APPENDIX 18

MONITORING CHECKLIST

PHA Name: Dates of Review:

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Modernization Project Number: Individual Project Number:

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Field Office Staff Conducting Review: PHA Staff Participating:

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Instructions: At a miminum, the Field Office General Engineer shall

complete Sections I, II, III, and IV of this Checklist. Either the

General Engineer or the Housing Management Specialist shall complete

Section V of this Checklist. The Housing Management Specialist shall

complete Section VI of this Checklist, where applicable.

NOT

ITEMS YES NO REVIEWED

I. Physical Work

Site inspections being conducted by the

PHA/architect are adequate to ensure that \_\_\_\_ \_\_\_\_ \_\_\_\_\_

PHA interests are being preserved.

Contractor is providing adequate

supervision and direction of the work. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

Material and workmanship conform to

contract requirements. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

12/89

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APPENDIX 18

NOT

ITEMS YES NO REVIEWED

A/E is keeping PHA informed of work

progress and endeavoring to guard against

defects and deficiencies in the

contractor\'s work. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

A/E\'s decisions and interpretations are

consistent with intent of and reasonably

inferable from the contract documents. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

A/E revises and approves or takes other

appropriate action upon contractor\'s

submittal of shop drawings and product

data and samples, with reasonable

promptness so as to cause no delay. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

Premises are being kept free from

accumulation of waste materials or

rubbish caused by the contractor. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

There are no observable safety violations. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

II\. Procurement of A/E Services

PHA properly used small purchase

procedures to procure A/E services of

\$25,000 or less. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

PHA properly used competitive proposal

procedures to procure A/E services over

\$25,000. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

PHA\'s publication of Request for Proposal

(RFP) was adequate to receive at least

three proposals. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

PHA performed the required cost analysis. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

PHA used Form HUD-51915, as modified by

HUD, for the A/E contract. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

PHA entered into A/E contracts without

prior HUD approval only where contracts

were within the HUD-established

threshold, or after it received HUD

approval. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

Current A/E threshold of \$ \_\_\_\_\_\_\_\_\_\_

should be changed to \$ \_\_\_\_\_\_\_\_\_\_. \_\_\_\_ \_\_\_\_
\_\_\_\_\_

12/89

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APPENDIX 18

NOT

ITEMS YES NO REVIEWED

Required PHA certifications for A/E

contracts are correct and in PHA files. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

III\. Procurement of Construction and

Equipment Contracts

PHA properly used small purchase procedures

to procure construction and equipment

contracts of \$25,000 or less, including

documented record of request for quotes. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

PHA properly used sealed bids to procure

construction and equipment contracts over

125,000. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

PHA made an effort to publicize Invitation

for Bids (IFB) to minority business

enterprises. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

PHA\'s publication of IFB was adequate to

receive more than a single bid. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

Bid packages contained all required

documents, including current wage rates. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

PHA issued IFBs without prior HUD approval

only where bid documents were within the

HUD-established threshold, or after it

received HUD approval. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

Current threshold for bid documents of

\$ \_\_\_\_\_\_\_\_\_\_ should be changed to

\$ \_\_\_\_\_\_\_\_\_\_. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

Required PHA certifications for bid

documents are correct and in PHA files. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

PHA/architect maintained a control log of

all bid documents. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

PHA executed construction or equipment

contracts only where PHA could properly

certify under paragraph 9-11c of CIAP

Handbook. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

12/89

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APPENDIX 18

NOT

ITEMS YES NO REVIEWED

All contract documents are properly

executed and retained in PHA files,

e.g., bonding, DOL notification,

insurance, etc. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

PHA sent copies of all executed contract

documents to the Field Office. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

IV\. Contract Administration

PHA/architect reviews sampling of

contractor\'s payroll reports and resolves

any discrepancies. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

PHA-approved construction progress schedule

is reasonable and consistent with contract

and HUD-approved Project Implementation

Schedule. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

PHA-approved schedule of amounts for

contract payments is reasonable for the

scheduled work. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

PHA is requisitioning cash after inspecting

that work has been acceptably completed. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

PHA is maintaining a separate contract

modifications register for each contract,

which includes all required information. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

PHA issued contract modifications only

where such modifications were within the

HUD-established threshold, or after it

received HUD approval. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

Current threshold for contract

modifications of \$ \_\_\_\_\_\_\_\_\_\_ should be

changed to \$ \_\_\_\_\_\_\_\_\_\_. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

Required PHA certifications for contract

modifications are correct and in PHA

files. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

PHA is properly maintaining a construction

log to record potential causes of delay.

12/89

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APPENDIX 18

NOT

ITEMS YES NO REVIEWED

PHA is properly preparing \"findings of

fact\" in response to contractor requests

for time extensions or disputes and

claims. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

PHA is accepting project for early

occupancy only where Handbook conditions

are met. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

PHA is notifying Field Office of

scheduled final inspection. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

PHA is submitting required settlement

documents to Field Office. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

PHA is making final payment to the

contractor in accordance with Handbook

requirements. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

V. Program Administration

PHA has a system for monitoring funds

obligated and expended by work item. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

PHA has not obligated or expended funds

for a work item in excess of latest

approved budget amount for a work item. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

PHA revised budget without prior HUD

approval only where revisions were

within the HUD-established threshold,

or after it received HUD approval. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

Current threshold for budget revisions of

\$ \_\_\_\_\_\_\_\_\_\_ should be changed to

\$ \_\_\_\_\_\_\_\_\_\_. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

Required PHA certifications for budget

revisions are correct and in PHA files. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

PHA quarterly progress reports are timely

and accurate (review and compare with

Books of Account). \_\_\_\_ \_\_\_\_ \_\_\_\_\_

Administrative costs are properly

documented with time sheets and reflect

only direct changes. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

12/89

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APPENDIX 18

NOT

ITEMS YES NO REVIEWED

PHA is moving residents in accordance with

relocation requirements. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

Units are being returned to occupancy in

a timely manner. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

PHA has made efforts to hire residents to

carry out modernization work. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

VI\. Management Improvement and Other

Professional Service Contracts

PHA properly used competitive proposal

procedures to procure management

services. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

PHA entered into management contracts and

issued contract modifications without prior

HUD approval only where contracts were

within the HUD-established thresholds, or

after it received HUD approval. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

Current management contract threshold of

\$ \_\_\_\_\_\_\_\_\_\_ and current management

contract modification threshold of

\$ \_\_\_\_\_\_\_\_\_\_ should be changed to

\$ \_\_\_\_\_\_\_\_\_\_ and \$ \_\_\_\_\_\_\_\_\_\_ ,

respectively. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

Required PHA certifications for management

contracts and contract modifications are

correct and in PHA files. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

Contractor is performing satisfactorily

under the terms of contract. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

PHA is meeting established performance

targets for improving management areas. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

Completed management improvements are

being sustained. \_\_\_\_ \_\_\_\_ \_\_\_\_\_

12/89

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