Grantee/ Recipient/ Subrecipient: Project ID: Monitor: Date Completed: Monitoring Prep - Document Collection Description: The Monitor must collect the following documents in order to execute the Project Checklist. Instructions: Work with the appropriate staff to follow up with the Grantee/ Recipient/ Subrecipient until the requisite documents are received. Check the box in the “Received?” column once received. Section Type of Applicable Project Required Documents Received? Section 4: Citizen Participation All Citizen Participation Plan, if applicable Evidence of Citizen Participation (Public hearing meeting notices, attendance logs, minutes, etc.) Section 5: National Objective and Eligible Activities All Project Application Section 6: Monitoring All Monitoring Policies and Procedures (Monitoring Plan) Monitoring Plan Schedule Monitoring Results Section 7: Procurement and Contract Review All Procurement Policies and Procedures For each Procurement/Contract: Justification of services, supplies, procured item(s) Advertisement/Publication (Not applicable if services, supplies, or items are procured through the Small Purchase Method) Proposals, Statement of Qualifications, Bids, or Quotes received Evaluation of all Proposals, Statement of Qualifications, or Bids received (Not applicable if services, supplies, or items are procured through the Small Purchase Method) Cost/Price Analysis Notice of Contract Award Section 8: Labor All Construction Projects For each Contractor, as applicable: Proof of Insurance Contractor Clearance Form Evidence of Labor Compliance Officer (LCO) Labor Interviews Proof of approval from the OCD/DRU to use Force Account Labor, if applicable LCO Labor Issues Log (including description, issue type, restitution amount, if any) For each Contractor: Verification of Wage Decision Form (Construction contracts exceeding $2,000 Only Two Weekly Payrolls Section 9: Financial Management All Financial Management Policies and Procedures Chart of Accounts Project Budget Revenue/Expenditure Report (or “Financial Status Report”) Bank Statement (Or other documentation required to review Cash Management)
Onsite Interviews Is there evidence that contractor employee interviews are being performed by the Grantee/ Recipient/ Subrecipient’s LCO? Yes No N/A Finding Concern Is there evidence that the LCO confirmed that the job site met all federal requirements regarding the posting of labor-related information? Yes No N/A Finding Concern Force Account Labor Has the Grantee/ Recipient/ Subrecipient elected to utilize Force Account Labor in implementing the project? Yes No N/A Finding Concern Did the Grantee/ Recipient/ Subrecipient receive written approval from the OCD/DRU prior to utilizing Force Account Labor? Yes No N/A N/A Finding Concern Issue Identification and Compliance Enforcement Has the LCO identified any labor compliance issues? Yes No N/A Finding Concern Did the LCO notify the contractor of all issues and request certified corrected payrolls? Yes No N/A N/A Finding Concern Did the contractor provide certified corrected payrolls for all labor compliance issues? Yes No N/A N/A Finding Concern Did any issues require restitution to the employee? Yes No N/A N/A Finding Concern Did the contractor provide evidence that restitution was paid to the employee within its certified corrected payrolls? Yes No N/A N/A Finding Concern If the issue was related to overtime, did the LCO inform the contractor of its options (request waiver or pay liquidated damages)? Yes No N/A N/A Finding Concern Were the procedures described in the OCD Disaster Recovery CDBG Grantee Administrative Manual followed to resolve the liquidated damages issue? Yes No N/A N/A Finding Concern Have all labor compliance issues been resolved? Yes No N/A N/A Finding Concern Labor Files Review - ONSITE ONLY Do the Grantee/ Recipient/ Subrecipient’s Labor Standards Files contain Contractor’s License Number? (LA RS 38:2212 requires the LA Contractors License Number) Yes No N/A Finding Concern
Do the Grantee/ Recipient/ Subrecipient’s Labor Standards Files contain evidence of apprenticeship/trainee registration &certification if apprentice/trainee rates were paid? Yes No N/A Finding Concern Do the Grantee/ Recipient/ Subrecipient’s Labor Standards Files contain complaints from workers, if any, and actions taken? Yes No N/A Finding Concern Do the Grantee/ Recipient/ Subrecipient’s Labor Standards Files contain Supplementary Statement? Yes No N/A Finding Concern Do the Grantee/ Recipient/ Subrecipient’s Labor Standards Files contain Labor Standards Enforcement Report? Yes No N/A Finding Concern Do the Grantee/ Recipient/ Subrecipient’s Labor Standards Files contain Notification of Underpayment or Withholding? Yes No N/A Finding Concern Do the Grantee/ Recipient/ Subrecipient’s Labor Standards Files contain Wage Rate Determination? Yes No N/A Finding Concern Do the Grantee/ Recipient/ Subrecipient’s Labor Standards Files contain Payroll Documentation, to include the following: Payroll deduction authorizations Contractor's/Subcontractor's New Employee Information Form Fringe Benefit Verification Yes No N/A Finding Concern
UUNew Hire GoalUU – After completing the Section 3 Review (Worksheet 4, Question 10) for each contract within the sample, have any contractors hired employees to work on this project? Yes No N/A N/A Finding Concern 4.1 If Question 4 is “Yes”, were at least 30% of each contractors’ new hires Section 3 residents? Yes No N/A N/A Finding Concern 4.2 If Question 4.1 is “No”, has each contractor within the sample demonstrated that, to the greatest extent feasible, it has made an effort to ensure that the employment objectives of its Section 3 Plan(s) are met? Yes No N/A N/A Finding Concern UUContracting GoalUU - After completing the Section 3 Review (Worksheet 4, Question 11) for each contract within the sample, has any contractor entered into any contracts to execute this Project? Yes No N/A N/A Finding Concern 5.1 If Question 5 is “Yes”, did all contractors meet their Section 3 contracting goals? Yes No N/A N/A Finding Concern 5.2 If Question 5.1 is “No”, has each contractor within the sample demonstrated that, to the greatest extent feasible, it has made an effort to ensure that the contracting objectives of its Section 3 Plan are met? Yes No N/A N/A Finding Concern
Act of Sale Date Executed Comments: Issue Type N/A Finding Concern Issue Type N/A Finding Concern Based on the available evidence, did the Grantee/ Recipient/ Subrecipient carry out the acquisition process in a manner that minimized hardships to the owners? Comments: Yes No Yes No Issue Type N/A Finding Concern Issue Type N/A Finding Concern Residential Relocation File Review – ONSITE ONLY Property 3 Property 4 For each residential relocation claim, does the Grantee/ Recipient/ Subrecipient’s Relocation File contain the following: Comments: DEPENDENT ON RESPONSES TO SUBQUESTIONS DEPENDENT ON RESPONSES TO SUBQUESTIONS UUIssue Type N/A Finding Concern UUIssue Type N/A Finding Concern Evidence and dates of personal contacts; and description of services provided? Yes No Yes No Identification of person, displacement property, racial/ethnic group classification, age and sex of all members of household, monthly rent and utility costs for displacement and replacement housing, type of enterprise, and relocation needs and preferences? Yes No Yes No Recipient Interview and Survey (Household Case Record form for replacement-housing needs? Yes No Yes No Identification of referrals to replacement properties, date of referral, sale price or rent/utility costs (if dwelling), date of availability, and reason(s) for declining referral? Yes No Yes No Identification of actual replacement property, sale price or rent/utility costs (if dwelling), and date of relocation? Yes No Yes No Replacement dwelling inspection report; and date of inspection? Yes No Yes No A copy of each approved claim form and related documentation; evidence that the person received payment? Yes No Yes No Copy of any appeal or complaint filed and recipient's response? Yes No Yes No Copy of deferred loan lien agreement that has been filed with the clerk of courts office? Yes No Yes No Acknowledgement of Receipt of Relocation Payments? Yes No Yes No
Lead-Based Paint Disclosure Are housing activities associated with the project? If yes, continue. If no, skip to Section 15 Yes No N/A Finding Concern If yes, are structures built prior to January 1, 1978 included within the project activities? If yes, continue. If no, activities are exempt from lead-based paint requirements and completion of this Section of the checklist is not required. Yes No N/A N/A Finding Concern Is Grantee/ Recipient/ Subrecipient ensuring that tenants are provided with the Lead Hazard Information Pamphlet or an EPA-approved equivalent? Yes No N/A N/A Finding Concern Is Grantee/ Recipient/ Subrecipient ensuring that tenants are provided a disclosure form prior to signing a lease? Yes No N/A N/A Finding Concern Asbestos and Mold Is renovation or demolition involved with the project? Yes No N/A Finding Concern Were structures inspected prior to performing any renovation or demolition activities to determine the presence of asbestos? Yes No N/A N/A Finding Concern Were Clean Air Act and Occupational Safety and Health Administration regulations employed if asbestos was found or disturbed? Yes No N/A N/A Finding Concern Were structures inspected prior to performing any renovation or demolition activities to determine the presence of mold? Yes No N/A N/A Finding Concern