Documentation Collection Document For Use in Section Date Received (or N/A) Comments Description: This Section provides a list of documents required to answer the questions within this Checklist. Execute this Section prior to beginning the review. Procurement Policies and Procedures 2.1 Contracting Policies and Procedures 2.2 Financial Management Policies and Procedures 2.3 Monitoring Policies and Procedures 2.4 Record Keeping Policies and Procedures (onsite only) 2.5 Most Recent Draw Request/Request for Payment and supporting documentation 3.4 Appropriate Audit/Financial Report An A-133 if the Subrecipient has expended more than $500,000 in federal funds within a fiscal year 3.3 Annual sworn financial statement if revenue received was $50,000 or less 3.3 Annual compilation if revenue received was more than $50,000 but less than $200,000 3.3 An annual review along with the required agreed upon procedure report if revenue received was $200,000 or more but less than $500,000 3.3 Federally Approved Indirect Cost Plan, if applicable 3.4 504 Self Evaluation 4.1 Section 504 Assurance 4.1 Evidence of the administration of a Fair Housing Activity 4.2 Title VI Record Documentation 4.3
Requirements - Do the Procurement policies and procedures include a requirement that staff review proposed procurements for Cost reasonableness? 24 CFR 85.36; 24 CFR 84.45, 84.84 requires that cost reasonableness is reviewed: To avoid unnecessary purchases; To avoid duplicative purchases, and; Ensure costs are reasonable. Yes No N/A Finding Concern Requirements - Do the Procurement policies and procedures include a requirement that staff review proposed procurements to ensure contractors are eligible? 24 CFR 85.35; 24 CFR 84.13 requires that awards are not made to any party which is debarred or suspended or is otherwise excluded from or ineligible for participation in Federal assistance programs under Executive Order 12549, “Debarment and Suspension”. Yes No N/A Finding Concern Requirements - Do the Procurement policies and procedures include a requirement that affirmative efforts be undertaken to hire women’s business enterprises, minority firms and labor surplus firms? [24 CFR 85.36(e); 24 CFR 84.44(b), 24CFR84.84(e)(2)] Yes No N/A Finding Concern Requirements - Do the Procurement policies and procedures include a requirement that all disputes relating to procurement actions be handled, resolved, and disclosed? [24 CFR 85.36(b)(12); 24 CFR 84.84] Yes No N/A Finding Concern Requirements - Do the Procurement policies and procedures include a requirement that all procurements be conducted using “open and free competition,” unless an exception applies? [24 CFR 85.36(c); 24 CFR 84.84(d)] Yes No N/A Finding Concern
Requirements - Do the Procurement policies and procedures include a requirement to eliminate unfair competitive advantages in procurements? [24 CFR 85.36(c);24 CFR 84.84(d); 24CFR84.43] Yes No N/A Finding Concern Contract Administration Policies and Procedures Description: Use this Section to determine if the Subrecipient has developed a contract administration system which ensures that contractors perform in accordance with the terms, conditions, and specifications of their contracts or purchase orders. This section provides best practices that may be utilized in an adequate contract administration system. Regulation: 24 CFR 85.36(b)(2), 24 CFR 84.47, 24 CFR 84.84(h) Does the Subrecipient have contract administration policies and procedures in place? If no, the remaining questions within this Section are not applicable. Technical Assistance should be provided. Yes No N/A Finding Concern Has the Grantee/ Recipient/ Subrecipient’s contract administration policies and procedures been reviewed during a previous monitoring review? Yes No N/A Finding Concern Have any issues been discovered based on prior reviews of the contract administration policies and procedures or have any revisions been made since the previous review? If No, mark the remaining questions in this Section as “N/A”. Yes No N/A N/A Finding Concern Are the policies and procedures documented? Yes No N/A Finding Concern Does the Subrecipient have a process in place for communicating policies and procedures (including updates) to staff? Yes No N/A Finding Concern
Are the Subrecipient’s contract administration policies and procedures adequate? Contract Administration best practices include: Utilizing Contract Templates for developing contract; Identifying a contract administrator for each contract executed; Implementing a process to ensure contractor abides by the terms of the contract procedures; Implementing a deliverable review/approval process; and, Implementing a process for managing issues that may arise with the contractor. Yes No N/A Finding Concern Isaac Only Grantees implementing projects utilizing funding from the Hurricane Isaac allocation are required to meet these guidelines. Does the Subrecipient maintain a record of achieving certification of a comprehensive green building program or completion of the HUD CPD Green Building Retrofit Checklist, as appropriate? Yes No N/A Finding Concern If yes, proceed to question 2. If no, is the Subrecipient exempt from meeting the green building standard? Yes No N/A Finding Concern Did the Subrecipient require procured contracts to contain (1) performance measures and associated penalties and (2) a period of performance or the date of completion? Yes No N/A Finding Concern If an Action Plan Amendment is submitted after 11/18/2013, did the subrecipient describe its process for the selection and design of green infrastructure projects or activities, and/or how selected projects or activities will incorporate green infrastructure components? (Per Fed. Reg. 78 No. 222) Yes No N/A Finding Concern Financial Management Policies and Procedures Description: Use this Section to determine if the Grantee Recipient/Subrecipient’s financial management policies and procedures meet the requisite standards. Regulations: 24 CFR 84.21, 24 CFR 85.20, 24 CFR 570.502
Does the Subrecipient have written procedures (i.e., “Section 3 Plan”) governing how Section 3 residents are to be notified about employment and training opportunities generated by program participant or its contractors as a result of the expenditure of covered financial assistance? [24CFR 135.32 (a)] Yes No N/A N/A Finding Concern Does the Subrecipient have written procedures (i.e., “Section 3 Plan”) governing how Section 3 business concerns are to be notified about contracting (or subcontracting) opportunities generated by the program participant or its contractors involving covered financial assistance? [24 CFR 135.32 (a)] Yes No N/A N/A Finding Concern Does the Subrecipient have written procedures (i.e., “Section 3 Plan”) governing how applicable entities are notified about their requirements pursuant to Section 3? [24 CFR 135.32(b) and 24 CFR 135.32(f)] Yes No N/A N/A Finding Concern Does the Subrecipient have written procedures (i.e., “Section 3 Plan”) governing how compliance with the requirements of Section 3 will be monitored? [24 CFR 135.32(d) and 24 CFR 135.32(f)] Yes No N/A N/A Finding Concern Does the Subrecipient have written procedures (i.e., “Section 3 Plan”) describing the steps taken to facilitate meeting the minimum numerical goals for employment and contracting opportunities? [24 CFR 135.32(c)] Yes No N/A N/A Finding Concern