U.S. Department of Housing and Urban Development

Originating Organization: H O U S I N G

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Special Attention of: Interim Notice H 92-9 I

All Regional Administrators

All Regional Directors of Housing Issued: 6/22/92

All Public Housing Regional Directors Expires: 10/31/92

All Housing Development Directors
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All Public Housing Directors Cross References:

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Subject: Monitoring of FY 1991 and 1992 Special Purpose Grants

This Interim Notice provides instructions for the following

post-approval program office functions related to FY 1991 and

1992 Special Purpose Grants: clarification meeting; monitoring;

managing the Line of Credit Control System-Voice Response System

(LOCCS- VRS), and executing Amendments to Grant Agreements.

1\. Clarification Meeting.

Immediately following execution of the Grant Agreement by

the Grantee, the Regional Coordinator shall meet or direct

the Field Office to meet with non-government FY 1992

Grantees. Grantees which are units of local government but

do not receive Community Development Block Grant funds

directly from HUD (i.e. entitlement cities and urban

counties) and have not established a good track record,

according to responsible HUD staff, in administering

non-entitlement CDBG funds should be encouraged to attend such a

meeting.

The purpose of the meeting is to clarify and emphasize the

requirements of the Grant Agreement and the applicable

uniform requirements and cost guidelines (i.e. 24 CFR Parts

85 and 87 for public bodies and OMB Circulars
[A-110](http://www.whitehouse.gov/omb/circulars/a110/a110.html) and

A-122 for private, non-profit organizations). Particular

attention should be paid to reporting, Subgrantee

agreements, closeout, and any special conditions listed in

the Grant Agreements. It should also be explained that

those Grantees not subject to the Single Audit Act will need

to have an audit conducted annually.

II\. Responsibility for Monitoring.

A. Primary responsibility for monitoring Special Purpose

Grant requirements, except as indicated in Paragraphs

I-C and I-D below, lies with the designated Regional

Coordinator within the Regional Office of Housing.

Designated coordinators as of the date of this Notice

are listed in Exhibit 1.

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Distribution: W-3-1,
W-2(H),W-3(A)(H)(OGC)(ZAS),W-4(H),R-1,R-2,R-3,R-3-1,

R-3-2, R-3-3, R-6, R-6-1, R-6-2, R-7, R-7-1, R-8

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B. The Regional Coordinator may utilize Field Office

staff, particularly staff who assisted in the review of

Special Purpose Grant applications, to assist or

perform the monitoring. To the extent that Field

Office Housing staff are utilized, the Housing

Development Division should be assigned the lead.

C. Regional Offices of Public Housing (see Exhibit 2) and

their Field Office counterparts must perform all

monitoring responsibilities for the Special Purpose

Grants related to public housing with overall

coordination by the Regional Office of Housing.

D. Responsibility for monitoring equal opportunity

requirements lies with HUD Fair Housing and Equal

Opportunity staff.

III\. Frequency and Timing of Monitoring. Monitoring of each

project must occur at least once per year until closeout or

more often if monitoring identifies problems with the

project. Ideally, monitoring should be timed to follow

closely the June 30 or December 30 scheduled receipt of

Grantee progress reports where applicable. It is also ideal

if monitoring is conducted early in the first year after

Grantee execution of the Grant Agreement so that potentially

longterm violations can be identified and corrected early

on.

IV\. Monitoring Procedures.

A. Establish Monitoring Schedule for all FY 1991 Special

Purpose Grants by July 1. The schedule must list staff

assigned to perform monitoring. Notify Headquarters by

July 15 of your schedule and designated staff.

B. Advise Grantee of monitoring plans in writing in

advance.

C. Alert FHEO Staff to schedule Equal Opportunity reviews

and provide them with copies of the Grant Agreement to

assist in their monitoring.

D. Preparation. Review the project file \-- including

application, Grant Agreement, any amendment, Grantee

progress reports, HUD environmental findings, records

of HUD\'s responses to Line of Credit Control System-Voice

Response System (LOCCS-VRS) flagged drawdown

requests, and other material \-- prior to the visit.

Also obtain a complete record of funds drawndown from

LOCCS. Train participating staff in monitoring as

appropriate. Complete Section A of the checklist in

Exhibit 3 using these materials. Also use the

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materials as a reference in conducting on-site office

and project reviews and in completing Sections B and C

of the checklist in Exhibit 3.

E. Office Review of Grantee and, as applicable,

subgrantee, administrative agent or beneficiary.

Complete Section B of the checklist in Exhibit 3.

F. Site review of project. Complete Section C of the

checklist in Exhibit 3.

G. Notify Grantee and Headquarters Development Grant

Division in writing of monitoring findings. Report to

Headquarters should include copies of the letter to the

Grantee and the monitoring checklist.

H. Establish and Monitor Plan for Corrective Action of any

Grant Agreement violations after consulting with the

Grantee and Headquarters. Once the capability is

available, in most cases, the Regional Special Purpose

Grant Coordinator should freeze LOCCS-VRS payments as

appropriate until the corrective action is successfully

completed (see Paragraph VII B 3 of this Notice). The

Regional Director of Housing may also determine, if

monitoring identifies violations or generates long-term

HUD concerns, that the frequency of Grantee reporting

should be increased.

V. Monitoring Concerns.

A. HUD Office Review. Compare the amount of funds drawn

down with amount that could be expected based on the

schedule in the Grant Agreement. Also, if drawdowns

have occurred, determine whether any HUD approvals

required as a prior condition of drawdowns have been

obtained.

B. Grantee or Subgrantee Office Review. Concerns to be

reviewed at the office of Grantee, beneficiary,

administrative Agent, and/or subgrantee are as follows:

1\. Procurement of contracts in accordance with 24 CFR

Part 85.36 and/or OMB Circular A-110, Attachment

O.

2\. If the Grant Agreement requires Grantee execution

of a contract with any subgrantee, administrative

agent or beneficiary prior to drawdown, execution

of such a contract in accordance with Article II

of the Grant Agreement.

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3\. Timing of drawdowns to result in minimal time

elapsing between funds drawdown and disbursement

for project purposes as per 24 CFR 85.20 and/or

OMB Circular A-110.

4\. For construction costs only, drawdowns based on

the percentage of completion method and a 10

percent holdback on the construction contract with

the General Contractor, as per Article III or

Articles II and IV of the Grant Agreement.

5\. Standards of financial management related to

accounting records, internal control, budget

control and source documentation in accordance

with 24 CFR 85.20 or OMB Circular A-110 Attachment

F.

6\. Costs reimbursed with Grant funds.

a\. Use of Grant funds for purposes stated in the

Project Application and Grant Agreement.

b\. For units of government only, allowability of

costs per 24 CFR 85.22.

c\. Reasonableness and allocability of costs per

OMB Circular(s) A-87 and/or A-122.

d\. Effectiveness of procedures used to prevent

duplicative funding of one cost by the

Special Purpose Grant and any other source.

7\. Grantee compliance with and enforcement of

certification and disclosure requirements

concerning drugfree workplaces and concerning

ineligible, debarred and suspended contractors.

8\. Grantee submission of pre-closeout progress

reports to HUD, if required by and at frequencies

prescribed in, the Grant Agreement. Reports

should follow the format prescribed by 24 CFR

85.40 and 85.41(b), and/or Attachments G and H of

OMB Circular A-110.

In accordance with such instructions, financial

reports must use Form SF 269 (see Exhibit 4) and

the following; for construction projects - form

271 (see Exhibit 5), and for non-construction

projects - a breakdown in costs similar to SF 424

A (see Exhibit 6) .

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9\. Compliance with special conditions in Exhibit 3 to

Grant Agreement. Common special conditions

include the following:

a\. Evidence of the availability of funds other

than the Special Purpose Grant that are

needed to complete the project.

b\. If the project is for a State or locally

operated construction or rehabilitation

program for which all sites were not

identified at the time of application

approval, verify that all Grantee or

subgrantee approved sites for the program as

of the date of the drawdown request have also

received HUD environmental approval as

required by the Grant Agreement.

c\. Submission and approval by HUD of a property

appraisal, evidence of site control, or

building plans and specifications as needed

to demonstrate feasibility and cost

reasonableness prior to drawdown for

acquisition or site work.

10\. Grantee monitoring, as required by 24 CFR 85.40 or

Attachment G of OMB Circular A-110, and

enforcement of subgrantee or contractor

responsibilities.

11\. Grantee completion and maintenance of accurate

Form 27053 vouchers for all LOCCS-VRS drawdown

requests.

C. Project Site Review

1\. Performance. Evaluate:

a\. Conformance of the project activity with the

narrative description in the application as

may be amended or supplemented by Exhibits 1

and 3 of the Grant Agreement.

b\. Problems in meeting the approved schedule as

they may reflect the Grantee\'s, subgrantee\'s

or contractor\'s inability to complete the

Project as specified by the Grant Agreement.

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c\. Program accomplishments compared to

commitments made in the Project Application

and Exhibits 2 and 3 of Grant Agreement,

relative to percentage of funds expended and

progress in meeting the project schedule.

2\. Compliance with environmental conditions

established by the HUD environmental review and

Exhibit 3 of Grant Agreement.

3\. Compliance with Uniform Relocation Act.

VI\. Grantee Submission and HUD Review of Progress Reports.

A. Semi-annual progress reports which report both

financial and program project information are required

by the Grant Agreements for all FY 1991 Special Purpose

Grants that are either in excess of \$900,000 or

executed after January 1, 1992 and for all FY 1992

Special Purpose Grants. Grant Agreements for FY 1991

Special Purpose Grant projects under \$900,000 and

executed in calendar year 1991, but scheduled to

continue for over one year prior to closeout, include a

requirement for annual progress reports.

B. The Regional Director of Housing may determine, for

individual projects where monitoring identifies

violations or generates long-term HUD concerns, that

the frequency of Grantee reporting shall be increased.

C. Special Purpose Grant Coordinators or other staff to

whom monitoring responsibilities have been assigned

shall immediately inform FY 1991 Grantees that are

required to submit progress reports of the following in

writing:

1\. Financial reports shall be in the form of SF 269

(see Exhibit 4) and the following; for

construction projects - form 271 (see Exhibit 5),

and for non-construction projects - a breakdown in

costs similar to SF 424 A (see Exhibit 6).

2\. Program reports shall track accomplishments, at a

minimum, in all areas covered in the Project

Application as may have been amended by the Grant

Agreement.

3\. Due dates for semi-annual reports shall be June 30

and December 30 each year. Due dates for annual

reports, when applicable, shall be June 30 for

projects with Grant Agreements executed by

Grantees prior to September 30 of any given year.

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7

Due dates for annual reports shall be December 30

for projects with Grant Agreements executed by

Grantees after September 30 of any given year

4\. No LOCCS payments will be approved for projects

with overdue progress reports.

D. HUD Processing of Progress Reports.

1\. When progress reports are received from Grantees,

the Regional Special Purpose Grant Coordinator

shall register receipt of the reports in LOCCS-VRS

(see Paragraph VII B 3 of this Notice).

2\. If the progress report is received shortly before

scheduled monitoring, the report will not require

a separate review other than incorporation in the

overall monitoring as indicated in Section III D

of this Notice.

3\. If the progress report is not received in close

proximity to the next scheduled monitoring, staff

with project monitoring responsibility shall

review the report for indications of possible

Grant Agreement violations. The monitoring

checklists can serve as a guide to key HUD

concerns. Concerns identified from the report may

be followed up with a telephone call to the

Grantee, a letter and/or an expedited monitoring

visit. When violations are verified, HUD shall

notify the Grantee in writing, establish and

document a plan for corrective action, and

withhold further LOCCS-VRS payments, as

appropriate, pending corrective action.

VII\. Project Amendments.

A. Amendments to Special Purpose Grants may be approved by

HUD if they do not reduce the public benefit provided by

the grant, endanger feasibility, or result in the Grant\'s

failure to conform with the language of the

Appropriations Act or other applicable Federal

requirements including laws, regulations, and OMB

Circulars. These requirements relate to: equal

opportunity, the environment, relocation, cost

reasonableness and grant administration. If Special

Purpose Grants projects receive assistance under any

other HUD program, amendments shall be coordinated with

the HUD office responsible for administration of that

program. Amendments for grants related to public housing

shall be coordinated with the Office of Public and Indian

Housing.

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B. Changes in the project schedule or cost line items may be

approved by the HUD Regional Director of Housing or

Regional Directors of Public Housing. These changes

shall be approved in the format of Exhibit 7 which shall

be completed by HUD staff upon request. After the change

has been approved, copies should be provided to the

Headquarters Development Grant Division, Regional Special

Purpose Grant Coordinator, and any Field Office staff

with lead monitoring responsibility. These changes will

be deemed revisions to the project application as

incorporated in the Grant Agreement.

C. Any substantive changes to projects other than those

described in item B above must be included in a formal

Amendment to the Grant Agreement which shall be executed

by the Regional Administrator. Regional staff preparing

such an Amendment for signature by the Regional

Administrator should consult Headquarters Development

Grant Division staff for instructions as to format and

distribution of the Amendment.

VIII\. Regional Program Office\'s Role Under LOCCS-VRS.

A. Regional Role in Establishing Grantee Drawdown Capacity.

1\. After the Regional Office completes the review of

an approvable Special Purpose Grant application

and transmits the review to Headquarters,

Headquarters executes and forwards a Grant

Agreement to the Grantee along with blank Letter

of Credit Control System- Voice Response System

(LOCCS-VRS) related forms SF 1199, HUD 27054, a

starter supply of form 27053 and instructions.

After executing the Grant Agreement, the Grantee

will forward to HUD the following:

a\. to the Regional Special Purpose Grant

Coordinator, one original Grant Agreements to

the project.

b\. to the Headquarters Development Grant

Division, two originals of the Grant

Agreement the SF 1199 and form HUD 27054.

Headquarters distributes these forms to the

below-mentioned departments which compare the

forms to the Grant Agreement for Grantee

verification.

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2\. The Grantee may drawdown funds after:

a\. Headquarters Office of Finance and Accounting

(OFA) establishes the Line of Credit after

receiving the SF 1199 and the grant agreement

from the Headquarters Development Grant

Division.

b\. the Headquarters OFA Support Branch in the

Office of IPS establishes a security

clearance and access number for Grantee staff

responsible for LOCCS-VRS drawdowns. This

occurs after IPS receives the completed HUD

Form 27054 from the Development Grant

Division in Headquarters.

c\. the Grantee has met all preconditions for

drawdown in the Grant Agreement.

3\. The Grantee becomes aware of its technical

capacity to draw down Grant funds by receiving

computer generated letters from OFA concerning

effectiveness of the Line of Credit and advising

them of their grant-specific Voice Response

Number, and from Headquarters IPS concerning

security clearance and identification of Grantee

staff. The Grantee remains responsible for

drawing down funds only after fulfilling

preconditions in the Grant Agreement. HUD

oversees such compliance in reviewing the initial

draw request as indicated in Sections VI B, C and

D below and during scheduled project monitoring.

B. Responsibility for Review and Approval of Payment

Requests.

1\. Responsibility for review and approval of Special

Purpose Grant drawdown requests flagged for

program review by LOCCS-VRS for FY 1991 and 1992

Special Purpose Grants is hereby delegated to the

Special Purpose Grant Coordinator in the Regional

Office of Housing effective upon OFA\'s

establishment of technical capacity for such

Regional review and approval. However, the

Headquarters Office of Finance and Accounting

(OFA) has elected to retain responsibility for the

accounting function for these Grant funds rather

than transferring them to the Regional Accounting

Divisions (RADs).

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2\. Until Headquarters completes the technical

requirements for decentralizing LOCCS-VRS

payments, HUD Headquarters Development Grant

Division staff will continue to review the

drawdown requests flagged by LOCCS-VRS edits for

Special Purpose Grants. As decentralization may

require some time to effect, Regional Directors of

Housing will be notified in advance as to the

effective date of the transfer of the review of

requests for funds.

3\. Headquarters will provide written instructions to

Regional Coordinators on making Special Purpose

Grant payments under LOCCS-VRS. The Development

Grant Division and Headquarters will provide

telephone conference training to Regional Special

Purpose Grant Coordinators on all aspects of

LOCCS-VRS including how to approve payments, how

to freeze payments and how to register receipt of

progress reports in LOCCS-VRS.

4\. The Special Purpose Grant Coordinator shall

consult its contact in the Regional Office of

Public Housing when payment requests are flagged

for projects for which the Office of Public

Housing has monitoring responsibilities (i.e.,

projects involving public housing). For these

projects, the Office of Public Housing should

conduct the verification of compliance with

criteria (see Sections VI C and D below) and

indicate to the Office of Housing whether the

payment should be authorized.

C. Payments Requiring Regional Reviews. LOCCS-VRS is

programmed for automatic approval of properly completed

telephone requests for funds except those automatically

\"flagged\" by LOCCS-VRS for Regional Office of Housing

review. The following are \"flagged\" by LOCCS for review

by the Regional Special Purpose Grants Coordinator:

1\. Requests for the initial payment under each grant.

2\. Requests for more than 10 percent of the total

grant amount.

3\. Requests which, if approved, would reduce the

remainder in the LOC grant account to less than 50

percent of the total grant.

4\. Requests which, if approved, would reduce the

remainder in the LOC grant account to less than 10

percent of the total grant.

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5\. Requests related to grants for which a progress

report required by the Grant Agreement is overdue.

D. Criteria for Approving Payments - Criteria for reviewing

flagged payment requests are listed below. For LOCCS

payment purposes, the criteria may be verified by the

Grantee\'s oral telephone certification if documentation

is not available and current in the project file. All

such conversations shall be documented by memoranda to

the file, including the name of the Grantee staff

consulted, the date of the call(s), and the information

certified.

1\. Criteria applicable to any payment flagged.

a\. Verify that there are no outstanding HUD

monitoring findings against the Grantee,

subgrantee, or beneficiary.

b\. Verify that the Grantee is minimizing the

time elapsing between transfer of the grant

funds and disbursement for project purposes

(i.e., is drawing down funds only to cover

immediate project needs) as required by 24

CFR Part 85 and OMB Circular A-110.

c\. Verify, for construction work and for other

work where a fixed product has been

committed, that the percentage of work

completed is in proportion to the amount

drawn down.

d\. Verify that the Grantee is not overdue in

submitting progress reports as required by

the Grant Agreement.

e\. Verify that the Grantee is maintaining, in a

project file, written vouchers (Form 27053)

documenting all LOCCS-VRS drawdowns.

f\. If the project is for a State or locally

operated construction or rehabilitation

program for which all sites were not

identified at the time of application

approval, verify that all Grantee or

Subgrantee approved sites for the program as

of the date of the drawdown request have also

received HUD environmental approval as

required by the Grant Agreement.

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2\. Additional Criteria for Initial Project Payment

Review

a\. Verify that the Grantee has received and

approved from subgrantees and/or contractors

all certifications and disclosures required

by 24 CFR 87.110 concerning lobbying and by

24 CFR 24.510(b) regarding ineligibility,

suspension and debarment.

b\. Verify that the Grantee has executed

agreements with any subgrantee,

administrative agent, or beneficiary as

required by the Grant Agreement.

c\. If the project involves construction, verify

that the construction contract with the

General Contractor includes a provision

withholding 10 percent of the contract amount

pending satisfactory project completion as

required by the Grant Agreement.

d\. Verify that all contracts are being awarded

in accordance with procurement requirements

at 24 CFR 85.36 or OMB Circular A-110 as

applicable.

If contracts remain to be awarded after the

first draw and the reviewer is not confident

about the Grantee\'s or Subgrantee\'s

propensity to comply with these requirements,

note to the file for inquiry in reviewing

future draws.

e\. Verify that any Special Conditions listed in

Exhibit 3 of the Grant Agreement and not

covered by other criteria stated above have

been/ are being met.

3\. Additional Criteria for Reviews of Requests for

Payment of Over 10 Percent of the Grant

a\. Ascertain that the purpose for which the

funds are being drawn down are in compliance

with the Grant Agreement, including the

Project application incorporated therein by

reference.

b\. Exert extra care to verify that the funds

drawn down are to meet the immediate project

needs only (see paragraph D 1 b above).

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4\. Additional Criteria for Requests that would Result

in Cumulative Grant Drawdowns Exceeding 50

Percent.

a\. Verify, for construction projects, that the

percentage of project completion does not

fall behind the percentage of grant drawn

down.

5\. Additional Criteria for Requests that would Result

in Cumulative Grant Drawdowns Exceeding 90

Percent.

a\. Verify that the project is on schedule.

b\. Verify that the Grantee is preparing itself

to submit a Closeout Report as required by

the Grant Agreement.

6\. Additional Criteria for Overdue Progress Reports

No payment shall be made if a progress report is

overdue except on an emergency basis and with

credible assurances of prompt report submission by

the Grantee.

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Arthur J. Hill

Assistant Secretary for Housing

-Federal Housing Commissioner

Attachments

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EXHIBIT 1

REGIONAL SPECIAL PURPOSE GRANT HDG COORDINATORS

Region I Region VI

Edward Bernard Mary Ann Plumlee

Boston Regional Office Fortworth Regional Office

(FTS) 835-5103 (FTS) 728-5920

Region II Region VII

Yvonne Lee Klifton Barrett

New York Regional Office Kansas City Regional Office

(FTS) 264-5062 (FTS) 757-3812

Region III Region VIII

William Tower Lorin Hunt

Philadelphia Regional Office Denver Regional Office

(FTS) 597-5564 (FTS) 564-6261

Region IV Region IX

Janice K. Danford William Rogina

Atlanta Regional Office San Francisco Regional Office

(FTS) 841-4976 (FTS) 556-7317

Region V Region X

Phyllis Griffith Vincent Gonzales

Chicago Regional Office Seattle Regional Office

(FTS) 886-9415 (FTS) 339-4373

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EXHIBIT 2

REGIONAL PUBLIC HOUSING DIRECTORS

REGION 1 DORIS DESAUTEL (FTS) 835-5196

REGION 2 R. ARTHUR MAURICE (FTS) 264-0903

REGION 3 ANN COHEN (FTS) 596-2550

REGION 4 CHARLES E. CLARK (FTS) 841-4815

REGION 5 THOMAS REIMER (FTS) 353-1915

REGION 6 BILL CANALES (FTS) 728-5934

REGION 7 STEVEN ISRAELITE (FTS) 757-3916

REGION 8 JOHN DIBELLA (FTS) 564-4034

REGION 9 JULIAN FITZHUGH (FTS) 566-1726

REGION 10 HAROLD E. SAETHER (FTS) 399-4322

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EXHIBIT

3

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SPECIAL PURPOSE GRANT MONITORING CHECKLIST

A. HUD Office Review. Retrieve Line of Credit Control

System (LOCCS) drawdown information on the project.

Compare the portion of funds drawn down with schedule in

the Grant Agreement.

1\. Do drawdowns appear to be at a rate consistent with,

significantly more rapid than or significantly

slower than would be expected under the project

schedule?
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\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

2\. a. Does Exhibit 3 of the Grant Agreement require

any additional HUD approval prior to drawdown of

funds for specific purposes?

\_\_\_ \_\_\_

/\_\_/ Yes /\_\_/ No

b\. If the answer to a. is yes, has HUD approval

been obtained?

\_\_\_ \_\_\_

/\_\_/ Yes /\_\_/ No

c\. If the answer to b. is no, do the level of

drawdowns to date indicate that drawdowns may have

occurred for unauthorized purposes?

\_\_\_ \_\_\_

/\_\_/ Yes /\_\_/ No

d\. Explain.
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

2

B. Grantee or Subgrantee Office Review. Concerns to be

reviewed at office of Grantee, Ultimate Beneficiary,

Administrative Agent, or other subgrantee.

1\. Procurement of contracts. Review the Grantee\'s

and/or Subgrantee\'s records on contract procurement.

Has procurement been in accordance with the rules

of 24 CFR Part 85.36 and/or Attachment O of OMB

Circular A-110, as specified in the Grant Agreement?

\_\_\_ \_\_\_

/\_\_/ Yes /\_\_/ No

If not, explain.
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

2\. Execution of Contracts with Subgrantees

a\. Does the Grant Agreement require under Article

III A, that the Grantee have executed a contract,

with the Subgrantee, Ultimate Beneficiary and/or

other party prior to drawdown?

\_\_\_ \_\_\_

/\_\_/ Yes /\_\_/ No

b\. If the answer to a. is yes, has the Grantee

complied with this requirement?

\_\_\_ \_\_\_

/\_\_/ Yes /\_\_/ No

c\. If the answer to b. is yes, is the contract in

compliance with Article II of the Grant Agreement

\_\_\_ \_\_\_

/\_\_/ Yes /\_\_/ No

d\. Explain any \"No\" answer to Questions 2b or 2c.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

3

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

3 Timing of Drawdowns and Disbursements. Examine the

Grantee\'s disbursement of funds to the Subgrantee

and/or either party\'s payment of funds for project

costs. Compare this to the Grantee\'s or HUD\'s

records of Special Purpose Grant LOCCS drawdowns.

Does it appear that drawdowns are timed to result

in minimal time elapsing before disbursement for

project purposes as required by 24 CFR Part 85.20(7)

and OMB Circular A-110 Attachment F?

\_\_\_ \_\_\_

Yes /\_\_/ No /\_\_/

Explain.
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

4\. Standards of Financial Management. Review the

Grantee\'s and Subgrantee\'s Grant fund accounting

systems and the source material on costs received

from the subgrantee or contractor. Do these systems

meet the requirements of 24 CFR 85.20 and/or OMB

Circular 110 Attachment F regarding:

a\. Accounting records

\_\_\_ \_\_\_

Yes /\_\_/ No /\_\_/

Explain.
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

b\. Internal control

\_\_\_ \_\_\_

Yes /\_\_/ No /\_\_/

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

4

Explain.
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

c\. Budget control

\_\_\_ \_\_\_

Yes /\_\_/ No /\_\_/

Explain.
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

d\. Source documentation

\_\_\_ \_\_\_

Yes /\_\_/ No /\_\_/

Explain.
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

5\. Drawdowns for Construction Costs.

a\. For construction costs only, review a copy of

the construction contract with the General

Contractor. Does the contract call for grant

drawdowns based on the percentage of completion

method and a 10 percent holdback, as per Article

III or Articles II and IV of the Grant Agreement.

\_\_\_ \_\_\_ \_\_\_

Yes /\_\_/ No /\_\_/ N/A /\_\_/

Explain.
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

5

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

b\. If yes, does source documentation received by

the Grantee or Subgrantee indicate that grant fund

project disbursements are in accordance with this

contract provision?

\_\_\_ \_\_\_

Yes /\_\_/ No /\_\_/

Explain.
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

6\. Costs Reimbursed with Grant Funds. Review the

Grantee\'s or Subgrantee\'s documentation of costs

reimbursed with grant funds. Do these costs meet

the following criteria:

a\. Use of Grant funds for general purposes stated

in the Project Application and Grant Agreement.

\_\_\_ \_\_\_

Yes /\_\_/ No /\_\_/

Explain.
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

b\. Use of Grant funds within specific budget line

items and amounts budgeted for each line item.

\_\_\_ \_\_\_

Yes /\_\_/ No /\_\_/

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

6

Explain.
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

c\. For units of government only, allowability of

costs per 24 CFR 85.22.

\_\_\_ \_\_\_

Yes /\_\_/ No /\_\_/

Explain.
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

d\. Reasonableness and allocability of costs per OMB

Circular(s) A-87 and/or A-122.

\_\_\_ \_\_\_

Yes /\_\_/ No /\_\_/

Explain.
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

e\. Grantee and subgrantee have taken care not to

charge the same (duplicative) costs to the Special

Purpose Grant and to any other source.

\_\_\_ \_\_\_

Yes /\_\_/ No /\_\_/

Explain.
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

7

6\. Contractor Certifications. Has the Grantee and

Subgrantee complied with and enforced requirements in 24

CFR Part 24 for certification and disclosures concerning

drugfree workplaces and ineligible, debarred and

suspended contractors? (Grantees or subgrantees named

in the Appropriations Act are exempt from the requirement

to provide certifications regarding their own status as

eligible contractors but must obtain such certifications

from covered \"lower tiers.\")

\_\_\_ \_\_\_

Yes /\_\_/ No /\_\_/

Explain.
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

7\. Pre-closeout Reporting.

a\. Does Exhibit 3 of the Grant Agreement require

that the Grantee submit pre-closeout reports to HUD?

\_\_\_ \_\_\_

Yes /\_\_/ No /\_\_/

b\. If so, have reports been submitted as required

by and at frequencies prescribed Exhibit 3 of the

Grant Agreement, and in the format prescribed by 24

CFR 85.40 and .41(b), and/or Attachments G and H of

OMB Circular A-110.

\_\_\_ \_\_\_ \_\_\_

Yes /\_\_/ No /\_\_/ N/A /\_\_/

c\. Explain.
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

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\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

(The Regional Director of Housing may determine,

after monitoring, that the frequency and types of

reporting should be increased.)

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

8

8\. Other Special Conditions. Are there special

conditions in Exhibit 3 of the Grant Agreement other than

the conditions described in Item B.7. above? (Include

conditions identified in Item A.2 above.)

\_\_\_ \_\_\_

Yes /\_\_/ No /\_\_/

If yes, list each condition and indicate whether the

Grantee has complied/is complying with each condition.

a\. Condition 1
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_ \_\_\_

Is being met /\_\_/ is not being /\_\_/

met

Explain.
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

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\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

b\. Condition 2
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_ \_\_\_

is being met /\_\_/ is not being /\_\_/

met

Explain.
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

c\. Condition 3
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_ \_\_\_

is being met /\_\_/ is not being /\_\_/

met

Explain.
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

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\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

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EXHIBIT

4

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\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

FINANCIAL STATUS REPORT

[SF-269-A FINANCIAL STATUS
REPORT](http://www.hudclips.org/sub_nonhud/html/pdfforms/sf269-a.pdf)

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Standard Form 269A (REV 4-88)

Prescribed by OMB Circulars A-102 and A-110

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

FINANCIAL STATUS REPORT

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SF 269A (4-88) Back

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EXHIBIT

5

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\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

OUTLAY REPORT AND REQUEST FOR REIMBURSEMENT

FOR CONSTRUCTION PROGRAMS

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Federal Register / Vol. 41, No. 148 / Friday, July 30, 1976

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EXHIBIT

6

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STANDARD FORM 424 A

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

BUDGET INFORMATION - Non-Construction Programs

SF424-A BUDGET INFORMATION

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

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EXHIBIT

7

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HUD APPROVAL OF BUDGET OR SCHEDULE CHANGES

FOR FY 91 OR 92 SPECIAL PURPOSE GRANTS

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