omb/fedreg/200
and Other Agreements 5/083105_a110.pdf
with Institutions of
Higher Education,
Hospitals and Other
Non-Profit
Organizations
Audits of States, Local OMB Circular Relocated to 2 CFR Part 180;
Governments, and Non- A-133
Profit Organizations http://www.whitehouse.gov/omb/fedreg/200
5/083105 a133. df
Cost Principles for Federal http://www.access.gpo.gov/cgi-
CommerciaUFor-profits Acquisition bin/cfrassemble.cgi?tit1e=200948
Regulations at
48 CFR Part 31.2
Direct Costs are the allocable portion of allowable costs incurred directly for the purposes
of the grant. Detailed explanations of direct costs are provided in applicable OMB Circulars (A-
21 (2 CFR Part 220),• Cost Principles for Educational Institutions, A-87 (2 CFR Part 225), Cost
Principles for State, Local, and Indian Tribal Governments, or A-122 (2 CFR Part 230), Cost
Principles for Nonprofit Organizations, as applicable) that can be accessed at the White House
website, www.whitehouse.gov/omb/circulars_default
Administrative Requirements
For non-profits, awards will be governed by:
• 24 CFR Part 84, Uniform Administrative Requirements for Grants and Agreements with
Institutions of Higher Education, Hospitals, and Other Non-Profit Organizations
http://ecfr.poaccess.gov/cgi/Utext/text-
idx?c=ecfr&sid=a0f201e9fd6fec5af8e07d6e0eedf�57&rgn=div5&view=text&node=24:1 �
.1.1.1.38&idno=24
• OMB Circular A-133 (2 CFR Part 180), Audits of States, Local Governments, and Non-
Profit Organizations; and
• These grant provisions.
HUD OSHC Terms and Conditions for FY 2010 NOFA 7
For State and local governments, awards will be governed by:
• 24 CFR Part 85, Administrative Requirements for Grants and Cooperative Agreements to
State, Local, and Federally Recognized Indian Tribal Governments
http://ecfr. gpoaccess. gov/cgi/t/text/text-
idx?c=ecfr&sid=a0f201 e9fd6fec5af8e07d6e0eedf�57&rgn=div5&view=text&node=24:1
.1.1.1.39&idno=24
• OMB Circular A-133 (2 CFR Part 180), Audits of States, Local Governments, and Non-
Profit Organizations; and
• These grant provisions.
Advance Pavment Bv Treasurv Check Or Electronic Funds Transfer
Advance payments by Treasury check or electronic funds transfer are hereby authorized
under this grant. A Grantee that is subject to existing State program accreditation requirements
may request an advance payment in writing, if applicable. HUD may provide to the Grantee a
one-time cash advance that shall not exceed 10 percent of the gant amount, and shall be limited
to the minimum amount needed for the actual, immediate cash requirements of the Grantee in
carrying out the start up activities of this agreement and as agreed to by the Grant Officer.
Neither these HUD funds nor non-HUD funds may be used for conducting interventions,
remediation, rehabilitation, renovation or other activities that would physically alter any structure
or property in any way. Refer to 24 CFR 58.34(a) for a list of exempt activities.
Amendments
This grant may be modified at any time by written amendment. Amendments, which
reflect the rights and obligations of either party, shall be executed by both HUD (the Grant
Officer) and the Grantee. Administrative amendments, such as changes in appropriation data,
may be issued unilaterally by the Grant Officer.
Amount of Cost Share (Estimated Cost And Pavment — Levera�ing) (See Block 14 of form
HUD-10441
The estimated cost for the performance of this grant is the "Total Instrument Amount".
The Grantee shall be reimbursed by HUD for costs incurred in the performance of this
grant. HUD shall not be obligated to reimburse the Grantee in excess of the "Total HUD
Amount". HUD reserves the right to withhold five-percent (5%) of the Federal grant amount
pending the receipt and approval of a final progress report. See clause entitled "Final Report" for
more information. The proposed contribution to supplement HUD funds is the "Recipient
Amount." The Grantee agrees to bear without reimbursement by HUD the "Recipient Amount"
of the total costs. The Grantee is not obligated to contribute more than the "Recipient
Amount". However, the Grantee shall be solely responsible for any costs in excess of the
estimated cost of the "Total Instrument Amount".
HUD OSHC Terms and Conditions for FY 2010 NOFA 8
The Grantee must satisfy all leveraging requirements in the NOFA. If the Grantee's actual
leveraging contribution is less than "Recipient Amount" under Block 14 of the HUD 1044, the
Government reserves the right to negotiate new line items and/or amounts to satisfy the Grantee's
leveraged funds requirement, or to reduce the Government's share proportionally. The Grantee
shall notify the Government at any time it believes it will not meet its leveraged funds
requirement by the completion of the grant. If the Grantee exceeds the leveraged amount, there
will be no impact on the Federal share. HUD reserves the right to withhold payments if
leveraged funds are not spent.
Any funds requested by the Grantee shall be requested in accordance with the clause
entitled, "Estimated Cost and Payment - Line Of Credit Control System (LOCCS)."
HUD reserves the right to withhold payment if leveraged resources are not spent.
Bud�et
. The Grantee shall incur costs in conformance with the original or negotiated budget,
presented with the proposal for this grant. The Grantee shall not commingle any funds computed
under this grant with any other existing or future operating accounts held by the Grantee.
If the Grantee has been contacted to submit documents to support the application that
were not received prior to the execution of this grant, the Grantee will not be allowed to draw
down funds in excess of 10% of the federal amount, until such time that the requirements have
been met. HUD reserves the right to terminate an award if the required documents are not
provided within 1 month from the date the written request was made.
Standard Form 425, Federal Financial Report, detailing leveraged funds ar in-kind
contributions shall be submitted on a quarterly basis. As part of the closeout process a final
narrative and a final Standard Form 425 detailing the progress made in achieving the purpose of
the grant and adequate documentation of the total federal funds expended in support of the
activities to achieve this purpose are due to the GTR 30 days prior to the end of the period of
performance (See clause entitled "Closeout").
The Federal Financial Report (Standard Form 425) shall be submitted on a quarterly basis
and is due 10 days after the end of each quarter.
Central Contractor Registration (CCR)
Recipients and their first-tier sub-recipients must maintain current registrations in the
Central Contractor Registration (www.ccr.gov) at all times during which they have active federal
awards.
HUD OSHC Terms and Conditions for FY 2010 NOFA 9
Certifications and Assurances
The certifications and assurances submitted in the Grantee's application are hereby
incorporated into this agreement. They include:
• Standard Form 424 or HUD 424, Application for Federal Assistance
• Certification and Disclosure Form Regarding Lobbying (SF-LLL)
• Applicant/Recipient Disclosure Update Report (HUD-2880)
• Certification Regarding Parties Excluded From Procurements
• Certification Prohibiting Excessive Force Against Non-Violent Civil Rights
Demonstrators
• Certification/Disclosure Regarding federal Debt
• Certification Regarding a Drug-Free Workplace
• Codes of Conduct and Conflict of Interest
A grantee must notify the GTR of any changes in the status or information on the above items.
Chan�es
In accordance with 24 CFR 85.30 or 84.25, as applicable, Grantees or sub-grantees must
obtain the prior approval of the awarding agency whenever any programmatic changes are
anticipated, including but not limited to the following:
a) Any revision of the scope or objectives of the project (regardless of whether there is an
associated budget revision requiring prior approval).
b) Budget revisions that are 10% or more of the cumulative transfers among direct cost
categories, or, if applicable, among separately budgeted programs, projects, functions or
activities which exceed or are expected to exceed 10% of the current total approved
budget, whenever the awarding agency's share exceeds $100,000.
c) Changes in key persons in cases where specified in an application or a grant award. In
research projects, a change in the project director or principal investigator shall always
require approval unless waived by the awarding agency.
d) Under non-construction projects, contracting out, subgranting (if authorized by law) or
otherwise obtaining the services of a third party to perform activities, which are central to
the purposes of the award.
Closeout
The Grantee shall provide the Grant Officer with closeout documentation 30 days prior to
the end of the performance period, consisting of the following five elements:
• Narrative Final Report summarizing activities conducted under the award, including
significant outcomes resulting from the activities and problems encountered during
the performance period;
• Federal Financial Report (SF-425) of the total Federal Funds expended;
HUD OSHC Terms and Conditions for FY 2010 NOFA 10
• Completed Property Statement;
• Completed Inventions, Patents, and Copyright Statement; and
• Completed Closeout Certification.
� Final Logic Model Report.
HUD will notify the Grantee in writing when the grant is closed. The Grantee has three
areas of continuing responsibility after closeout of the grant:
• Records and materials must be kept in a safe place and be accessible to auditors and
other government officials for three years after the grantee and all
subgrantees/subcontractors make final payments and all other pending matters are
closed. (If the grant is covered by 24 CFR Part 84, see related record retention
requirements in 24 CFR 84.85(c)(2).) This requirement also extends to all
subcontracts the Grantee has executed.
• Accountability for property continues as long as the Grantee holds the property, or for
the period of time established by the ageement. Disposal of property must be in
accordance with the rules established in the Property Management Standards refened
to in the award. Program income, including royalties, must be used to support
eligible activities.
• Notification to the Grant Officer if, at any time during the three-year period after
project completion, the Grantee organization is discontinued or changes location.
The Grant Officer should be notified immediately of the new address or the address
of the party retaining all records.
Collection Of Data
Collection of data from ten or more respondents and sponsored by HUD shall be subject
to the Paperwork Reduction Act (44 U.S.C. 3501— 3520). If a survey instrument 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 prior to the use of
the survey instrument. Also, a time element is involved here, which may considerably lengthen
the time required for completion of the project proposed. Careful consideration should be given
to any proposal, which requires the use of a survey 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; ar �
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 "sponsor" of the information collection.
HUD OSHC Terms and Conditions for FY 2010 NOFA 11
Compliance with the Federal Funding Accountability and Transparency Act of 2006 (Pub.
L. 109-282) (Transparency Act)
Applicants receiving an award from HUD should be aware of the requirements of the
Transparency Act. The Transparency Act requires the establishment of a central website that
makes information available to the public regarding entities receiving federal financial
assistance, by not later than January 1, 2008. In fulfillment of the requirements of the Act, OMB
launched http://www.USAspending.gov in December 2007. The website makes information
available to the public on the direct awards made by the federal government. The Transparency
Act also requires, beginning notlater than January 2009, that data on subawards be made
available on the same website.
In anticipation of the implementation of this requirement, HUD is placing awardees of its
FY2010 competitive funding on notice of these requirements and that, once implemented,
grantees will be required to report their subaward data to HUD on a central federal database. The
only exceptions to this requirement under the Transparency Act are:
1) Federal transactions below $25,000;
2) Credit card transactions prior to October 1, 2008;
3) Awards to entities that demonstrate to the Director of OMB that the gross income of
such entity from all sources did not exceed $300,000 in the previous tax year of such
entity shall be exempt from the requirement to report subawards; and
4) An individual recipient of Federal assistance.
HUD is responsible for placing award information for direct grantees on the government
website. The reporting of subaward data is the responsibility of the grantee. Grantees should be
aware that the law requires the information provided on the federal website to include the
following elements related to all subaward transactions, except as noted above:
1) The name of the entity receiving the award;
2) The amount of the award;
3) Information on the award, including the transaction type, funding agency, the North
American Industry Classification System (NAICS) code or Catalog of Federal Domestic
Assistance (CFDA) number (where applicable), program source, and an award title
descriptive of the purpose of each funding action;
4) The location of the entity receiving the award and primary location of performance
under the award, including the city, state, congressional district, and country;
5) A unique identifier of the entity receiving the award and of the parent entity of the
recipient (the DUNS number), should the entity be owned by another entity; and
6) Any other relevant information specified by OMB.
HUD expects OMB to issue further guidance on subaward reporting. Based on
preliminary input from the various federal agencies, applicants should be aware that
consideration is being given to requiring the disclosure of additional data elements to help track
the flow of funding from the original federal award. Such data elements under consideration
HUD OSHC Terms and Conditions for FY 2010 NOFA 12
include the tier at which the subaward was made, the federal award number issued to the direct
awardee, the dollar amount of the federal award emanating from the direct award going to the
subawardee, as well as the total subaward amount, which could include funds from other
sources, and registration in the CCR. Additional information regarding these requirements when
determined will be provided when available. Subawardees and direct awardees should always
use an Employer ldentification Number (EIN) when registering with CCR, not a Social Security
Number, to ensure personal information and data is protected. To obtain an EIN, go to
http://search.irs. gov/web/query.html?col=allirs&charset=utf-8 &qp=&qs=-
Wct%3A%22Internal+Revenue+Manual%22&qc=&qm=0&r�0&oq=&qt=form+S S4.
To obtain form SS-4, Application for Employer ldentification Number, and if you need
assistance in completing the SS-4, you can contact the IRS helpline at 800-829-4933. The
helpline is open from 7a.m. to 10 p.m. your local time (Alaska and Hawaii follow Pacific Time),
Monday to Friday, except federal holidays.
Conduct of Work
During the effective period of this grant, the GTR and/or the GTM identified in Block 9
of the HUD-1044 shall be responsible for monitoring the technical effort of the Grantee, unless
the Grantee is notified in writing by the Grant Officer of a replacement.
Only the Grant Officer has the authority to authorize deviations from this grant, including
deviations from the Work Plan. In the event the Grantee does deviate without written approval
of the Grant Officer, such deviation shall be at the risk of, and any costs related thereto shall be
borne by, the Grantee.
Confidentiality
The service provider (e.g., the Grantee and any subgrantees, subcontractors or vendors)
must maintain confidential files on individual program beneficiaries served. Recipient staff must
keep paper files in a locked filing cabinet and protect all electronic files related to individual
beneficiaries with a personal password.
The service providers shall maintain primary access to individual beneficiary files. Other
project management staff may have access to these files only if they contain a"release of
information" consent form signed by the individual beneficiary. A release of information form
must clearly indicate which parties may have access to an individual beneficiary's file. Such
parties might include the management staff and HUD staff. Recipient staff must only share
individual beneficiary files with those parties listed on the signed form. If an individual
beneficiary has not signed the consent form the parties listed may not read that individual
beneficiary's file.
These categories serve as guidelines to recipient staff and management staff. The
recipient must determine if the individual beneficiary's confidential information will
significantly affect the safety and security of that individual or the recipient organization itself.
HUD OSHC Terms and Conditions for FY 2010 NOFA 13
Consortia Agreement
This provision pertains to agreements awarded to a consortium or consortia. The
designated Lead Agency is the official funding recipient. As such, the Lead Agency performs
functions including the following:
• Maintaining the LOCCS account,
• Drawing down and dispersing grant funds,
• Paying related administrative expenses,
• Monitoring the work of the consortia members, and
• Submitting all required reports to the OSHC staff.
All recipients and sub-recipients in an OSHC gant program Consortium must enter into a
memorandum of understanding that binds them to this award. By doing so, all entities are
legally bound to comply with all the terms and conditions of the award. Should one or more
parties not comply with the terms of this agreement at any time, and not be replaced by the Lead
Agency, the portion of that entity's allotted award will be dropped from the award agreement.
Non-lead agencies, in complying with this award agreement, are responsible for monitoring the
time and work of the service providers at their site and for assuring that the Lead Agency has the
proper information it needs to submit required reports to HUD and to maintain the award's
LOCCS account.
Contact Information Undates
The Grantee shall inform the Grant Officer and GTR of any changes in contact
information, including the organization's name, address, telephone, e-mail, and key personneL
Copvrights
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, ar contract awarded under this
grant; and (b) any rights of copyright to which a Grantee or sub-grantee or a contractor purchases
ownership with award funds.
Default and Disputes '
The Grantee is in default if one or more of the following occurs:
1. Any use of award agreement funds for a purpose other than as authorized by this
Agreement;
2. Any material noncompliance with Federal, State, or local laws or regulations as
determined by HUD;
3. Any other material breach of this award agreement, or
HUD OSHC Terms and Conditions for FY 2010 NOFA 14
4. Any misrepresentation in the application submissions which, if known to HUb,
would have resulted in this award not being provided.
5. Failure to meet any reporting requirement.
If HUD determines preliminarily that the recipient is in default as described in items 1-5,
above, HUD will give the recipient notice of this determination and the corrective or remedial
action proposed by HUD. The recipient shall have an opportunity to demonstrate, within the
time prescribed by HUD (not to exceed 30 days from the date of the notice), and on the basis of
facts and data, that it is not in default, or that the proposed corrective or remedial action is
inappropriate, before HUD implements the corrective or remedial action.
Where HUD determines that corrective or remedial actions by the recipient have not
been undertaken as instructed, or will not be effective to correct the default and to prevent further
default, HUD may take the following additional corrective and remedial actions under this award
agreement:
1. Reduce the award in the amount affected by the default.
2. Take action against the recipient under 24 CFR Part 24 and Executive Order 12549
with respect to future HUD or Federal grant awards.
3. Demand repayment of all award amounts.
4. Initiate litigation or other legal proceedings designed to require compliance with the
statute, regulations, any terms or conditions of this award agreement, or other
pertinent authorities.
5. Temporarily withhold cash payments pending correction of the deficiency by the
grantee or subgrantee.
6. Withhold further payments.
7. Take any other remedial action legally available.
During performance of the grant, disagreements may arise between the Grantee and the
Grant Officer on various issues. If a dispute concerning a question of fact arises, the Grant
Officer shall prepare a final decision, taking into account all facts and documentation presented.
The decision shall be mailed to the Grantee. The Grantee may appeal the decision in writing
within thirty (30) days to the Deputy Secretary of HUD, or his or her designated representative,
the Director, Office of Sustainable Housing and Communities.
Failure to comply with 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 HUD taking action to limit access to program funds. Actions by
HUD may include, but are not limited to: requiring that reports and financial statements be
submitted to the Grant Officer/GTR for approval before drawing down any funds; removing the
Grantee from the eLOCCS; suspending the ability to incur costs or draw funds; and/or
suspending or terminating the Grant for non-performance.
HUD may, on reasonable notice to the Grantee, temporarily suspend the award and
withhold further payments pending corrective action by the Grantee. The award may be
HUD OSHC Terms and Conditions for FY 2010 NOFA 15
terminated in whole or in part before the end of the performance period for cause when the
Grantee has failed to comply with the terms, conditions, standards, or provisions of this award.
The award may be terminated for convenience when both parties agree that the continuation of
the award would not produce beneficial results.
Deliverable Products
During the performance period, the recipient is required to submit to the GTR Official
Work Products. These include but are not limited to progress reports; financial reports, closeout
documentation; products specified in the Work Plans, such as reports for HUD and the public on
activities conducted and results achieved, Logic Model reports, etc. Failure to submit required
documents on time may cause the Grant Officer to take action to suspend or terminate the award.
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 HtJD's website must meet HiJD's Web Publication Standards and Procedures
at www.hud.gov/assisbwebpolicies.cfm.
Environmental Review
This Environmental Review section applies to all grantees (Detailed Execution Plans and
Programs), as described in the NOFA, for projects that involve site control or land acquisition.
Activities that involve site control or acquisition are subject to HUD environmental
review under 24 CFR Part 50. For projects involving these activities, HUD's notification of
award constituted only a preliminary approval by HUD subject to the completion of an
environmental review of the proposed site(s). Selection for participation and the execution of
this Agreement do not constitute approval of the proposed site(s). Each proposal involving site
control or acquisition is subject to a HUD environmental review, and the Grantee's proposal may
be modified or the proposed sites rejected as a result of that review.
The Grantee shall not acquire, rehabilitate, demolish, convert, lease, repair, or construct
property, nor commit or expend HUD or local funds for these program activities with respect to
any eligible property, until HUD approval of the property is received. An option agreement on a
proposed site or property is allowable prior to the completion of the environmental review if the
option agreement is subject to a determination by HUD on the desirability of the property for the
project as a result of the completion of the HUD environmental review and the cost of the option
is a nominal portion of the purchase price.
The Grantee shall assist HUD in complying with 24 CFR Part 50; shall supply HUD with
all available, relevant information necessary far HUD to perform an environmental review far
HUD OSHC Terms and Conditions for FY 2010 NOFA 16
each property, as requested by HUD; and, shall carry out mitigating measures required by HUD
or select alternate eligible property if required by HUD.
Eauipment
When acquiring equipment, the Grantee shall comply with the requirements set forth in
24 CFR 84.34 or 24 CFR 85.32, whichever is applicable, OMB Circular A-87 (2 CFR Part 225),
and OMB Circular A-122 (2 CFR Part 230).
Estimated Cost and Pavment - Line Of Credit Control Svstem (LOCCS/eLOCCS)
The Grantee shall be reimbursed for costs incurred in the performance of work under this
grant in an amount not-to-exceed "Total HUD Amount" in Block 14 of the HUD 1044. In the
event the Grantee incurs cost in excess of this amount, the excess shall be borne entirely by the
Grantee.
Incurred costs shall be reimbursed through HUD's Line of Credit Control System
(LOCCS) using the eLOCCS web based system. Each day LOCCS generates a payment tape for
the Department of the Treasury, which disburses the payrnents via the Automated Clearinghouse
(ACH) Payment System and a Voucher and Schedule of Payments. All payrnents are certified
by HUD and forwarded to Treasury for processing.
Before receiving funds from the eLOCCS, the Grantee must designate a financial
institution for Hi1D to make direct deposit payments through the ACH system. In the event the
Grantee, during the performance of this grant, elects to designate a different financial institution
for the receipt of any payments, notification of such change and the related information must be
received by the Grant Officer 30 days prior to the date such change is to become effective.
To have access to LOCCS and the eLOCCS, the Grantee shall obtain a Security ID and
Password from HUD's LOCCS Security Officer, using the form HUD-27054, LOCCS Voice
Response /eLOCCS Access Authorization Form.
The Grantee shall submit the original vouchers for work performed to the GTR identified
in Block 9 of the form HUD-1044. The voucher shall be supported by a detailed breakdown of
the cost(s) claimed (Grantees are to use the Part 3 Financial Reporting Attachment included in
Policy Guidance 2001-03). In order to assure proper payment, it is important that the voucher is
in accordance with the payment amount requested tl�rough the eLOCCS. Payment requires the
Grantee to go to eLOCCS and provide the Security ID number and requested information.
Detailed instructions for using the LOCCS-eLOCCS were provided in HUD's Transmittal Letter
for your award.
Funds advanced to the Grantee shall be maintained in an interest bearing account. Any
interest earned by the Grantee as a result of the advanced funds shall be promptly returned to
HUD.
HUD OSHC Terms and Conditions for FY 2010 NOFA 17
All check remittances should be sent to the new Miscellaneous Lockbox as follows:
Bank of America
DHUD P.O. Box 277303
Atlanta, GA 30384-7303
If the Grantee is a State, local government or Indian Tribe, the Grantee may retain up to
$100.00 of interest earned per Grantee's fiscal year for administrative expenses (24 CFR 85.21).
If the Grantee is a University, non-profit or for profit organization, the Grantee may
retain up to $250.00 of interest earned per Grantee's fiscal year for administrative expenses (24
CFR 84.22).
State universities and hospitals shall comply with the Cash Management Improvement
Act (CMIA), as it pertains to interest.
Other funds due to HUD after the end date of the grant or close-out, as a result of internal
audit or other reasons, will be returned to the GTR identified in Block 9 of the form HUD-1044
of this grant.
Should the Grantee demonstrate an unwillingness or inability to establish procedures that
will minimize the time elapsing between advances and disbursements, or fail to provide any
required progress report in a timely manner, the authorization for advance payments may be
revoked. The Grantee may then be required to finance the project with its own working capital
and payment to the Grantee may be made by Treasury check to reimburse it for actual cash
disbursements that are approved by the GTR.
Fair Housing and Civil Ri�hts Laws
a) The Grantee represents, warrants, and certifies to HUD that it shall comply with all
applicable Federal statutes, regulations, and requirements relating to non-
discrimination and equal opportunity identified in HUD's regulations at 24 CFR §
5.105(a), and assure such compliance of any of its sub-grantees under this
Agreement, including the following:
1. Title VI of the Civil Rights Act of 1964 (42 U.S.C. §§ 2000d-2000d-4) and
implementing regulations at 24 CFR part 1, Nondiscrimination in Federally
Assisted Programs of the Department of Housing and Urban Development -
Effectuation of Title VI of the Civil Rights Act of 1964;
2. Title IX of the Education Amendments of 1972, as amended (20 U.S.C. §§
1681:1683, 1685:1688) and implementing regulations at 24 CFR part 3,
Nondiscrimination on the Basis of Sex in Education Programs or Activities
Receiving Federal Financial Assistance;
HUD OSHC Terms and Conditions for FY 2010 NOFA 18
3. Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. § 794) and
implementing regulations at 24 CFR part 8, Nondiscrimination Based on
Handicap in Federally Assisted Programs and Activities of the Departrnent of
Housing and Urban Development;
4. Title II of the Americans with Disabilities Act of 1990 (42 U.S.C. § 12101 et seq.)
and implementing regulations at 28 CFR part 35;
5. The Fair Housing Act (42 U.S.C. §§ 3601-19) and implementing regulations at 24
CFR Part 100, Discriminatory Conduct Under the Fair Housing Act;
6. Executive Order 11063, as amended by Executive Order 12259, and
implementing regulations at 24 CFR part 107, Nondiscrimination and Equal
Opportunity in Housing Under Executive Order 11063; and
7. The Age Discrimination Act of 1975 (42 U.S.C. §§ 6101-6107) and
implementing regulations at 24 CFR part 146, Nondiscrimination on the Basis
of Age in HUD Programs or Activities Receiving Federal Financial
Assistance.
b) The Grantee represents, warrants, and certifies to HUD that it shall administer its
grant in a manner that affirmatively furthers fair housing and that, at a minimuxn, it
shall carry out all actions to affirmatively further fair housing as proposed in its
application for financial assistance under the Sustainable Communities Initiative
Grant Programs.
c) The Grantee represents, warrants, and certifies to HUD that it shall ensure that
employment, contracting, and other economic opportunities generated by the
Sustainable Communities Initiative Planning Grant Programs shall, to the greatest
extent feasible, be directed to low- and very low-income persons pursuant to Section
3 of the Housing and Urban Development Act of 1968 (12 U.S.C. 1701u) and HUD's
implementing regulations at 24 CFR part 135.
d) Grantees are required to cooperate and assist HUD in its nondiscrimination and
equal opportunity compliance activities and are required to maintain and submit
racial, ethnic, disability, and other demographic data pursuant to HUD's
nondiscrirriination and equal opportunity regulations including those at 24 CFR §§
1.6, 8.55, 107.30, and 121.2.
Flow Down Provisions
If the Grantee contracts or subawards funds under this agreement with a person or entity
to perform work under this award, the Grantee shall include in the contract or subaward
HUD OSHC Terms and Conditions for FY 2010 NOFA 19
agreement such provisions as may be necessary to ensure that all contractors and subgrantees
comply with the requirements of the grant and reporting provisions as set forth in these terms and
conditions or as established by HUD and the Office of Management and Budget (OMB)
The Terms and Conditions of this agreement flow down to all tiers of subgrantees. All
subgrantees are required to obtain a DIJNS numbers (or update its existing DUNS record), and
register with the Central Contractor Registration (CCR; www.ccr.gov) no later than 120 days
after execution of this agreement.
HUD's Right to Audit and Disallow and Recover Funds
The government reserves the right to seek recovery of any funds that were not expended
in accordance with the requirements or conditions of this agreement based upon HUD review,
the final audit, 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 has already conducted one.
HUD's Substantial Involvement
Because this is a Cooperative Agreement, HUD intends to have substantial involvement
in the review, development, and approval of all aspects of the work to be carried out under this
cooperative agreement. The substantial involvement will be focused through the GTR and
GTM. Anticipated substantial involvement by HUD staff may include, but will not be limited to:
• Review and possibly suggest amendments to the study design, including:
o study objectives
o field sampling plan
o sample handling and preparation
o sample and data analysis
o quality assurance
• Review and provide scientific and technical recommendations in response to
quarterly progress reports (e.g., amendments to study design based on preliminary
results).
• Review and provide scientific and technical recommendations on the final study
report, including final interpretation of study results.
Incurrence of Costs
The Grantee is allowed to incur costs for activities beginning the date in Box #5 on the
HUD-1044. Any costs incurred befare the date are not allowable unless specifically authorized
in writing by the Grant Officer or GTR.
HUD OSHC Terms and Conditions for FY 2010 NOFA 20
Indirect Costs
If the Grantee has received a provisional rate, pending establishment of a final rate,
reimbursement will be made on the basis of the provisional rate. By accepting this agreement,
the Grantee agrees to bill at the provisional indirect cost rate until an approved indirect rate
agreement becomes effective. Adjustments will be made from the provisional rate to the final
rate. However, such adjustments must be within the total amount of the award as stated in Block
# 15 of the HUD-1044.
Insuection and Acceutance
Inspection, review, correction, and acceptance of all deliverables under this award shall
be the responsibility of the GTR. The GTR may receive recommendations from assigned GTMs.
InsAector General Referrals
The Grantee or any subgrantee, subcontractor or other sub-recipient awarded funds shall
promptly refer to an appropriate inspector general any credible evidence that a principal,
employee, agent, contractor, sub-grantee, subcontractor, or other person has submitted a false
claim under the False Claims Act or has committed a criminal or civil violation of laws
pertaining to fraud, conflict of interest, bribery, gratuity, or similar misconduct involving those
funds.
Limitation on Consultant Pavments
Per the requirements of the NOFA, federal funds may not be used to pay or to prov�de
reimbursement for payment of the salary of a consultant, 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: See the Office of Personnel Management Website, www.opm.gov, and its Salaries
and Wages link for the current base rate, which may be lower than the local rate.
Limitation on Pavments to Influence Certain Federal Transactions
Section 1352 of Title 31 of the U.S. Code 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.
Lobbving Activities Prohibition
HUD OSHC Terms and Conditions for FY 2010 NOFA 21
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).
Management and Work Plan (with Logic Model Standards)
The management and work plan, deliverables and budget revisions shall comply with the
requirements established by the NOFA. The Grantee shall complete and submit a detailed
management and work plan (with Logic Model) within 60 days after the effective date of the
grant; this plan is subject to review and approval by HUD. The revisions to the general plan
submitted in the proposal shall include any negotiated changes of the work plan or budget if
applicable. The plan shall be developed according to the instructions and Logic Model standazds
that will be provided by the GTR.
The management and work plan consists of the goals and time-phased objectives and
deliverables for each of the major tasks to be undertaken by the program. A Logic Model
(milestones) has 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).
Monitorin�
The responsible Departmental off'icial, GTR, or designee may review and monitor the
practices of the Grantee to determine whether it is in compliance with this Agreement or other
requirements that arise as a result of the Grant Award. The GTR will also provide performance
monitoring by tracking Grantee's progress in meeting the goals and objectives of the program.
Order of Precedence
In the event of any inconsistency among any provisions of this grant, the following order
of precedence shall apply:
a) Cooperative Agreement
b) NOFA
c) Management and Work Plan.
d) Uniform Administrative Requirements.
e) Grantee's Proposal (if incorporated)
Patent Rights (Small Business Firms And Nonprofit Organizations)
Patent rights are as specified in 37 CFR Part 401, entitled "Rights to Inventions made by
Nonprofit Organizations and Small Business Firms under Government Grants, Contracts and
Cooperative Agreements." Inquiries regarding this Patent Rights clause should be in writing and
HUD OSHC Terms and Conditions for FY 2010 NOFA 22
directed to:
Grant Officer
Office of Sustainable Housing and Communities
U.S. Department of Housing and Urban Development
451 Seventh Street SW, Room 10180
Washington, DC 20410-3000
Period of Performance and Extensions and Incurring Costs or Obligating Federal Funds
Beyond the Expiration Date
a) The Grantee shall provide all services stipulated in this cooperative agreement for the
period of months specified in the form HUD 1044, "Assistance Award/Amendment," or its
Continuation Sheet, from the effective date stipulated in Block #5 of the HUD 1044. Grantees
are to comply with the requirements of 24 CFR 84.28 or 24 CFR 85.23 (Period of availability of
funds), as applicable, in charging costs to the grant. All obligations incurred under the award
must be liquidated within the period of performance. The preparation of the final administrative
and financial reports is to be completed 30 days prior to the end of the period of performance.
b) The Grantee shall not incur costs or obligate federal funds for any purpose pertaining
to the operation of the project or program, 30 days prior to the end of the period of performance.
The only costs which are authorized during the last 30 days of the period of performance 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.
The Office of Sustainable Housing and Communities has no obligation to provide any
additional prospective funding. Any amendment of the award to increase funding is at the sole
discretion of that Office.
Personnel
The personnel, specified as key personnel in the original or amended HUD form 2010
(Rating Factor Form), Factor 1, Capacity of the Applicant and Relevant Organizational
Experience, are considered to be essential to the work being performed hereunder. Prior to
diverting any of the specified individuals to other work, 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. No diversion shall be
made by the Grantee without the written consent of the Grant Officer.
Profit/Fee
No increment above cost, fee, or profit may be paid to the Grantee or any subgantee
under this award.
HUD OSHC Terms and Conditions for FY 2010 NOFA 23
Program Income
Any program income derived as a result of this award shall be added to funds committed
under the award to further activities eligible for assistance under this agreement. If not contained
in the Work Plan or under Special Conditions itemized in these provisions, prior to using
program income to further the objectives of the grant program, the parties shall mutually agree
by written amendment on the use of program income. Program income received after the period
of performance must be used to further the obj ectives of the applicable grant program for which
this grant is awarded in accordance with 24 CFR 84.24 or 85.25, as applicable.
Prohibited Use of Funds
You may not use funds for the following ineligible activities:
(a) Ineligible administrative activities under OMB Circular A-102 (24 CFR Part 85),
Grants and Cooperative Agreements with States and Local Governments; O1VIB
Circular A-110 (2 CFR Part 215) Uniform Administrative Requirements for Grants and
Cooperative Agreement with Institutions of Higher Education, Hospitals and other
Non-Profit Organizations;
(b) Ineligible costs under OMB Circular A-87 (2 CFR Part 225), Cost Principles for State
and Local and Indian Tribal Governments; and OMB Circular A-122 (2 CFR Part 230),
Cost Principles for Non-Profit Organizations;
(c) Developing plans that would assist business or industry to relocate to an area to the
detriment of communities where the business or industry is currently located. This
funding restriction does not apply to businesses that are displaced as a result of
Category 2 projects. The requirements of the Uniform Relocation Assistance and Real
Property Acquisition Policies Act of 1970 (42 U.S.C. 4601) (codified at 49 CFR Part
24) cover any person who moves permanently from real property or moves personal
property from real property as a result of direct acquisition, rehabilitation, or demolition
for a program or project receiving HUD assistance (See the General Section).
(d) Substitution of Sustainable Communities funds for funding already pledged to support
community development; housing; watershed, air and water quality; transportation
planning; food production and distribution planning; and other planning activities
eligible under the sustainable communities planning program.
Publications and News Releases
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.
.
HUD OSHC Terms and Conditions for FY 2010 NOFA 24
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 Grantee and Grantee's sub-
recipients.
Interim and final reports (including, if applicable, scientific manuscripts) may not be
published by the Grantee or any sub-recipients participating in the work for a period of sixty
days after acceptance of the deliverables by the GTR.
All deliverables, or any part thereof, and any independent products and special products
arising from this award, when published by the Grantee or other participants in the work shall
contain the following acknowledgment and disclaimer:
The work that provided the basis for this publication was supported by funding under 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."
Copies of all press releases, farmal announcements, and other planned, written issuances
containing news or information concerning work products or activities of this award that may be
made by the Grantee or its staff, or any sub-grantee or other person or organization participating
in the work of the award, shall, be provided to the GTR for review and comment before the
planned release. Whenever possible, these should be provided to the GTR for review and
comment at least two weeks before the planned reiease, but in no event simultaneously with the
release.
The use of Social Media, such as web feeds, wikis, blogs, photo and video-sharing,
podcasts, and microblogs is acceptable under OSHC grant programs. Tnformation to be released
through Social Media must be provided to the GTR for review and comment at least 2 business
days before the planned release.
RenorNng
a) Deliverables
The Grantee shall include a schedule listing all significant project milestones, and dates
for submission of all project deliverables including quarterly project reports, interim reports
where appropriate, the final report, and financial reports utilizing Standard Form 425, the Federal
Financial Report. Upon approval of the Work Plan, the Grantee should ensure all deliverables
identified in the Work Plan and Logic Model schedule are delivered on time.
b) Biannual Progress ReAOrts
.
HUD OSHC Terms and Conditions for FY 2010 NOFA 25
A template to be used in the preparation of each biannual report will be provided by HUD
after grant award. Biannual reports must reflect activities undertaken, obstacles encountered and
solutions achieved, and accomplishments in each calendar quarter. Contracts, training materials
and 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 are to be submitted with the quarterly reports as attachments.
Grantees shall submit reports as specified in this clause. The reports submitted to HUD
require the submission of a work plan with specific, time phased, and realistic goals, objectives,
and Logic Model milestones established. Biannual status reports that show progress and
measure performance of the program in meeting approved work plan goals, objectives and Logic
Model milestones are to be submitted.
Grantees are advised that failure to submit timely biannual progress reports will result in
not having their "eLOCCS Request Voucher for Grant Payment" processed and also may result
in a low performance rating, which could result in grant termination.
c) Reauired Renorts
• Grantees are required to submit biannual reports, including Logic Model reports.
Reporting requirements are specified in the Notice of Funding Availability and these
Terms and Conditions. In case of conflict, the more-stringent provisions apply.
• Economic Opportunities for Low- and Very Low-Income Persons (Section 3� The
HUD Form 60002, Economic Opportunities for Low- and Very Low-Income Persons
(Section 3) must be submitted by January l Oth, and yearly thereafter.
• Federal Financial Report (Standard Form 425)
d) Final Renort
A final report shall be submitted. 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 freestanding description to any outside reader of
all of the applicant's work and achievement under the grant. See clause entitled "Closeout" for
the specific elements to be included with your final report. Specific and detailed guidance on
preparing the forms and the narratives may be obtained from the GTR.
Reproduction of Renorts
BRANCH PROCUREMENT OF CERTAIN KINDS OF PRINTING; "PRINTING" DEFINED
Pub. L. 102-392, title II, Sec. 207(a), Oct. 6, 1992, 106 Stat. 1719, as amended by Pub. L.
103-283, title II, Sec. 207, July 22, 1994, 108 Stat. 1440; Pub. L. 104-201, div. A, title XI,
Sec. 1112(e)(1), Sept. 23, 1996, 110 Stat. 2683, provided that:
.
HUD OSHC Terms and Conditions for FY 2010 NOFA 26
1) None of the funds appropriated for any fiscal year may be obligated or expended by
any entity of the executive branch for the procurement of any printing related to the
production of Government publications (including printed forms), unless such
procurement is by ar through the Government Printing Office.
2) Paragraph (1) does not apply to (A) individual printing orders costing not mare than
$1,000, if the work is not of a continuing or repetitive nature, and, as certified by the
Public Printer, if the work is included in a class of work which cannot be provided
more economically through the Government Printing Office, (B) printing for the
Central Intelligence Agency, the Defense Intelligence Agency, National Imagery and
Mapping Agency, or the National Security Agency, or (C) printing from other sources
that is specifically authorized by law.
As used in this section, the term "printing" includes the processes of composition,
platemaking, presswork, duplicating, silkscreen processes, binding, microform, and the end items
of such processes.
Review of Deliverables
a) Definition - For the purpose of this clause, "Deliverables" include:
1) All interim and final reports;
2) Survey instruments required by Work Plan, if applicable;
3) Other physical materials and products produced directly under the Work Plan of
this grant, if applicable; and
4) In-kind and leverage commitments, if applicable.
b) General
1) The GTR shall have the sole responsibility for HUD review, correction, and
acceptance of the deliverables of this grant. Such review(s) shall be carried out
promptly by the GTR, so as not to impede the work of the Grantee_
2) The Grantee shall carry out the required conections, if any, provided by the GTR
and shall promptly return a revised copy of the product to the GTR.
3) The basis for acceptance shall be the Grantee's good faith efforts to complete the
deliverables of this grant.
4) The GTR's review, correction, and acceptance of deliverables shall be limited to:
(i) corrections of omissions or errors of fact, methodology, or analysis; ii) deletion
of irrelevant materials; and (iii) improvements in style readability.
5) In the review and acceptance of deliverables, the GTR may not require any
change in the Grantee's stated views, opinions, or conclusions.
6) Should there be any disagreement between the Grantee and the GTR as to any
correction, or the methodology or analysis on which any conclusion is based, the
GTR may require the Grantee to insert a Government dissent(s) in the appropriate
.
HUD OSHC Terms and Conditions for FY 2010 NOFA 27
place(s). The inclusion of such dissent(s) in an Official Product of Work,
otherwise found acceptable by GTR, and the return to the GTR of a revised copy
containing the dissent(s), shall satisfy the requirements for acceptance of the
Official Product of Work under this clause. Such dissent(s) shall not apply to any
independent publication by the Grantee of Independent Products that may arise
from the work or findings of this grant.
Scope of Services
The Grantee shall furnish the necessary personnel, materials, services, equipment,
facilities (except as otherwise specified herein) and otherwise do all things necessary for ar
incidental to the performance of the wark set forth in the originaUrevised application under the
this NOFA, as well as the subsequent Management and Work Plan and Logic Model schedule.
Single Audit Transparencv TransacNons Listed in Schedule of Expenditures of Federal
Awards and Recinient Responsibilities for Informing Sub-recipients.
a) Uniform Administrative Requirements for Grants and Agreements" and OMB A-102
(24 CFR Part 85) Common Rules provisions, recipients agree to maintain records that identify
adequately the source and application of funds.
b) For recipients covered by the Single Audit Act Amendments of 1996 and OMB
Circular A-133 (2 CFR Part 180), "Audits of States, Local Governments, and Non-Profit
Organizations," recipients agree to separately identify the expenditures. for Federal awards on the
Schedule of Expenditures of Federal Awards (SEFA) and the Data Collection Form (SF-SAC)
required by OMB Circular A-133 (2 CFR Part 180).
c) Recipients agree to separately identify to each sub-recipient, and document at the time
of sub-award and at the time of disbursement of funds, the Federal award number, CFDA
number, and amount of funds.
d) Recipients agree to require their sub-recipients to include on their SEFA. This
information is needed to allow the recipient to properly monitor sub-recipient expenditure of as
well as oversight by the Federal awarding agencies, Offices of Inspector General and the
Government Accountability Office.
Special Conditions
Special Conditions to this award are listed in the form HUD-1044 Continuation Sheets.
Sub-recipient Monitoring and Management
HUD OSHC Terms and Conditions for FY 2010 NOFA 28
Recipients will be responsible for the monitoring and management of all sub-recipient
awards. Management and reporting requirements applied to direct recipients tier-down to
employees, affiliates, sub-recipients, and subcontractors, and recipients will be responsible for
ensuring compliance and submitting required reports to HUD. Recipients may incorporate all
sub-recipient reporting into a consolidated report with the exception of the requirements
established for compliance with the Federal Funding Accountability and TransparencyAct of
2006 (Public Law 109-282) also known as FFATA or the Transparency Act.
Whistleblower Protection
Each grantee or sub-grantee awarded funds made available shall promptly refer to the
HUD Office of Inspector General any credible evidence that a principal, employee, agent,
contractor, sub-recipient, subcontractor, or other person has submitted a false claim under the
False Claims Act or has committed a criminal or civil violation of laws pertaining to fraud,
conflict of interest, bribery, gratuity, or similar misconduct involving those funds. Complaints
can be made to the HUD Office of Inspector General through any of the following means:
Calling toll-free at 1-800-347-3735; persons who have hearing or speech
disabilities may reach this number from the Federal Relay Service, at 1-800-877-
8339.
Faxing at (202) 708-4829
E-mailing to hotline@hudoig.gov
Writing to HUD OIG Hotline (GFI), 451 7th Street, SW, Washington, DC 20410