91-1888 WHITE - CITV CLERK CO11I1CII (//�/�
PINK - FINANCE GITY OF SAINT PAUL �/
CANARV - DEPARTMENT F• NO• '• //
BLUE - MAVOR
�R������� , Council esolution �,�7,,;
Presented By
.�,Referred T Committee: Date
Out of Committee By Date
BE IT RESOLVED, that the proper City officials are hereby authorized and
directed to execute Cooperative Agreement Number FF205K915018 for the Fair
Housing Assistance Program with the United States Department of Housing
and Urban Development (HUD) whereby HUD will reimburse the City's Human
Rights Department the total amount of $57,600.00, for the following:
$13,600.00 - for investigating Title VIII Cases;
4,000.00 - for attending HUD-sponsored Training at
National and Regional Training sites;
40,000.00 - for incentive funding.
COUNC[LMEN Requested by Depactm of:
Yeas DimOnd Nays �
Goswitz HUMAN RIGHTS
��� [n Favor
m
Rettmane � Against By SE IER BROWN , DIRECTOR
Tnune L oiv�� q�s�—r
Wil80ri � 1991 Form pro by City tor
Adopted by Council: Date
Certified y � ficil S � BY �' " �2 �^
By
A►pproved by Mav • ate OCT 9 1991 Approved by Mayor for Submission Council
By � .��A���� gy �
P�113lIED OCT 19'91
. . . �+�/��
DEPARTMENT/OFFICE/OOUNqL DATE INITIATED � o^ �
pUMAN RIGHTS DEPARTMENT REEN S�H AT NO. �Nrn�A7E
OONTACT PERSON d PHONE DEPARTMENT DIRECTOR �CITY OOUNpI
Du 1 ce A. de Leo n Nu�� A7TORNEY � �qTY CLERK
MU8T BE ON CWNpL AOENDA BY(DAT� ROUTINO UDOET DIRECTOR �FIN.Q MGT.SERVICE8 DIR.
MAYOR(OR ASSISTANn �
TOTAL�OF SIQiNATURE PAQiES 1 (CLIP ALL LOCATIONS FOR SIGINATURE7
ACT10N REGUE8TED:
To accept HUD grant to assist Human Rights Department to implement Fair Housing Programs.
RE�MMENDATION8:Approvs(/y a Rs)sa(F'� COUNCIL COMMITTEE/RE8EARCH REPORT
_PLANNINO COMMISSION _GVIL SERVICE�MMISSION 'w'�YST PFIO�.E'
_CIB COMMITTEE —
_STAFF _ COMMENTS: C EP Z 3 �
7
_DISTRICT COURT _
3UPPORT8 WHICH COUNqL OBJECTIVE7 MAYO��S Of rI�
INPMTINQ PROBLEM,18SUE,OPPORTUNITY(1Nho,What,When,Where,Why):
The Human Rights Department and the U.S. Department of Housing and Urban Development (HUD)
desire to enter into an agreement whereby HUD will reimburse the Human Rights Department
for investigating Title VIII cases, for attendance at HUD - sponsored training at National
and Regional training sites and to develop and implement a program aimed at informing and
educating the public of housing discriminatory practices.
ADVANTAQES IF APPROVED:
Human Rights Department will receive a total amount of $57,600.00 from HUD which will
assist in supporting the department's fair housing activities.
DISADVANTAOES IF APPROVED:
Additional work for the Department. Coanc�l ��Parch Center
RECEIVED
SEP 3 0 �gg� SEP 2 6 1991
CITY CLERK
OISADVMITAQES IF NOT MPF�VED: .
The Human Rights Department will not receive financial assistanee from HUD for its fair
housing activities.
An additional program, designed •to alert the public about discriminatory prectices in
housing, will not be developed and implemented.
TOTAL AMOUNT OF TRANSACTION = 5�,���-0� COST/REVENUE BUD�#ETED(dRCLE ON� YES NO
�N���� l�.S. Dept. of Housing & Urban Dev. ACTIVITYNUMBER 30150
FINANGAL INFORMATION:(EXPLAIN)
N YY
.: . . .
NOTE: COMPLETE DIRECTION$ARE INCLUDED IN THE(�REEN SHEET INSTRUCTIONAL
MANUAL AVAILABLE IN THE PURCHASINO OFFICE(PHONE NO.298-4225).
ROUTING ORDER:
Below are preferred routings for the flve most frequent types of dxuments:
CONTRACTS (assumes authorized COUNCIL RESOLUTION (Amend, Bdgts./
budget exists) Accept. Grants)
1. Outside Agency 1. Department Director
2. Initiating Department 2. Budget Director
3. Gty Attorney 3. City Attorney
4. Mayor 4. MayodAssistant
5. Finance&Mgmt Svcs. Director 5. City Council
6. Finance Accounting 6. Chief AxountaM, Fin 8�Mgmt Svcs.
ADMINISTRATIVE ORDER (Budget COUNCIL RESOLUTION (all others)
Revision) and ORDINANCE
1. Activiry Manager 1. Initiating DepaRment Director
2. Department Accountant 2. City Attomey
3. DepartmeM Director 3. MayoNAssistaM
4. Bud�t Director 4. Ciry Council
5. Ciry Clerk
6. Chief Axountant, Fin&Mgmt Svcs.
ADMINISTRATIVE ORDERS (all others)
1. Initiating Department
2. City Attomey
3. Mayor/Aasistant
4. C(ty Clerk
TOTAL NUMBER OF SIGNATURE PAGES
Indicate the#of pages on which signatures are required and ap perclip
each of these pages.
ACTION REGIUESTED
Deacribe what the projecUrequest seeka to accompUsh in either chronologi-
cal order or order of Importance,whichever fa moat appropriate for the
issue. Do not write complete sentences. Begin each item in your list with
a verb.
RECOMMENDATIONS
Complete if the isaue in question has been presented before any body, publ�
or private.
SUPPORTS WHICH COUNCIL OBJECTIVE?
Indicate which Council objective(s)your project/request supports by listing
the key word(s)(HOUSING, RECREATION, NEIGHBORHOODS, ECONOMIC DEVELOPMENT,
BUDOET, SEWER SEPARATION). (SEE COMPLETE LIST IN INSTRUCTIONAL MANUAL.)
COUNCIL COMMITTEE/RESEARCH REPORT-OPTIONAL AS RE�UESTED BY COUNGL
INITIATINO PROBLEM, ISSUE,OPPORTUNITY
Explain the situation or conditions that created a need for your project
or request.
ADVANTAC3ES IF APPROVED
Indicate whether this is simply an annual budget procedure required by Iaw/
chaRer or whether there are specific wa in which the City of Salnt Paul
and its citizens will beneflt from this pro�action.
DISADVANTAGES IF APPROVED
What negative effects or major changes to existing or past processes might
this projecUrequest produce if it is passed(e.g.,traffic delays, noise,
tax increases or asseaaments)?To Whom?When?For how long?
DISADVANTA(3ES IF NOT APPROVED
What will be the negative conaequences if the promised action is not
approved?Inability to deliver service?Continued high traffic, nase,
accideM rateZ Losa of revenue?
FINANqAL IMPACT
Although you must tallor the informaUon you provide here to the issue you
are addressing, in general you must answer two questions: How much is it
going to c�t?Who is going to pay?
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U.S..DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
, ASSISTANCE AWARD/AMENDMENT //G/r,�/G
` 1. ASSIS7ANCE INSTRUMENT ��
2. TYPE OF ACTION
� Cooperative Agreement O Grant � Awa�d O Amendment
3. INSTRUMENT NUMBER 4. AMENDMENT NUMBER
5. EFFECTIVE DATE OF THIS 6. CONTROL NUMB
FF205K915018 ACTION 9�22�91
7. NAME AND ADDRESS OF RECIPIENT
8• HUD ADMINISTERING OFFICE
ST. PAUL DEPARTMENT OF HUMAN RIGHTS CHICAGO REGIONAL OFFICE - FHEO
515 City Hall 626 West Jackson Boulevard, Room 401
St. Paul, Minnesota 55102 Chicago, Illinois 60606-5601
NAME OF AOMINISTRATOR TELEPHONE NUMBER
Thomas Higginbothan ' (312) 353-7776
10. RECIPIENT PROJECT MANAGER 9. HUD GOVERNMENTTECHNICAL REPRESENTATIVE
Josephier Brown, Director CHICAGO REGIONAL OFFICE — FHEO
11. ASSISTANCE ARRANGEMENT 12. PAYMENT METHOD GTR — Robert P. Sullivan (312) 353-9322
GTM - Etta M. Johnson (312) 353-1812
0 Cost Reimbu�sement � Treasury Check 13. HUD PAYMENT OFFICE
O Cost Sharing . Reimbursement CHICAGO REGIONAL OFFICE - FHEO
� Fixed Price O Advance Check 626 West Jackson Boulevard, Room 401
O Other O Letter of Credit Chicago, Illinois 60606-5601
14, ASSISTANCE AMOUNT 15. HUD ACCOUNTING AND APPROPRIATION DATA
Previous HUD Amount $ _O— APPROPRIATION NUMBER RESERVATION NUMBEq �
HUD Amount This Action S 57 600.00 861/20144 FHEO-S-91-18
Total HUD Amount � 57 600.00 Amounts Previously Obligated
Recipient Amount -0-
� -�- Obligation By This Action $ 57 600.00
Total Instrument Amnunt 5 600.00 Total Obligation
16. DESCRIPTION $ OO.00
COOPERATIVE AGREEMENT FOR THE HOUSING ASSISTANCE PROGRAM COMPREHENSIVE FUNDING
This agreement consists of the following, which is incorporated herein and
made a part hereof: .
1. Cover Page, HUD-1044 (12/78)
2. Schedule of Articles
Appendices:
-Statement of Work (Appendix A)
- Criteria for Processing (Appendix B)
- Administrative Requirements
for Grants and
Cooperative Agreements (Appendix C)
-Required Data Elements (Appendix D)
� 3. Assurances
• 4. Certifications
. Order of Procedence: Notwithstanding any provisions to the contrary, in the event �
of a conflict among any of the documents pertaining to the duties and responsibili-
ties of the parties, the Statement of Work shall take procedence over the Schedule
- of Articles. e a 'nistrative requirements from 24 CFR Part 85 take procedence
over FHAP equirement from 24 CFR Part 111 to the extent that are inconsistent.
t7. Recipient is equired to sign and turn three(3) copies of this
18. O Recipient is not required to sig�this docume�t
document to D Administer' g Oifice
19• R IPIENT!By 20. HUO(Byl
�
NAME NO T LE , ' � DATE NAME AND TITIE
Jose ie Brown, Director DATE
Thomas Higginbothan
�.
9/11/91 Cooperative Agreement Office
HUD•104a (12-781
4
t
CONTRIBUTIONS AGREEMENT
SCHEDULE OF ARTICLES
1. SCOPE OF WORK (FIXED PRICE�
2. PERIOD OF PERFORMANCE
3. INSPECTION AND ACCEPTANCE
4. CONDUCT OF MORK
5. INSTRUMENT �lM{OtlKT, PAYMENT AND SUBMISSION OF INYOICES
6. USE OF 6RANT FUNDS
7. MAINTENANCE OF EfFORT
8. HUD 'S SUBSTANTIAL INYOLYEMENT
9. USE OF CONSULTAN7S �
10. PUBLICATIONS AND NEWS RELEASES
11. REPRODUCTIQN OF REPORTS
12. FLOW DOWN PROVISIONS
13. OISPUTES
24. LOBBYING PROHIBITION PROYISION
APPENOICES;
� STATEMENT OF WORK (APPENDIX A)
- CRITERIA FOR PROCESSING (APPENDIX B)
_ • ADMINISTRATIYE REQUIREMENTS FOR 6RANTS AND
. COOPERATIYE AGREEMENTS (APPENDIX C�
�
REQUIRED DATA ELEMENTS EAPPENDIX D)
+.
°' St. Paul
i
1. SCOPE OF WORK (FIXED PRICE)
The Recipient shall furnish the necessary personnel,
materials, services, equipment, facilities, (except as
otherwise specified hereinj and otherwise do all things
necessary for or incidental to the performance of the work
set forth in the Statement of Work for the firm fixed price
set forth herein.
2. PERIOD OF PERFORMANCE
The Recipient shall provide all services hereunder for a
period of twelve ( 12) months from the effective date of the
instrument.
3. INSPECTSON AND ACCEPTANCE
Inspection and acceptance of all but the final products may
be accomplished by the GTMs, if so delegated. Final
acceptance shall be accomplished by the GTR.
4 . CONDUCT OF WORK
A. During the effective period of this instrument, the
Government Technical Representative and/or the Government
Technical Monitor identified in Block 9 of the cover page
shall be responsible for monitoring the technical effort
of the Recipient, unless the Recipient is notified in�
writing by the G/CAO of a replacement.
B. Only the G/CAO has the authority to authorize deviations
from this instrument, including deviations from the
Statement of Work. In the event the Recipient does
deviate without written approval of the G/CAO, such
deviation shall be at the risk of, and any costs related
thereto shall be borne by the Recipient.
Any authorized deviations from this instrument shall be
reduced to writing. The appropriate amendment form shall
incorpoate the deviation and become a part of the file.
5. INSTRUMENT AMOUNT, PAYMENT AND SUBMISSION OF INVOICES
A. The maximum amount for performance of the Statement of
Work and all other requirements of this instrument is
$57,600.00 to be distributed as follows:
1. The Recipient shall be paid the firm fixed amount of
$ 13,600, to support the agency's fair housing effort
in accordance with Appendix A, Statement of Work,
Part A (General Requirements) and Part B
(Contributions) . Payments shall be made in
accordance with paragraph B, below.
. �
.
. � St. Paul
2 . The Recipient shall be paid the firm fixed amount of
4 000 for attendance at HUD-sponsored training at
National and Regional training sites. These monies
may also be used to support additional in-house
training by agencies for agency-specific problems and
for training of staff unable to attend National or
Regional training, subject to approval of the GTM.
Failure to send the specified number of participants
to training (See Statement of Work) , will result in a
$1, 000 deduction for each non-attendant below the
minimum. Payments shall be made in accordance with
paragraph B, below.
3. The Recipient shall be paid the firm fixed amount of
_ $_ 40,000.00 to support Incentive Funds activities in
accordance with the Statement of Work, Part D
(Incentive Funds) . Payments shall be made in
accordance with paragraph B, below.
B. DATE FOR RECIPIENT'S CONTRIBUTIONS INCENTIVE
SUBMISSION OF SF 270 AMOUNT TRAINING FUNDS
70 days after the $ 6,800.00 $ AS APPRO- $ 20,000.00
effective date of PRIATE
instrument
160 days after the $ 3,400.00 $ $ 10,000.00
effective date of �
instrument
250 days after the $ 2,040.00 $ $ 6,000.00
effective date of
instrument
Final submission on or $ 1,360.00 $ $ 4,000.00
before the completion
date of instrument.
C. The Recipient shall submit Standard Form 270 "Request for
Advance Reimbursement" to the Government Technical Mo_ nitor (GTM)
at the address specified in Block 9 of the cover page of this
Agreement on the dates stipulated above. All requests for payment
shall be submitted in an original and three (3) copies, as
indicated below. The final voucher shall be approved by the GTR
and Cooperative Agreement Officer prior to final payment.
Interim Public Address Shown on
Voucher Attention of Cover Sheet
Original & one copy GTM Block 9
One copy GTR Block 9
One copy CAO Block 8
, .
� All requests for payment of the final voucher shall be
submitted in an original and three (3) copies as indicated
below.
Final Public Address Shown on
Voucher Attention of Cover Sheet
Original & one copy GTR Block 9
One copy GTM Block 9
One copy CAO Block 8
Each voucher shall clearly set forth the instrument
number shown in Block 3 of the HUD 1044 and the
appropriation number in Block 15 and shall show the
address of the depositary to which the check is to be
mailed. Requests for reimbursement shall be submitted on
a Standard Form 270, showing the amount vouchered for and
amounts previously vouchered for. Copies of this form
are available upon request through contacting the
administrator shown in Block 8 of the cover page.
Payment of item A.2 shall be made at the next available
billing period after the Training participation has
occurred. Payment is subject to being withheld if it is
, the judgement of the GTM that the Recipient is not
� complying with all terms of the Cooperative Agreement.
The Recipient shall identify the Cooperative Agreement
Number in Block 4 of the SF 270 on all invoices. The
final invoice shall be submitted on or before the
completion date of the instrument. .
D. Each Standard Form 270 shall be accompanied by a
Narrative Report. This Report shall not be more than one
typed page for each activity pursuant to which payment is
requested, and shall describe the activities undertaken
by the Recipient during the billing period. The
Narrative Reports for Contributions reimbursement (case
processing) should be accompanied by a listing of all
processed complaints, including the name of complainant,
name of respondent, date closed or date conciliation
failed subsequent to a finding of discrimination, and
docket number. These Narrative Reports should also
include a description of activities undertaken to support
the case processing activities and the Statement of Work
Part A (General Requirements) and Part B (Contributions) .
The •Narrative Reports for Training should be accompanied
by a listing of agency participants with names and dates
of attendance. The Narrative Reports for Incentive Funds
should include a description of activities undertaken in
support of its funding application and the Statement of
Work, Part D (Incentive Funds) .
�
A .
� E. The Criteria for Processing is hereby incorporated as an
attachment to the Schedule of Articles.
F. The Required Data Elements for cases investigated by FHAP
agencies is hereby incorporated as an attachment to the
Schedule of Articles.
G. The Government shall remit all payments to the following
address shown on the depositary form:
6. USE OF GRANT FUNDS
The agency is entitled to receive the fixed amount stated in
the Cooperative Agreement for satisfactory completion of the
work to be performed regardless of cost incurred; however,
the program regulations and this Schedule of Articles require
that all activities for which FHAP funds are used must
address, or have ultimate relevance to, matters affecting
, fair housing which are cognizable under the Fair Housing Act
� (42 U.S.C. 3600-19) .
7. MAINTENANCE OF EFFORT
The agency must not unilaterally reduce the level of ;
financial resources currently committed to fair housing
complaint processing. Budget and staff reductions occasioned
by legislative action outside the control of the agency will
not, alone, result in a determination of ineligibility.
However, HUD will take such actions into consideration in
assessing the ongoing viability of an agency's fair housing
program.
8. HUD's SUBSTANTIAL INVOLVEMENT
A. HUD intends to have substantial involvement in the review
and approval of all aspects of the work to be carried out
as a result of an award under this agreement.
B. Anticipated substantial involvement may include, but not
be limited to the following:
1 . Review and guidance in progress and upon completion
of case investigations;
2 . Participation in the development and presentation of
� in-house training; and
3. Participation in presentation of education and
outreach programs.
, .
� 9. USE OF CONSULTANTS
As required by HUD's Appropriations Act, salary payments to
consultants under this instrument shall not exceed the
equivalent of the maximum daily rate paid to GS-18 Federal
Employees. The rate for this is $374 per day.
10. PUBLICATIONS AND NEWS RELEASES
A. Definition. For the purpose of this clause,
"publication" includes:
1. Any document containing information for public
consumption; or
2. The act of, or any act which may result in,
disclosing information to the public.
B. The results of this program are planned to be made
available to the public through dedication, assignment by
the Government, or such other means as the Secretary
shall determine.
C. Government Ownership of Official Products of Work
� � Al1 interim and final reports and information, data
analyses, special methodology, findings, and their
related documents and work products, including reports,
work sheets, survey instruments, computer tapes, and any
other physical materials and products produced directly �-
under the Statement of Work of this instrument are
considered Official Products of Work, owned by the
Government and held for the benefit of the public.
D. Publication of Official Products of Work
Official Products of Work, quotations therefrom,
paraphrasing, or disclosures of interim findings may not
be published without the approval of the GTR for a period
of sixty (60) days after acceptance of the product by the
GTR. Thereafter, the Recipient shall be free to publish
without HUD approval.
E. Acknowledgement and Disclaimer
All Official Products of Work, or any part thereof, and
any Independent Products and Special Products arising out
of this instrument, when published by Recipient or other
participants in the work, shall contain the following
acknowledgement and disclaimer:
�
,
� "The work that provided the basis for th'
is publication
was supported by funding under a Cooperative Agreement
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. "
F. Notice of News Release and Public Announcements
Two copies of all press releases, formal announcements,
and other planned, written issuances containing news or
information concerning this instrument that may be made
by the Recipient or its staff, or any subcontractor or
other person or organization participating in the work of
this instrument shall be provided to the GTR at the
earliest possible time. News releases and other public
announcements may not disclose any interim finding or
quote or paraphrase any part of any Official Product of
Work without complying with Paragraph E, above.
11. REPRODUCTION OF REPORTS
� . In accordance with Government Printing and Binding
Regulations, reproduction of reports, data or other written
materials, if required herein, is authorized provided that
the materials produced do not exceed 5,000 production units
of any page and the items consisting of multiple pages do not -
exceed 25, 000 production units in aggregate.
12. FLOW DOWN PROVISIONS
The Recipient shall include provisions to carry out the
purposes of this instrument in all contracts of employment
with persons who perform any part of the work under this
instrument, and with all subcontractors and other persons or
organizations participating in any part of the work under
this instrument. There shall be provisions for a further
flow down of such requirements to each subtier of employees
and subcontractors to the extent feasible.
13. DISPUTES
During performance of the instrument, disagreements may arise
between the recipient and the G/CAO on various issues, such
as the allowability of costs. If a dispute concerning a
question of fact arises, the G/CAO shall prepare a final
decision, taking into account all facts and documentation
presented. The decision shall be mailed to thE recipient.
� The recipient may appeal the decision within thirty (30) days
to the Assistant Secretary for Fair Housing and Equal
Opportunity.
�
,
DISCLOSURE OF lO6BY1NG ACTiVIT1E5 �Pao•�aoM
. Complete this fortn to disdose lobbying activities pursuant to 31 US.C.1352 �����
(See revene for public bu�den disclosure.)�
1. Trpe o(federal Action: 2 Status ol Feden!Action: 3. Report Trpr:
a. contnct N/A � �. bid/oHedappliption N/A � a. (nitial filing
b. gnnt b. Initial�wud b. material chan � N/A �
c. toopeative �greement 8
d. (oan c post-�wud fo�M�terial Ctunge pnlY
e. lo�n gu�rontee - yeu �_ yuarter
t. loan insurance d�te of last report �_
�. Name and Address o(Reponing Entitr: 5. it Reportin6 Entilr in No.4 It Subawardee. Enter N�me
O Prime O Subawudee �d Address ot P�ime:
N/A Tier ,i/known: ' N/A •
, Con ressional Dist�ict,i/know�: Con ressional Dislrict,if known:
6. Federal DepartmenvAgcncp: 7. Federal Prog►am NamdOescription:
N/A N�p
CFDA Number,it applicab/e:
8. Federal Action Number, if known: 9. Awud Amounf,if known: '
N A Y N/A
10. a. Name and Address ot Lobbring E�titr b. Individuals Performio6 Services finc/ud�n �dd«:s,i
__ (�!individual,Iasl na�r�e,trst name,M11: diNerent lrorr�No. lOal g
past name,trst name,Mlh
N/A N/A �
arracA Gennnuarion Sheer� S!•l11•,�if necesrs
tt. Amount o( Parment (check�l!that applY�� t3. Trpe o(Parment(check ail th�t a / 1.
s • - PPY'
� actual O plonned O s. retainer
it Form ot Pa'J-menl fcheck�ll thaf a / )• � b. one-ttme tee
PP Y• O c. commission
. ' O a. cash • O d. contJngent fee
O b. in-kind; specify: nature � ' O e. de(ened ' '
.
value � �• other,spetitY: .
14. e�ief Descriplion of Services Performed or lo be Perto�med and Dale(s)o(St�rice,including o((icer(s),emploree(sl.
or Member(sl tonlacted,(or Parment lodicated in Item 11:
atqch Conlinuation Sheef� S!-Cll• i/necrf:a . .
IS. Continualion Sheel(s)SF•ILL.A altached: O Yes
O No
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� �ISCLOSU�Z� OF L0B3YING ACfIVlTIES • �oP�o��ebro�e
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INSTRUmONS FOR CplbfpLF770N OF SF•LLL, DISCLOSURF OF L
Th!s dtsdosure fomn sha11 be cornP�eted br the re ortin t • . �BBYlNG ACT(VfT1E5
In(tf�tion or receipt ot a covered Fedenl actton, or a materia( chang� to a prevfous filfng, ursuan
P B ��� , whether subawudee or prime Federa! r,ecp;�n� �� �h�
�ectfon 1352 The fil(ng ol�/o� (s�quired for each payment or agreement to make a
tnfluendng or attempUng to tnAuence an officer or emploree o( an D t to tide 31 US.C.
employee of Congress, ar an employ�e ot a Member of Congras tn connectTon wfth � covered Fede�bbrng entity for
SF•LL!•A Cont;nuition Shees for �dd' ' r �8��ry, a Member ot Congres:, an officer or
�PP�Y for both the lnitf a!S l i ng�d�����ang report.eferto�the !mp eme ting gu daRnceteub shPlete �U items that
»�o�• Use the
Management and Budget for additional fn/ormat;cn,
t. Identi th� P ed br the Office of
�?' t y pe o f covered Fedenl actJon 1or which Iobby;ng ���h,�: ��o��= been secvred to inA
outcome of a covered federal action,
2. Identify the status of the torered Federal actio�, uence the
3. tdenttfy the sppropriate d�ssiBution of thi:repoK. If this Is a followu re
' Jntormation previously reported, enter the year ond qu�h�r J��vh���� ���8� otwned. Enter the d
previously submitied report br ihis reporting entity!or thif�overed Federa)�o� 4sed br a mjterial chinge to the
,. Enter the {u1� ��m�� �ddresz, ei ate of the last
k^o"'^. Check ihe appropriste dassification�of the re ort nr �e re orttng
or subaward redpient. Identify the tter o/the subawarde P e��ry' �^dude Cpngressiona! District, if
P a entlty that designstes if tt !s, or expects to be,a prime �
Subawa�ds fndude but are not limited to subcontracts,:ubarants and eonbact awards under rants,
G �•BY �he first subawardee o/ the prime fs the 1st tier.
S. It the organi:at;on fiJ;ng the report in Item 4 checks •Subawardee",then enter the fuU name 6
s�p code ot the prime feder�l retipien�Indude Co�gressiona!Distri�,j/�o�.
6. Enter the name of the Fedenl a �� • +ddress, ciry, st�te �nd
B �y makinE the awud or loa� �on�mitmen� !nclude at least one organ;r�tional
erel below agenc�,��m�����o� For example,Deputment of?ran=po��o� United States Cotst
7. Enter the Fedenl progmm �ame or descriptlon Iw the tovered Federa! sctJon (item �), �� �o Guard
_ Gtalog of Fedenl Domestie ksistance (CFDN number !or 6nnts, tooPeradve agreements
ton�mitmenU. wn, enter the tuli
d. Enter the most appropri�te Federal Idend n ' �Oi^:' =^d �oan
Request for Propossl (RFp) �umber, Invitatien /or 8id (IFB) number, �nnt announcement number
M 8 number av�,lable tor the Federal action IdentiBed tn ltem 1 (e.g.,
Ef3��. or loan aw�rd number; the appl;catioro ro osal control number assi ned
prefixes.e.g., "RFP•DE•90-001.• P P , the tontratL
. 8 by the Federa! agency), lnclude
9. For a covered Federal act;e� whe►e there ha: been �n award or loan eomm;tment by the Federal s
Federal unount of the awardAoa��ommitmen��a��p�me entiry identified in ltem�or S.
�0• (a)Enter the tull �arn , 8��ry, enter th�
e address, dty, stste and s;p code ot the lobb n
ldendfied!n Jtem� to Inlluence the eovered Fsderal actle�,
Yf 8 endry engaged br the reporting entity
(b)Enter the full name: e/ the Indivfdu�l(s) perfortning f�rvf��=� u,d fncl�de h,�� �ddress !f dlNeren
. Enter Last Name,Frst Name,and/�,liddle INtia1(/NI),
11. Enter the amount o!compensatlon pafd or reasonablr expected to be patd b �e � o . t �om 10 (a).
allbboxei h t��it;m 10). Indicate whether the p�yment has been msde (aduap or w�7p1 be made( lan
PP Y If thi� �s a material chan 8 N(item 4f to the
to be made. ge rePer�, enter the cumulstfve amount of � P ned). Check
12. Check the appropri�te boz(es). Check all boxes p Y^'tent made or planned
• specify th�n�ture and value o/the in•kind p�yr��n�t �PP�' �f P�Yment Is msde through an fn-Wnd �ontribuuon,
13. Check the �ppropriate bo�c(es). Check all bozes that applr. If other,:peclY nature.
1�. P►ohde a speurc a�d de�aned de:a;p�;on ot Ne :eMCes �h,c ehe lobb 'st has
, perlorm, and the date(s) of any services rendered. Indude all prepsntory and related sclivi
�ctu�l contad with Fedaal oKcials. Identi r ��a��, or will be expected to
employee(s), or Member{s)ot Congress that were tontact d°�u�(s) °f emploreefs) eont�icted ror tthe officer(s).
�S• C7��cJc whether or no� a SF•LLI.A ContinuaUon Sheet(s)I:attsched
16. The certflying offidal shall sign and date the form,print hisiher n�e �� �
. e,snd telephone number.
Public rcportins bur1.n for thi�eollection of info.mation a estlmated to mr
t�rou�flon�.searchin6 ezistins data source�. stherin $e 70 mintues
Inlortnapon.k�commenb rr ardin a `�^�ntinin tl�e da �^hPa+se.ir+cludin`o�la��n`
tw reducin6 E S the burden aomate a anr od►er a v�'eded,and compleCnt and revirwin`ehe tolleccon ol
thit bueden,to d►e Office o(Man�aement and Bud e p �o!�t tolleetio+�ol in/
6 C ipernw#Reductio�ProjeR(03 ��tion.L+duain`w�dtions
. ��)•W�wn6ta+.D.C.20507.
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C
RESTRICTIONS ON LOBBYING - CERTIFICATION
By sub�ittinq this application, the applicnnt certifies, to
the best of h�s or her knowledqe and belief, that:
(1) No Federal appropriated funds have been paid or will be
paid, by or on behalf of the underaigned, to any peraon for
influencinq or atte�mpting to influence nn officer or
employee of nny aqency, a l�tember of Conqress, an officer or
employee of Conqreas, or an employee of a Member of Conqress
in connection with the awarding of any Federal contract, the
makinq of any Federal qrant, the makinq of any Federal loan,
the entering into of any cooperative agreement, and the
eztension, contiauation, renewal, amendment, or modiffcation
of any Federal contract, qrant, cooperative agree�nent, or
loan.
(2) Zf any funds otber than Federal approprfated funds have
been paid or will be paid to any person for influencinq or
attemptinq to influence an officer or employee of any
aqency, a Member of Conqreas, an officer or employee of
Conqress, or'an employee of a Member of Conqress in
connection with this Federal contract, qrant, cooperative
aqreement, or loan, the undersiqned shall complete and
' aubmit Standard Fo=m-LLL, •Disclosure Form to Report
Lobbying,� in accordnnce with its instructions. g �
(3) The undersigned shall require that the lanquaqe of this �.
certification be included in the award dxumente for all
aubawards at all tiers (includinq subcontracts, subqrants,
and contracts under qrants, loans, and cooperative
aqreements) and that all subrecipients shall certify and
disclose accordingly.
Thia certificntion is a material representation of fact upon
which reliance was placed when this transaction was made or
entered into. Sub�iesion of this certification is a
prerequisite for makinq or enterinq into this traneaction
imposed by section 1352, title 31, D.S.C. l,ny person who
fails to file the required certification shall be subject to
a civil penalty of not lesa than $10,000 and not more than
$100,000 for each auch failure.
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NEW RESTRICTIONS ON LOBBYING
(a� Definitions. As used in this clause,
"Agency", as defined in 5 U.S.C. 552(f) , includes Federal
executive . departments and agencies as well as 'independent
regulatory commissions and Government corporations, as defined in
31 U.S.C. 9101(1) .
"Covered Federal action" means any of the fo�lowing Federal
actions:
(1) The awarding of any Federal contract;
(2) The making of any Federal qrant;
(3) The making of any Federal loan; �
(4) The enterinq into of any cooperative agreement; and,
(5) The extension, continuation, renewal, amendment, or
: modification of any Federal contzact, grant, loan, or
cooperative agreement.
Covered Federal action does not include receivinq� from an agency
_ a commitment providinq for the United States to insure or
guarantee a loan.
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"Indian tribe" and "tribal organizati�n" have the meaning
C provided in section 4 of the Indian Self-Determination and
Education� Assistance Act (25 U.S.C. 450B) . Alaskan Natives are
included under the definitions of Indian tribes in that Act.
"Influencing or attempting to influence" means makinq, with
the intent to influence, any communication to or appearance
before an officer or employee of any agency, a Mersber of
Congress, an officer or employee of Congress, or an employee pf a-
Member of Congress in connection with any covered Federal action.
"Local government" means a unit of qovernment in a State
and, if chartered, established, or otherwise recognized by a
State for the performance of a governmental duty, including a
local public authority, a special district, an intrastate
district, a council of governments, a sponsor qroup
representative organization, and any other instrumentality of a
locai government.
"officer or employee of an agency" includes the following
individuals who are employed b}� an agency:
(1) An individual who is appointed to a position in the
Government under title 5, U.S. Code, including a position
under a temporary appointment;
(2) A member of the uniformed services as . defined =in
section 101(3) , title 37, U.S. Code; `"� :��G
(3) A special Government enployee as defined in: `section
202, title 18, U.S_. Code; and, , _ �-
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(4) An individual who is a member of a Federal advisory
committee, as defined by the Federal �►dvisory Committee Act,
title 5, U.S. Code appendix 2.
"Person" means an indivfdual, corporation, company,
association, authority, firm, partnership, society, State, and
local government, regardless of whether such entity is operated
for profit or not for profit. This term excludes an Indian
tribe, tribal organization, or any other Indian orqanization With
respect to expenditures specifically permitted by other Federal
law.
� "Reasonable compensation" means, vith respect to a regularly
emgloyed officer or employee of any person, compensation that is
consistent with the normal compensation for such officer or
employee for work that is not furnished to, not funded by, or not
furnished in cooperation with the Federal Government. .
"Reasonable payment" means, with res ect to
other technical services, a a p professional and
. consistent with the amount normall�ent in an amount that is
� �� private sector. Y Paid for such services in the
"Recipient'� includes all contractors and subcontractors at
` any tier in connection with a Federal contract. The te^z
, ,, excludes an Indian tribe, tribal orqanization, or any other
Indian organization with respect to expenditures specifically
permitted by other Federal law. !
"Regularly employed" means, with respect to an officer o `
employee of a person requestinq or receivinq a Federal contractr
an officer or employee who fs employed by such person for at
� least 130 working days within . one year immediately preceding the
date of the submission that initiates agency consideration of
such person for receipt of such contract. An officer or employee
who is employed by such person for less than 130 working days
within one year immediately precedfng the date of the submission
that initiates agency consideration of such person shall be
consfdered to be regularly employed as soon as he or she is
employed by such person for 130 working days.
"State" means a State of the United States, the District ef
Columbia, the Commonwealth of Puerto Rico, a territory or
possession of the United States, an agency or instrumentality o�
a State, and a multi-State, regional, or interstate entity havinq
qovernmental duties and powers.
(b) Prohibition.
(1j Section 1352 of title 31, U.S. Code provides in ,part
that no appropriated fur�ds may be expended by the recipient of="a
Federal contract, grant, loan, or cooperative agreement�-�o pa�� �
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any person for influencing or attemptinq to influence an officer
or employee of any agency, a Member of Conqress, an officer or
employee of Conqress, or an employee of a Member of Conqress in
connection with any of the following covered Federal actions:
the awarding of any Federal contract, the making ot any Federal
grant, the making of any Federal loan, the enterinq into of any
cooperative agreement, and the .extension, continuation, renewal,
amendment, or modification of any Federal contract, grant, loan,
or cooperative agreement.
(2) The prohibition does not apply as follows:
(i) Agency and legislative liaison by Own Employees.
(A) The prohibition on the use of appropriated
funds, in paragraph (1) of this section, does not apply in the
case of a payment of reasonable compensation made to an officer
or employee of a person requesting or receiving a Federal
contract if the payment is for agency and legislative liaison
activities not directly related to a covered Federal action. �
(B) For purposes of paragraph . (A) of this
section, providing any information specifically requested by an
_ agency or Congress is allowable at any time.
• (C) For purposes of paragraph (A) of this
C section, the following agency and legislative liaison activities
are allowable at any time only where they are not related to a
specific solicitation for any covered Federal action:
(i) Discussinq with an agency (including
individual demonstrations) the qualities and characteristics of
the person's products or services, conditions or terms of sale,
and service capabilities; and,
( ii) Technical discussions and other
activities regarding the application or adaptation of the
person's products or services for an agency's use.
(D) For purposes of paragraph (A) of this
section, the following agency and legislative liaison activities
are allowable only where they are prior to formal solicitation of
any covered Federal action: -
( i ) Providing any information not
specifically requested but necessary for an agency to make an
informed decision about initiation of a covered Federal action;
(ii) Technical discussions regarding the
preparation of an unsolicited proposal prior to its official
submission; and,
(iii) Capability presentations by persons
seeking awards from an agency pursuant to the provisions of the
Small Business Act, as amended by Public Law 95-507 and other.,
subsequent amendments. ' • . ::-_� - ; ;,
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(E) only those activities expressly authorized by
paraqraph (i) of this section are allowable under paragraph (i) .
(ii) Professional and technical services by Own
� Employees.
(A) The prohibition on the uBe of appropriated
funds, in paraqraph (1j of -this section, does not apply in the
case of a payment of reasonable compensation made to an officer
or employee of a person requestinq or receiving a Federal
contract or an extension, continuation, renewal, amendment, or
modification of a Federal contract if payment is for professional
or technical services rendered directly fn the preparation,
�submission, or negotiation of any bid, proposal, or application
for that Federal contract or for meetinq requirements imposed by
or pursuant to law as a condition for receiving that Federal
contract. •
section �B� For purposes of paraqraph (A) of this
, "professional and technical services" shall be limited
to advice and analysis directly applyin g an y p r o f e s s i o n a l o r
_ technica l d i s c i p l i n e. For example, draftin q of a l e g a l d o c u m e n t
accom pa n y i n g a b i d o r proposal b
Similarly, technical advice provid d by 1 a�n e enqineerllonabthe
_ performance or operational capability of a piece of equipment
= rendered directly in the negotiation of a contract is allowable.
. However, communications with the intent to influence made by a
professional (such as a licensed lawyer) or a technical person
(such as a licensed accountant) are not allowable under this (
section� unless they provide advice and analysis directl a
their professional -or technical expertise and unless he padvice
or analysis is rendered directly and solely in the preparation,
_ submission or negotiation of a covered Federal action. Thus, for
example, communications with the intent to influence made by a
lawyer that do not provide legal advice cr analysis directly and
solely related to the leqal aspects of his or her client's
proposal, but qenera2ly advocate one proposal over another are
not allowable under this section because the lawyer is not
providing professional legal services. Similarl
with the intent to influence made by an enqi eer pro iding �an
� engineering analysis prior to the preparation or submission of a
bid or proposal are not allowable under this sectior, since the
engineer is providing technical services but not directly in the
preparation, submission or negotiation of a covered Federal
action.
(�) Requirements imposed by or pursuant to
a condition for receiving a covered Federal award include lthose
required by 1aw or regulation, or reasonably expected to be
required by law or regulation, and any other requirements in the
actual award documents.
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(D) only those services expressly authcrized by
paragraph (ii) of this section are allowable under paragraph
(ii) .
(iii) Reporting for Own Employees.
No reporting is required with respect to payments of reasonable
compensation made to reqularly .employed officers or employees of
a person.
(iv) professfonal and technical services by Other than
Own Employees. .
(A) The prohibition on the use of appropriated
funds, in paraqraph (1) of this section, does not apply in the
case of any ,reasonable payment to a person, other than an officer
or employee of a person requestinq or receiving a covered Federal
action, if the payment is for professional or technical services
rendered directly in the preparation, submission, or negotiation
: of any bid, proposal, or application for that Federal contract or
� for meeting requirements imposed by or pursuant to law as a
condition for receiving that Federal contract. �
(B) For purposes of paraqraph (A) of this
_ � • section, "professional and technical services" shall be limited
/ to advice and analysis directly applyinq any professional or
( technical discipline. For example, draftinq of a legal document
� accompanyfng a bid or proposal by a lawyer is allowable.
Similarly, technical advice provided by an engineer on the
performance or operational capability of a piece of equipment
rendered directly in the neqotiation of a contract is allowable.
�However, communications with the intent to influence made by a
professional (such as a licensed lawyer) or a technical person
(such as a licensed accountant) are not allowable under this
section unless they provide advice and analysis directly applying
their professional or technical expertise and unless the advice
or analysis is rendered directly and solely in the preparation,
submission or negotiation of a covered Federal action. Thus, for
example, communications with the intent to influence made by a
lawyer that do not provide legal advice or analysis directly and
solely related to the legal aspects of his or her client's
proposal, but generally advocate one proposal over another are
not allowable under this section because the lawyer is not
providing professional legal services. Similarly, communications
with the intent to influence made by an engineer providinq an
engineering analysis prior to the preparation or submission of a
bid or proposal are not allowable under this section since the
engineer is providing technical services but not directly in the
preparation, submission or negotiation of a covered Federa:i
action. _
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a condition for Crec iving eae covered� Fede al a ard uinclu e lthose
require@ by law or regulation, or reasonably expected to be
required by law or regulation, and any other requirements in the
actual award documents.
a person requestinq ore re eivinq a covered Federal action�include
consultants and trade associations.
paragraph (iv) � of this s ct on eareC allowable lunder h paragraph
(iv) , _
(c) Disclosure. �
(i) Each person who requests or receives from an agency a
� .- .: Federal contract shall file with that agency a certification, set
forth in • , that the person has not made, and will not make,
any payment prohibited by paraqraph (bj of this clause. _
(2) Each person who requests or receives from an agency a
Federal contract shall file with that aqency a disclosure for�,
Standard Form-LLL, ��Disclosure of Lobbying Activities, '� if such
_ person has made or has agreed to make any payment using
nonappropriated funds (to inclu e profits from any covered
• Federal action) , which would be prohibited under paragraph (b) cf
this clause if paid for with appropriated funds.
(3) Each person shall file a disclosure fo `
each calendar quarter in which there occurs any t event nthat
requires disclosure or that materially affects the accuracy of
the information contained in any disclosure form previously filed
by such person under paragraph (2) of this section. An event
that materially affects the accuracy of the information reported
includes:
(i) A cumulative increase of $25,000 or more in the
amount paid or expected to be paid for influencing or attempting
to influence a covered Federal action; or -
influencinqior attempting toninfluence ra�coveredrFederalla�tl �s)
or, _ ion;
Member(s) CcontactedChtogeinfluence or lattem� t employee(s) or
covered Federal action. p to influence a
(4) Any person who requests or receives from a person
referred to in paragraph (1) of this section a subcontract
exceeding S10o,000 at any tier under a Federal contract shall
file a certification, and a disclosure form, if required, to �he
next tier above.
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(5) All disclosure forms, but not certifications, shall be
forwarded from tier to tier until received by the person referred
to in paraqraph (1) of this section. That person shall forward
all disclosure foZa►s to the aqency.
(d) Aqreement. In acceptinq any contract resulting from this
solicitation, the person submitting the offer agrees not to make
any payment prohibited by this clause. •
(e) Penalties. .
(1) Any person who makes an expenditure prohibited under �
paragraph (b) of this clause shall be subject to a civil penalty
of not less than $10,000 and not more than $100,000 for each such
expenditure.
(2) Any pezson who fails to file or amend the disclosure
form to be filed or amended if required by this clause, shall be
subject to a civil penalty of not less than $10,000 and not more
� than $100,000 for each such failure.
(3) Contractors may rely without liability on the
representations made by their subcontractors in the certification
_ and disclosure form.
-t ' (f) Cost allowability. Nothinq in this clause is to be
C interpreted to make allowable or reasonable any costs which would
be unallowable or unreasonable in accordance with Part 31 of the
Federal Acquisftion Regulation. Conversely, costs made
specifically unallowable by the requirements in this clause will
not be made allowable under any of the provisions of Part 31 of
the Federal Acquisition Regulation.
(End of Clause)
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� APPENDIX A
STATEMENT OF WORK
A. GENERAL REQUIREMENTS
The Recipient agrees to process those housing discrimination
complaints arising within its jurisdiction, except as
otherwise stated in this Statement of Work. The Recipient
agrees to cooperate with HUD in the handling of housing
discrimination complaints under the Fair Housing Act and the
fair housing law enforced by the jurisdiction in accordance
with the Memorandum of Understanding entered into between HUD
and the Recipient, and any amendments or revisions thereto
executed during the course of this agreement by the
signatories.
B. CONTRIBUTIONS
The Recipient agrees to process housing discrimination
complaints in accordance with "A" above (General
_ Requirements) , and in accordance with the Criteria for
� Payment/Processing which are incorporated herein as an
attachment to the Schedule of Articles.
The Recipient also agrees to augment its fair housing
enforcement efforts by engaging in outreach, education,
training and technical assistance pursuant to the Memorandum
of Understanding or the Interim Ag=eement.
C. TRAINING
Subject to HUD sponsorship of training sessions in sufficient
_ geographical proximity to permit the Recipient to meet the
following obligations, the Recipient agrees to enroll a
minimum of 4 employees in HUD-sponsored training at
National and Regional training sites. Failure to send the
specified number of participants to training will result in a
$1, 000 deduction for each non-attendant below the minimum.
D. INCENTIVE FUNDING
The Recipient agrees to utilize the funds provided for this
activity in accordance with the criteria established in 24
CFR Section 111 . 105(b) (3 ) and the RFA. The Recipient further
agrees to implement the Incentive Fund activities set forth
� in its application for funding. A list of product
deliverables and timetables is a part of this Statement of
Work.
t
� INCENTIVE FUND PRODUCTS
PRODUCT DELIVERABLE DATE DUE
1.
2.
3.
4 .
5.
� �(CONTINUE TO LIST ALL SIGNIFICANT WORK PRODUCTS IN THE
APPLICATION AND A DUE DATE FOR COMPLETION AS SET FORTH IN THE
TIMETABLE) .
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' • ' i APPENDIX B
�
Criteria for ProcessinQ
In order for a case to be accepted for closure by HUD and
approved for reimbursement under the FHAP, the investigation must
commence within thirty days as provided in 24 CFR Part 103 and
the Memorandum of Understanding. An investigation will be
considered to have commenced when preliminary calls and inquiries
have been made; acknowledgement letters have been sent to
complainant, respondent, and other relevant parties; an
investigative plan has been prepared or formulated; and a fact
finding conference has been held on-site; and telephone
interviews with the parties and witnesses have been initiated.
Closing documents submitted for cases closed without the
completion of an investigative report must include a summary of
the investigative activity for which the agency is seeking
reimbursement.
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, APPENDIX B
� CRITERIA FOR PROCESSING
This document is an attachment to the Cooperative Agreements
between HUD and State or local agencies participating in the Fair
Housing Assistance Program (FHAP) . These criteria for processing
establish uniform standards for acceptable processing of fair
housing complaints cognizable under the Federal Fair Housing Act
for which a State or local agency may receive credit for funding
support under FHAP. The criteria establishes the minimum actions
which must be taken and identifies the documentation which must
be submitted to HUD. The criteria are designed to assure the
uniform, timely, and quality processing of fair housing
complaints.
I. INVESTIGATION
A. The Complaint Intake
1 . A complaint may be filed by any person who
believes that he or she has been, or will be,
subject to a discriminatory housing practice
covered by the Federal Fair Housing Act and by a
State or local agency's fair housing law.
� � 2 . The complaint must be filed within the prescribed
statutory timeframes governing the filing of
complaints under Federal and State/local laws.
3. The complaint must be in writing and signed by the .-
person filing the complaint. The complaint shall
be a_ffirmed, attested to and/or notarized as
prescribed by relevant State or local law.
4 . If a complaint is received and includes the
following information, it is considewred filed: �
(a) The name and address of the aggrieved person;
• (b) The name and address of the respondent;
(c) A description and the address of the dwelling
which is involved, if appropriate; and
(d) A concise statement of the facts, including
pertinent dates, constituting the alleged
discriminatory housing practice.
�
!
� 2
5. The complaint may be filed with the assistance of
an authorized representative of the person filing
the complaint.
6. The State or local agency is encouraged to provide
information to HUD regarding allegations which the
agency receives involving a practice which is not
covered by the State or local law, but is covered
by the Federal Fair Housing Act.
B. Dual-filed Complaints
� 1. A dual-filed complaint is one that has been
docketed by both HUD and the agency.
2. Complaints filed first with a State or local
agency, and those received by HUD and subsequently
referred to a substantially equivalent or interim
referral agency, are considered dual-filed with
the agency under its own law and with HUD under
the Federal Fair Housing Act.
. 3. In order to preserve the statutory period for
� filing complaints, a complainant may provide
information to be contained in a complaint by
telephone, provided the State or local agency, or
HUD as appropriate, reduces the information to
writing which is subsequently signed, affirmed, =
attested to, or notarized by the complainant, as
prescribed by the State or local law.
4. Where additional information is required for the
purpose of filing a complaint, the agency will
advise the complainant of any additional
information needed and provide appropriate
assistance in order to perfect the complaint
filed.
5. Complaints received by the agency and not dual-
filed within 30 days of receipt by the agency will
not be eligible for payment under the FHAP.
C. Amendment of Complaints
Complainants may reasonably and fairly amend the
complaint at any time to cure technical defects or
omissions, including failure to sign or affirm a
complaint, to clarify or amplify the allegations in a
complaint, or to join additional or substitute
� respondents. Except for purposes of notifying
additional respondents, amended complaints will be
considered as having been made as of the original
filing date.
x
� 3
D. Notification to Rest�ondents
1. The State or local agency will serve a notice on
each respondent. A person who is not named as a
respondent in a complaint, but who is identified
as a respondent in the course of the
investigation, may be joined as an additional or
substitute respondent by service of a notice on
� the person or otherwise in accordance with State
and local laws/regulations.
2. The notice will identify the alleged
discriminatory housing practice upon which the
complaint is based, and include a copy of the
complaint.
3. If the person is not named in the complaint, but
is being joined as an additional or substitute
respondent, the notice will explain the basis for
the agency's belief that the joined person is
properly joined as a respondent.
. 4. Unless the State or local law or regulation
� prescribes specific notification requirements, the
notice will indicate that the respondent may file
an answer not later than ten days after receipt of
the notice. The respondent may assert any defense
that might be available to a defendant in a court .-
of law. The answer must be signed, affirmed,
attested to or notarized in accordance with the
prescribed State or local law.
5. An answer may be reasonably and fairly amended at
any time with the consent of the head or official
designee, of the State or local agency.
E. The Investigation Process
1. Upon the filing of a complaint, the State or local
agency shall initiate an investigation to obtain
information concerning the alleged discriminatory
housing practice. The factual data must be
developed and the respondent's policies and
practices must be documented.
2 . Beginning with the filing of a complaint, the
agency shall attempt to conciliate or settle the
complaint.
�
.
t •
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3. At the end of each investigation the agency shall
prepare a Final Investigative Report. The
investigative report shall contain:
(aj The names and dates of contacts with
witnesses, except that the report will not
disclose the names of witnesses who request
anonymity;
(b) A summary and the dates of correspondence and
other contacts with the aggrieved person(s)
and the respondent(s) ;
(c) A summary description identifying other
pertinent records examined;
(d) A summary of statements by witnesses, if
applicable;
(e) Interrogatories and answers provided, if
applicable;
. (f) A summary of the evidence and data obtained
� during the investigation to substantiate or
refute the allegations made, and an analysis
of the evidence which sets forth the agency's
basis for its cause or no cause
determination; ,
(g) Identification of the type of closure or
further action to be taken by the agency; and
(h) A statement identifying the relief or
settlement obtained, if any.
4 . A final investigative report may be amended at any
time, if additional evidence is discovered.
5. The State or local agency will cooperate with HUD
by providing information at regular intervals as
set out in Section 8 of the cooperative agreement
as to the progress of complaint investigation to
assure that the investigation is proceeding with
reasonable promptness.
6 . For the purpose of FHAP payment, an investigation
is completed when at least one supervisor has
signed the investigation report.
� 7 . A complaint will not be paid under the FHAP if the
agency consistently provides closure documents
more than 30 days after closure of such
complaint(s) .
, � 5
II. PROBABLE CAUSE OR NO PROBABLE CAUSE DETERMINATION
A. ReQUirements for Acceptance
The rationale behind a Cause or No Cause finding is
that the investigation has shown sufficient evidence to
substantiate or refute the allegations raised. Such
evidence is generally established by determining
whether (1) the data, information, and analysis are
sufficient to conclude that the incident occurred which
serves as the basis of the allegations made by the
complainant; (2) the unit sought was actually available
and on the market at the time of the alleged
occurrence, and (3) race, color, religion, sex,
handicap, familial status or national origin was a
factor in the decision to grant or deny the sale,
rental or financing of housing sought by the
complainant.
B. Documentation Required: The investigative report must
be submitted to HUD and must show that, at a minimum:
� � 1. the basis and issues are clearly stated in the
complainant's allegations or through subsequent
perfecting of the complaint;
2. the respondents, the property, and the events or -
transactions are properly identified;
3. the investigation included an examination of
respondent's stated policies and actual practices
insofar as such policies and practices are related
to the complainant's allegations;
4 . the agency investigated all of the allegations in
the complaint which are covered under the Federal
Fair Housing Act and the appropriate State or
local law;
5. the disputed issues have been identified and
resolved based on the facts obtained during the
investigation;
� '
, •
�
6
6. witnesses and data sources were identified and
appropriately interviewed and examined to support
or refute the complainant's and respondent's
statements;
7. all relevant records were properly identified and
examined and/or marked to support what they are or
show their relevance to the investigation; and
8. the complainant was given an opportunity to rebut
respondent's defenses, and such rebuttal
sufficiently refutes the respondent's action or
provides further proof to support the respondent's
actions.
C. Makincr the Determination
After examination of the above criteria, a
determination of cause or no cause must be made
supported by the totality of the facts obtained during
the investigation.
� . D. Documentation Required
The cause/no cause determination must be well
documented within the context of the Final
Investigative Report as specified in Section I E (3) as
contained herein, and mailed to HUD within seven (7) =
days after the investigation is completed.
III. CONCILIATION
During the period beginning with the filing of a complaint
and ending with the agency's cause determination or
dismissal of the complaint, the agency, to the extent
feasible or prescribed by State or local law, will attempt
to conciliate or settle the complaint. Unless it is
impracticable to do so, the investigation and conciliation
or settlement activity must be completed within 100 days of
the filing of the complaint. If an agency is unable to
complete the investigation and conciliation or settlement
activity within these 100 days, the agency must notify HUD
in writing and provide reasons for the delay within 10 days.
A. Successful Conciliation
1. ReQUirements for Acceptance. The conciliation
agreement must:
�
� 7
(a) be a written agreement which clearly defines
the terms of the agreement and which is
signed by the complainant, respondent, and
the appropriate State or local agency
representative;
(b) include terms which remedy the unlawful
discrimination identified in the complaint
and provides relief or compensation for the
complainant;
(c) contain provisions to adequately vindicate '
the public interest, and prohibit recurring
future discriminatory housing practices by
the respondent;
(d) specifically state that the agreement
constitutes closure of the complaint filed
with HUD and the State or local agency; and
(e) contain a provision which will allow the
agency to conduct compliance reviews of all
� , settlements and conciliation agreements or
other orders issued to resolve the
discriminatory housing practice.
2 . Documentation Reauired. The agency must submit:
(a) a copy of the conciliation agreement; ~
(b) a description of benefits and computation of
actual monetary compensation provided
directly to the complainant, if not stated in
their written agreement; and
(c) verification that the terms of the
conciliation have been met (e.g. a copy of
the check, a copy of the lease showing that
the respondent rented unit to complainant) .
If the benefit will occur after the signing
of the agreement (e.g. complainant will be
allowed to rent at a future date) , the
agreement must provide that respondent will
notify the State or local agency within a
st�ecific period of time after the respondent
has complied with the terms of the agreement.
�
i
�
8
B. Unsuccessful Conciliation
1. Recruirements for Acceptance. The State or local
agency made a cause determination and the
attempted conciliation or settlement efforts were
unsuccessful.
2. Documentation Required. The agency should mail
pertinent documentation to HUD at the same time it
reports the notwithstanding the fact that further
agency enforcement procedures may be pending.
Documentation must include:
(a) a copy of the material required in Section
I.E. (3) regarding Final Investigative
Report.
(b) a copy of the probable cause determination
notices to the complainant and the
respondent.
(c) a copy of the correspondent or other
� • documentation that reports on the failed
conciliation, including pertinent dates.
C. Cases Set for Public HearinQ. Where the agency's
conciliation efforts are not successful, and the
complaint, under State or local law is set for :
administrative hearing or judicial review, HUD shall
accept the case for credit provided the above criteria
are met.
IV. SETTLEMENT CLOSURES
HUD recognizes that in some jurisdictions State or local
laws only permit settlement of fair housing complaints prior
to a determination of cause. This section sets forth the
� criteria for processing in those circumstances. The
conciliation activity described in Section III does not
preclude any State or local agency from resolving a
complaint through settlement action.
A. NeQOtiated Settlements
1. Requirements for Acceptance. The primary area of
importance for the settlement of a case is the
satisfaction of the complainant through the terms
provided in the settlement agreement. The
settlement must be a written agreement which:
�
� 9
(a) clearly defines the terms of the settlement
and is signed by the complainant, respondent,
and an agency representative authorized to
enter into formal agreements;
(b) verifies that the terms of the settlement
have been met (e.g. , a copy of the check,
copy of the lease showing respondents leased
unit) . If the benefit will occur after the
signing of the agreement (e.g. , complainant
to be allowed to rent at a future date) , the
agreement must provide that respondent will
notify the agency within a specific period of
time after the terms have been met to show
the respondent's compliance with the terms of
the agreement.
2. Documentation Required. (To be mailed to HUD at
time of reporting the closure to HUD) :
(a) copy of the executed and dated settlement
agreement.
� . (b) description of benefits and computation of
actual monetary compensation provided
directly to the complainant if not stated in
the agreement.
B. Withdrawals with Settlement. A withdrawal with �
settlement is based only on the complainant's request
for withdrawal of a complaint because of a resolution
acceptable to the complainant.
1. ReQUirements for Acceptance. The withdrawal
request must:
(a) be in writing;
(b) be signed by the complainant, or authorized
representative, and dated;
(c) identify the respondent;
(d) contain the HUD case number and the State or
local agency case number;
(e) indicate the reason(s) , complainant wishes to
withdraw the complaint;
� ,
�
10
(f) contain a statement that there was no
coercion or fear of retaliation; and
(g) provide the right to reinstate the complaint
if the terms are not honored.
2. Documentation Required. An agency must submit:
(a) a copy of the signed and dated withdrawal
statement; and
(b) description of benefits and if not stated in
the written agreement, computation of actual
monetary compensation provided directly to
the complainant.
� .
�
� 11
V. ADMINISTRATIVE CLOSURE/DISMISSALS
A. Withdrawals Without Settlement
1. Rectuirements for Acceptance. The withdrawal
request must:
(a) Be in writing;
(b) Be signed and dated by the complainant or an
authorized representative;
(c) Identify the respondent(s) ;
� (dj Contain the HUD case number and the State or
local agency case number;
(e) Indicate the reason(s) why complainant wishes
to withdraw the charge;
(f) Contain a specific reference to the
withdrawal of the HUD complainant as well as
� • the agency's complaint; and
(g) Contain a specific statement that there was
not coercion or fear of retaliation.
2 . Documentation Required (To be mailed to HUD at -
time of reporting the closure to HUDj :
(a) chronology of agency actions prior to
withdrawal request; and
(b) copy of the signed and dated withdrawal
statement.
B. Unable to Locate Complainant
1. Rectuirements for Acceptance
The basic requirement is to establish that the
agency was unable to locate the complaint. This
would include written documentation of steps such
as:
(a) Returned correspondence indicating that the
complainant had moved and left no forwarding
address;
� (b) Contact with other sources in an effort to
obtain a more current address for complainant
(e.g. HUD Office; telephone directory;
contact person, complainant place of
employment, e�c. ) ; or
� 12
(c) Efforts to contact complainant by certified
mail-return receipt requested or telephone
(when available) if correspondence has been
returned as "unclaimed. "
2. Documentation Required (To be mailed to HUD at
time of reporting the closure to HUD) .
(a) a copy of a case chronology, a case diary, or
other written documentation which provides
evidence that progressive steps were taken to
locate the complainant.
(b) a copy of a returned envelope with post
office notations.
(c) records showing that at least two telephone
calls were attempted, one during normal
working hours and one during non-working
hours.
C. Failure of Complainant to Cooperate with the
� • Investigation
1. Requirements for the Acceptance. The State or
local agency must send the complainant a letter
indicating that the agency and HUD will dismiss
the complaint. :
(a) Following attempts at telephonic (where
available) and personal contact, the State or
local agency's letter is sent by regular and
certified mail-return receipt requested. The
agency's letter gives the complainant at
least 10 days from receipt of the letter
provide the needed information or contact the
agency investigator.
(b) The certified-return receipt requested and
regular letters must be claimed by the
complainant or by someone at the
complainant's address. If the letters are
returned as unclaimed, the State and local
agency must attempt to contact the
complainant by telephone and provide some
evidence of such attempt.
�
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13
(c) If the complainant's cooperation cannot be
obtained using the above procedures, and the
letters are not returned by the Post Office
(i.e. , marked addressee unknown; moved; left
no forwarding address, etc. ) , the complaint
should then be closed for failure to
cooperate. A complaint may not be closed for
failure to cooperate based solely on a
complainant's failure to claim certified
mail.
2. Documentation Required (To be mailed to HUD at
the time of reporting the closure to HUD) :
(a) a copy of the case chronology sheet, or other
written documentation which describes or
summarizes the steps taken to obtain the
complainant's cooperation.
(b) evidence that at least two telephone calls
were attempted, one during normal working
hours and one during non-working hours.
� , D. Lack of Jurisdiction
1. ReQUirements for Acceptance The lack of
jurisdiction must apply to HUD as well as to the
agency. _
2 . Documentation Required (To be mailed to HUD at
time of reporting the closure to HUD) :
(a) a written explanation setting forth the
reason that the lack of jurisdiction could
not be determined at intake;
(bj a copy of closure letter(s) sent to all
parties; and
(c) a written explanation for closing the
complaint for lack of jurisdiction.
�
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�,�, ,�:'
. ' ;��w
�> APPENDIX C
ti �
v
UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND
COOPERATIVE AGREEMENTS TO STATE AND LOCAL GOVERNMENTS
The following provisions of 24 CFR Part 85, "Uniform
Administrative Requirements for Grants and Cooperative
Aqreements to State and Local Governments, " are incorporated
by reference. Upon request, the Grant Officer will make _:
their full text available. Where clarifyinq or specific FiUD
instructions are required, they will appear in full text. -
The term "grant" as used herein also refers to cooperative
agreement instruments. The term "Grant Officer" as used
herein also refers to Cooperative Agreement Officers, when
the instrument is a cooperative agreement.
85.34 Copyrights and patents.
85.35 Subawards to debarred and suspended parties.
t * * * * ..
Before awarding any subcontracts or subqrants, the
' grantee must ensure that the subcontractor or subgrantee is
, not included on the General Services Administration's "Lists
of Parties Excluded from Federal Procurement or
Nonprocurement Proqrams, " and, therefore, ineligible for
award. Copies of this publication may be obtained from the
Superintendent of Documents, U.S. Government Printinq
Office, Washington, DC 20402. The telephone number is (202) .
783-3238.
85.36 Procurement.
85.37 Subgrants. � � __ •
85.42 Retention and access requirements for records.
85.43 Enforcement.
85.44 Termination for convenience.
. -�'� '
� . .
.. -�
�L
�ART SS-ADMINISTRATIVE RE-
• � . QUtREMENTS FOR GRANTS AND
COOPFRATIVE AGREEMENTS • TO
STATE, LO�A� AND FEDERALLY
RECOGNIZEO INDIAN TR�gA� _ _
GOVERNMENTS �
Subparl A—G�n�rol
Sec.
85.1 Purpose and scope of this part.
85.2 Scope ot subpart.
85.3 Deiinitions.
85.! Appticability.
� 85.5 Eitect on other issuances.
85.6 Additions and Exceptioru.
Subparf d—►re•Aword R�qvir�n��n1t
85.10 Forms !or applyin� for arants.
• 85.11 State plaru.
85.12 Special �rani or suberant conditlons
for ••high•risk" erantees.
-- Subporf C—►ost•Awerd R�qvir�n��nt�
F'INANCIAL ADMINIS?RAT10N �
85.20 Standards tor tinancial manaeement
syster.zs.
85.21 Payment. . .
85•22 Allow•able`cbsts. •
85.23 Period o! svaflability o! tunds.
8S•2! MacchinQ or cosi sharine. '
85.25 Pfogram Income.
8S.26 Non•Federil audit.
CHAr►�r3� PROTL1tTY.AND$II�AWA1tDS
85.30 Changes.
85.31 Real property.
85.32 Epufpment.
85.33 Supplies.
85.34 CopyriQhts.
85.35 Subsa�ards to debarted and suspend-
ed psrties.
85.36 Procurement.
a5.37 Suberanis.
> ' ' �: qC.l�•-.+'+ ..
. .' . Ra�o�ri.Rsooaai. RsT�rIOx�� • , ..
.
, .� "' 1�ro�cr�= .••��:. •�~ �t aad ottser t.a,n�ible pro;
�y i5.�0 MoNtorint and �� � '�'��,r•� • to purahaaers, a�d (;
r Perlormance. �O� O�aea ia�ottaLs Deoomin� o�ved Lo the �rar�
aS.�1 Financial reportir�, , ee tor �vhfch no current services c
as.�2 Retentlon and s� ����v ��o��ce !a required by the aran
for records, ee.
aS.�3 �hiercement. "Acquisftion Cost" Of u� item of pil
aS.�� T�rnntnstfon tor convenlence. Cb�s�d eQutpmenL �ueans the net ir
� voice unit price of the property incluc
Subporf D—Ah�r•fh�-Or�nf R�quir��n�ntt snQ cn� cosc of moat.ticacions, itt,g,Ct
as.so Closeout. a�ents. accessories, or suxlliary spps
aS.51 Later disallowances snd sdJustments. �t� necessary to make Lhe propert
as.s2 Colleccion ot amouncs due. usable for• the purpose tor whic2i ;
Subport E—Enttti�nn�nt� (R���n�dj he costoi insta�ll tion� t BrLSpOtt,Bt 0I
taxes. duty or protective in•transit ir
AIITHORITY: sec. 7cd�, Department oi suranee. shall be included or exclude
Housing and Urban Deve]opment Act. �2 frora the unit acqUisitfon Cost tfl ac
U.S.C. 3535cd). cordance with the
SovRCE: 53 FR 8068. 8087. Mar. l i. 1988, counting practices���,s regular at
unless otherw•ise noced. '�Administrative" requirements mea:
Er�crivF D�rE NorE: At 53 FR 8068, 8087, those matters common to grants L
Mar. 11, 1s88. Part 85 v�•as added, eifective 8eneral. such as financial managE
. Occober 1, 1988. ment, kinds and frequency of report:
and retention oi records. These ar
Svbpart A—General distinguished irom "programmatic'
requirements, ahich concern matter
� 85.1 Purpose and scope of thi� part. that can be treated only on a prograin
This part establishes uniform ad• bY•Drogram or grant.by-grant basi�
ministrative rules for Federal grants such as kinds oi actfvities that c�n b,
and cooperati�e agreements and supported by grants ur�der a particula:
subaa•ards to State, Iocal and Indian Arogram.
tribal governments. "Awarding agency" means (1) witr
� 85.2 Scope ot aubpart, respect to a grant, the Federal agency
and (2) aith respect to a subgrant, th�
This subpart contains general rules Party that aaarded the subgrant.
pertaining to this part and precedures "Cash contributions" means thc
for control oi exceptions irom this Yrantee's cash outlay. including thE
part, outlay of money contributed to LhE
� 85.3 Defin;tiona. �'��e or subgrantee by other public
agencies and institutions. and private
As used in this part: orQanizations and individuals, When
"Accrued expenditures" mean the iuthorized by Federal leeislatfon. Fed-
charges incurred by the grantee eral iunds received trom other issist.
during a given period requiring the snce a¢reements may be considered as
provision of funds ior: (1) Goods and erantee or sub¢rantee c;azh contribu-
other tangible property r�ceived; (2) tions.
services periormed by employtes, con- "Contract" means (excxpt as used in
Lractors, sub¢rantees. subcontractors, the definitions ior •'�rant�� ind "sub-
ind other payees; and (3) other �rant" in Lhis section and except
amounts becoming owed under pro- . ahere qualifted by "�ederal") s pro-
¢rams for w•hich no current services or curement contrsct ur�der a erant or
performance is required, such as annu• subQrant, and means a procurernent
ities, insurance clatms, and other bene• subcontract under a contract.
fit payznents. "Cost aharin¢ or matchin¢�� means
"Acrrued income" means the sum of: Lhe value of the thlyd pirty in-tind
(1) Earnings durin� i `iven perfod contributions and the portion of the
irom senices periormed by the Yrant• costs of a federally issisted pro�ect or
��
;• � •� � �ro¢tam not borne by tht Federal Nj,p�� �p������ �pestss a county.
, '.. C3overnment. �� munleipalft�. �'elty. to�vn. to�thlD.
. ,, Cost-type contract means • con• loaal Dublfc tuthority •(�cludiri� a�
trsct or subcontnct under a �rar�t in publfc �nd Indiat� houalnt aseaCy
`. �rhich the contractor or subcontnctor under the Vnited 6tates I�ouain� Act
is paid on the basis oi the costs it of 1937) school dlstrict. s�ecia� district.
incurs, R ith or without a fee. intrastate dfstrlct. council of �overa-
"Equipment" means tangible. nonex• ments tahether or not lncorporated as
pendable, personal property h4ving a a nonprofit corpontion under stat,e
� useful life oi more than one year and laa). any other reQional or interstat,e
an scquisition cost of t5,000 or more Qovernment entfty. or any a�ency or
per unit. A grantee may use !ts own instrumentality oi a local �overnment.
. definition oi equipment provided that "Oblieations" br►eans the aanounta oi
such definition would at least include orders placed. contra�cts and aub�ranta ��
sll equipment defined above. awarded. Qoods and services received,
"Expenditure report" means: (1) For and simllar transactions durine i Qiven
nonconstruction grants. the SF-269 period that will require payment by
"Financial Status Report" (or other the Qrantee during the same or a
equivalent report); c2) for construction iuture period.
grants, the SF-2?1 "Outlay Report "OMB" means the United States
and Request for Reimbursement" cor Oifice oi Mana.gement and Bud�et.
other equivalent report). "Outlays" (expenditures) mean
"Federally recognized Indian tribal charges made to the projeci or pro-
government" means the governing gram. They may bc reported on a cash
body or a go�•ernmental agency of any or acerual basis. For reports prepared
Indian tribe, band, nation, or other or• on a cash basis. outlays are the sum oi
Qanized group or community cinclud• actual cash disbursement for direct
ing any Native village as deiined in charges for goods and services. the
section 3 of the Al�ska Native Claims amount of indirect expense incurred.
' Settlement Act. 85 Stat 688) certified the value of in•kind contributions ap-
by the Secretary oi the Interior as eli• plied, and the amount of cash sd•
gible ior the special programs and vances and payments made to contrac-
services provided by him through the tors and subgrantees. For reports pre-
Bureau oi Indian Aifairs. pared on an accrued expenditure basis.
"Go��ernment" means a State or outlays are Lhe sum of actual cash dis=
loca] go�•ernment or a federally recog• bursements, the amount of indirect
nized Indian tribal gor•ernment. exper.se incurred, the value of inkind
"Grant" means an aaard of finan• contributions applied, and the new in-
cial assistance, including cooperative. crease cor decrease) in the unounLs
agreements, in the form of money. or oaed by the arantee ior Qoods and
pTOperty in lieu oi money, by the Fed- other property received, for aervices
eral Government to an eligible ¢rant• performed by employees, contractors,
ee. The term does not include techni- subgrantees, subcontractors. and other
cal assistance which provides services payees, snd other amounts becoming
instead of money, or other assistance owed under programs for ahich no
in the form of revenue sharing, loans, current services or periormance are re-
loan guarantees, interest subsidies, in- quired, such �s annuities, insurance
surance, or direct appropriations. Also, claims. and other benefit payments,
the term does not include assistance, "PercentaQe oi completion method"
such as a lellowship or other lump refers to s aystem under �vhich pay-
sum s�•ard, which the ¢rantee is not ments are made for construction work
required to account lor. sccordin¢ to the perctnta¢e of comple-
- ��Grantee" means the ¢overnment to tion of the work, nther than Lo the
a•hich a grant is aa•arded and a�hich is grantee's cost incurred.
accountable !or the use oi the lunds "Prior approval" means documenta-
pro��ided. The grantee �is the entire tion evidencine consent prior to incur-
" leQal entity even i! only a particular rin¢ specific cost.
component of the entity is desi¢nated "Real properiy" means land, includ-
in the grant av�•ard document. fn¢ land improvements, structures and
. ,� • 3
. ,,
,. . aAPurtenancea theTeto. e�cc,�udin� mov �ate previoualyawarded traat tur�d�
' •• able machinery and equlpment. before that authorfty �vould otherwis�
. "Share". �rhen reierrina Lo the expire. It alao means the voluntary re�
aaarding aQency's portion oi real 1inQuishment oi that authority by thE
property. equipment or supplles, �r�nt,ee or subgrantee. "Termination'
tneans the same percentaee is the does not include: (1) Withdraaal o�
awarding agency's portion oi the sc• funds awarded on the basis oi LhE
Quiring party's total costs under the Qrantee'a underestimste oi the unobli�
- erant Lo a•hich the acquisitfon costs eated balance in a Drior period; (2�
under the grant to ahich the acquisi• Withdrawal oi the unobligated bal
tion cost of the property was char�ed. �� � of the expiration of a �a�nt
On1Y costs are to be counted—not the (3) Refusal to extend a Qrant or awarc
value of third•party in•kind contribu• additional funds. to make a coinpetin�
tions. or noncompeting continuation� renew�
"State" means any oi the several al. extension, or supplemental aaard
States of the United States, the Dis- or (4) voidfng of a grant upon determi�
trict oi Columbla. the Commonwealth nation that the award was obtainec
of Puerto Rico, any territory or pos- iraudulently. or aas otherwise illega:
session of Lhe United States, or any or invalid irorri inception.
agency or instrumentality of a State ��Terms oi a grant or subgrant"
exclusive oi local governments. The �ean all requirements oi the grant ot
term does not include any public and subgrant. whether in atatute� regula•
Indian housing agency under United tions. or the aaard dxument.
States Housing Act of 1937. '•Th1rd party in-kind contributions"
"Subgrant" means an aa•ard of fi- mean property or services ahich bene-
nancial assistance in the iorm of iit a iederally assisted project or pro-
money, or property in lieu of money. �.am �d which are contributed by
made under a grant by a grantee to an non-Federal third parties without
eligible subgrantee. The term includes charge to the grantee. or a cost•type
iinancial assistance a hen provided by contraetor under the grant agreement.
contractual legal agreement. but does ��Unliquidated obligations" for re-
not include procurement purchases.
nor does it include any form of assist- p°� prepared on a cash basis mean
ance ahich is excluded irom the defi- the amount oi obligations incurred by
� nition oi "grant" in this part. Lhe grantee that has not been paid.
Subgrantee means the govern• For reports prepared on an accrued
.. " expendlture basis, they represent the
ment or other legal entity Lo a•hich a
subgrant Ls awarded and which is ac• �ount of obligations incurred by the
countable to the grantee for the use oi �T�tee for ahtch an outlay has not
Lhe funds provided. been recorded. �
"Supplies" rneans all tangible per• "Unobli¢ated balance" means the
sonal property other than '•equip- Portion oi the funds authorized by the
ment" s�s defined in this part. Federal agency that has not been obli-
Suspension means depending on 6ated by the ¢rantee and is deter-
., „either (1) tem
the context. porary mined by deductirig the cumulative ob-
aithdraaa] of the authority to obli• ll�ations irom the cumulative funds
`ate arant funds pending corrective authorized.
sctfon by the grantee or sub¢rantee or j� � AppliubilIty.
s decLsion to terminate the ¢ra.nt. or
(2) an acLion taken by a suspending oi- (a) GcncraL 8ubparta A—D ot this
iicial in accordance a�ith agency regu- part apply to alI �ts and subgrants
lations implementing E.O. 125,9 to im. to Qovernments, except �►here incon-
mediately exclude a person irom par• aist,ent with Fed�ral statutes or with
ticipating in ¢rant LransactJons for a re¢vlations authorized in accordance
period, pending completion of in in- with the exceptfon provision oi �85.6,
vestigation ind such le�al or debar- or: .
ment proc�edings �s msy eruue. (1) (3r�►nts and subgrants to State
"Terminatton" means permanent ind local institutioru of hi¢her educa-
a�!thdraa�sl of the authority to obli- tion or State and local hospitals.
.� �2) The block erants authoriztd by � (b) �tltlement tr�lt� unCtr Lbe tol-
.'.. the Omnibus Bud�et Reconcillatfon lo� p�� oi �'he Child Nutr!-
� '� � Act oi 1981 cCommunity Servlces; pre• tion Act oi 2o6d:
, ventive Heslth and Health 6ervtces: �» gp�isl Mllk (sectfon 3 oi the
Alcohol. Drug Abuse. and Mental Act). and
Health Services; Maternal and Child ti!) 6cbool Breatiist (section 4 oi
Health Services; Social Services; Low• the Act).
Income Home EnereY Assistance; �6� �titlement erants ior 8tate Ad-
. States' Program of Community Devel- ministritive expenses under The Food
� opment Block Grants for Small Cities; Stamp Act of 19?? (sectton 16 of the
ind Elementary and Secondary Educa- Act).
tion other than programs adminis• �q� A erant tor �►n experimental.
tered by the Secretary oi Education pilot. or demonstration prolect that is
under 1�tle V. Subtitle D. Chapter 2. �o supported by a arant listed in
Section 583—the Secretary's discre• p��aph (s)c3) oi this section:
tionary grant program) and Titles I- �8� ��t funds swarded tuider sub-
III of the Job TSraining Partnership �ction �12ce) oi the Iramiaration and
Act oi 1982 and under the Public Naticnality Act (8 V.S.C. 15Z2(e)) and
Health Services Act cSection 1921). Al-
cohol and Drug Abuse 17eatment and subsection 501(a) oi the Refugee Edu-
Rehabilitation Block Grant and Part �tion Assistance Act oi 1980 (Pub. L.
C of Title V. Mental Health Service 96-�22• 94 Stat. 1809). for cash assist-
for the Homeless Block Grant). ance, medical assistance. and supple-
(3) Entitlement grants to carry out mental security incame benefits to rei-
the follo�•ing programs oi the Social ugees and entrants and the aamints•
Security Act: trative costs oi providing the assist-
(i) Aid to Needy Families Rith De- �ce and beneiits;
pendent Children (Title IV-A oi Lhe �9) Grants to local education agen-
Act, noi including the Work Incentive cies under 20 U.S.C. 236 through 241-
� Program cWIIr') authorized by section lta), and 2�2 through 244 (portions of
442ca)19cG); HHS grants for WIN are the Impact Aid program). except for
subject to this part); � 20 U.S.C. 238cd)(2)(c) and 240(i) (�ti-
tii) Child Support Eniorcement and tlement Increase ior Handicapped
Establishment of Paternity cTitle IV- Children); and
D of the Act); c10) Payments under the Yeteranf
ciii) Foster Care and Adoption As• Adminfstration's State Home Per
sistance cTitle IV-E of the Act); Diem Program (38 U.S.C. 641(a)).
(iv> Aid to the Aged, Blind, and Dis- (b) EntiUem,e�t proprams. Entitle-
sbled (Titles I. X, RIV, and XVI- ment programs enumerated sbove in
AA.BD of the Act); and f 85.4(a) (3) throu�h (8) are subject Lo
(v) Medical Assistance cMedicaid) Subpart E.
(Title XIX of the Act) not including � �.S EnK� on other issuance:.
the State Medicaid F�aud Control pro-
eram authorized by section All other �rants administration pro-
1903ca)c6)cB). visions ot codified pro¢ram regula-
(4) Entitlement grants under the fol• tions, pro¢ram manuals, handbooks
lowing programs of The National and other nonregulaLory materials
School Lunch Act: which are tnconsistent with this part
(i) School Lunch csection 4 of the are superseded, except Lo the extent
Act). they ue required by statute, or au•
cii) Commodity Assistance csection 6 thorized in sccordance with the excep-
oi the Act), tfon provision in � 85.6.
ciii) Special Meal Assistance (section
11 oi Lhe Act), i 85.6 Addition• and exception�
civ) Summer Food Service for Chil• ca) For classes oi �rants and �rant-
dren csection 13 of the Act), and ees subj�ct to this part. F`�deral teen-
(v) Child Care Food Program csec- cies may not impose idditional sdmin-
tion 17 of the Act). istrative reQuirements except in codi-
• ' � �
� '' � tied re�ulatlona publlshcd in t,lu �- (4) When a �rantee appliea for addl•
� s�. Ruis�n. tfonal fundin� (tuch as a continustfon
• (b) ESccepttons for ctassea oi �rsnts or supplemental award) or amends �
or Qrantees may be suthoriud on�y by �reviously submitted spplication. only
OMB. the aifected pages need be submitted.
(c) £xceptions on a case•by-case Previously submitted paQes with infor-
basis and for subgrantees maY be au- mation that is still current need not be
� " thorized by the affected Federal agen- resubmitted.
cies.
f 85.11 State plsns.
Subpa�t B—Pre-Aword Rsquir�ment: ta) Scope. The statutea tor some pro-
f 85.10 Forms tor applyin6 tor rrants. �� require States Lo submit plans
beiore recetving granLs. Under regula-
(a) Scope. (1) This section prescribes tions implementing Executive Order
forms and instructions to be used by 12372, "Inter¢overnmental Review of
governmental organizations (except Federal Programs." States are allowed
bospitals and institutions oi higher t,c simplify. consolidate and substitute
education operated by a government) p�ans. This section contains additional
in applying !or grants. This section is provisions for plans that are subject to
not applicable, hov�•ever. to formula regulations implementing the Execu-
grant programs v�hich do not require tive order.
applicants to apply for iunds on a �b) Requirements. A State need meet
project basis. only Federal administrative or pro-
(2) This section applies only to appli• grammatic requirements ior a plan
cations to Federal agencies for grants, that are in statutes or codified regvla-
and is not required to be applied by tions.
. grantees in dealing a•ith applicants for ��� Assurances. In each plan Lhe
subgrants. Hov��ever, grantees are en•
couraged to avoid more detailed or State will include an assurance that
burdensome application requirements Lhe State shall comply with all appli-
for subgrants. cable Federal statutes and regulations
tb) Aulhonied �orms and insiruc• in effect with respect to the periods
tions �or 9overnmental or9anizations. for which it receives �rant funding.
t 1) In applying foT grants, applicants For this assurance and other sssur•
shall only use standard application ances required in the plan. the State
- forms or those prescribed by; the may: ;
eranting agency a�th the approval oi (1) Cite by number the statutory or
_ OMB under the Paperwork Reduction regulatory provisions requiring the as-
Act oi 1980. surances and affirm that it ¢ives the
(2) Applicants are not required to assurances required by those provi-
submit more than the original and two sions.
copies of preapplications or applica• �Z� Repeat the assurance lan¢uage in
tions. the statutes or re8ulations, or
(3) Applicants must folloa all appli- �3) Develop its own lanQuage Lo the
c�ble instructions that bear OMB extent permitted by laa�.
clearance numbers. Federal agencies �d� A�ndmtnLs, A State �vill amend
may specify and describe the pro• a plan ahenever necr.ssary to reflect:
�rarns, functions, or dctivities that will �1) Nea or revised Federal statutes
be used to plan, budget, and evaluate or re�ulations or;
the a•ork under a grant. Other supple- �Z� A �aterial chan�e in any State
- mentary instructions may be issued
only a•ith the approval of OMB to the laa�. orQanizatl�n� Dolfcy, or State
extent required under the Paperaork aQency operation. The State aill
Reduction Act oi 1980. For any atand- obtain spproval for the amendment
ard form, except the SF-�24 iacesheet, ind tts eifective date but n�ed submit
Federal agencies may ahide out or in• tor ipproval only the amended por-
struci the $pplicant to disregard iny tions of the plan.
line 1Lera Lhat is not nceded.
� ! SS.l2 S w
,, peci�l �rant or �ubsrant tondl. sVd � G�Poft-Aword R� Ylhewlntt
�„ tion• for hith•ri�k �ranteet. � q
' � •• ta) A Qrantee or subQnntee may pe FI7�A21CLIL AD�[IXlsr�utso�
. considered "high risk" ti an awarding
agency determines that a �rantee or f�•20 Standards for Rnanctal mar�a=c.
subgrantee: enent systems.
(1) Has a history of unsatisfactory �s) A suk must expand �d ac.
performance, or count for Qrant iunds � �r��
. � (2) Is not financially stab2e, or witb State laas and praxdures for ex-
(3) Has a management system which �nding and accountinQ for iLs oam
does not meet the management atand- iun�� �a� �ntrol ar�d accounting
ards set iorth in this part. or Arxedures oi the State. as aell ss its
(s) Has not conformed to terms and bubgrantees and cost-type contractors,
conditions of previous awards. or must be suificient to—
(5) Is othera•ise not responsible; and �1� permit preparation of reports re-
if the av�•arding agency determines Qutred by this part and th� statuLes
that an aa•ard a•ill be made. special authorizing the �ranL, and
conditions and/or restrictions shall �Z� Permi� the tracin� oi funds to a
correspond to the high risk condition �evel oi expenditures adequate to es.
tablish that such funds have not been
and shall be included in the av��ard. used in violation oi the restrictions
(b) Special conditions or restrictions and prohibitions of applicable stat-
may include: utes.
(1> Payment on a reimbursement (b) The financial management sys-
basis; tems of other grantees and subgran•
(2) Withholding authority Lo pro- Lees must meet the folloaing stand-
ceed to the next phase until receipt oi ards:
evidence of acceptable performance fl) Financial seportinp. Accurate.
" aithin a given funding period; current. and complete disclosure of
c3) Requiring additional, more de• the financial results oi financially as•
tailed financial reports; � sisted activities must be made in ac.
_(9) Additional project monitoring: cordance with the financial reporting
c5) Requiring the grante or subgran- requirements of the grant or subgra�t.
tee to obtain technical or management �Z� Aecounlin9 reeords. Grantees
assistance; or and subgrantees must maintain
c6) Establishing additional prior ap. records which adequately identify the
provals. ; source. end application oi funds pro-
(c) If an aa•arding agency decides to �ided for financially-assisted activities.
impose such conditions, These records musL contain informa_
the awarding tion pertainin¢ to grant or subgr�ant
ofiicial a•ill notify the grantee or sub• awards and authorizations. obliea-
Qrantee as early as possible, in a�riting, tions, unobligated balances, assets, li-
oi: abilities. outlays or expenditures, and
(1) The nature of the specia] condi• income.
iions/restrictions; (3) Inlernal conlrol. Elfective eon-
C2) The reasoncs) for imposing them; trol and accountabi]ity must be aiain.
(3) The corrective actions . a�hich tained for all ¢rant and subQrant cash,
must be taken before they a•ill be re- real and personal property. tnd other
mo�ed and the time allowed for com• �Sets• Grantees and sub¢rantees must
pleting the corrective actions and adequately safe�uard ill such proper-
t4) The method oi requesting recon- ty �d must assure thst it is used
sideration o! the conditions/restric• solely for authorized purposes.
tions imposed. (4) Budyet controt Actual expendi-
tures or outlays must be compared
with budQeted amounts for each �rant
or tubQrant. Financial information
must be related to pertormance or pro-
ductiti•ity data, includin¢ the develop-
`� •. ' ment ot unit coat lnto �
riaatton �►hen• trarLSter oi funds and dtsbursement by
• • � ever appropriste or sp�citicxlly ro- the �rantee or sub�rantee. in acxord-
quired in the Qzarit or subQratit a�r�e. ar�cr �vith TYeasury re�ulations at 31
� ment. It unit cost dats are repuired. CFR part ZOS.
estimates based cn available documen• (c) Advances. C3rantees and sub�ran•
Lation aill be accepted ahenever possi- k� =h�� � paid 1n advance� provided
ble. they maintain or demonstrate the aill•
(5) Allo�able coJG Applfcable OMB �gne� �d ability Lo maintain proce-
. � cost principles, aQency proQram regu- dures Lo mtnimize the time elapsing
lations, and the terms oi �rant and �Lween the transier ot the funds and
subgrant agreements wlll be followed their disbursement by the arantee or
!n determining the re�sonableness. al• sub�rantee.
loa�ability. and allocability oi costs. �d) RrimburaenunL Reimbursement
(6) Source documentation. Account• shall be the
ing records must be supported by such preferred aiethod ahen
source documentation as cancelled the requirements in paragraph (c) oi
checks, paid bills, payrolls, time and this sectton are not met. Grantees and
attendance records, contract and sub- subgrantees may also be paid by reim•
grant av�•ard documents, etc. bursement tor any construction grant.
(?) Cash mana�emenl. Procedures Except as otherwise specified in regu-
for minimizing the time elapsing be- �ation. Federal agencies ahall not use
ta�een the transier oi funds irom the the percentage of completion method
U.S. TYeasury and disbursement by LO pay construction grants. The grant-
grantees and subgrantees must be fo]- ee or subgrantee may use Lhat method
lowed a•heneti•er advance paymeni pro• tO paY its construction contractor. and
cedures are used. Grantees must esiab• � �t does, the aaarding agency's pay-
lish reasonable procedures to ensure �ents to the grantee or subgrantee
the receipt oi reports on subgrantees' a'ill be based on the grantee's or sub-
. cash balances and cash disbursements ��tee's actual rate of disbursement.
in sufiicient time to enable them to �e) Workinp capital advances. Ii a
prepare complete and accurate cash BTantee cannot meet the criteria for
transacLions reports to the aa�arding 8dvance payments described tn para.
agency. When advances are made by ¢='aph tc) of Lhis section, and the Fed•
letter-of•credit or electronic transfer eral agency has determined that reitri-
of funds methods, the grantee must bursement is not feasible because the
make draa•doans as close as possible Srantee lacks suificient aorking cap•
to the time oi making disbursements, ital, Lhe aa�arding agency may provide
Grantees must monitor cash draa�• �h or. a working capit,al advance
doa�ns by their subgrantees to assure b��• Under this procedure the award.
that they coniorm substantially to the �g aBency shall sdvance cash to the
same standards oi timin� and arnount ¢rantee Lo cover its estimated dis-
as apply to advances to the ¢rantees, bursement needs ior an initial period
(c) An aa•arding agency may reviea Qenerally Qeared Lo the Yrant,ee�s dis-
the adequacy of ihe financfal manage- bursing cycle. Thereaiter� Lhe award.
ment system ot any applicant for fi- fng agency shall reiinburse the Yrantee
nancial assistance as part oi a for its actual cash disbursements. The
preaa�ard reviea� or at any time subse- aorkinY capital advance rnethod oi
quent to aa�ard. payment shall not be used by Qrantees
! 85.21 Payment. or sub¢rantees ii the reison for using
auch tn�thod ts the unwiilin�� or
(a) Scope. This section prescribes the inability oi the trtnt�t to provide
baslc standard and the methods under timely advances to the subQrantee to
a�hich a Federal agency wlll make pay- meet the sub�rant,�e�s utual cash dis-
ments to grantees, and �rantees a•ill bursements.
make payments to sub�rantees and (i) EJJect oJ propram incomc, re.
contracLors. Junds, and audit recoveries on
(b) Basic llandatd Meihods and mcnt (1) C3rantees and sub�z��s
procedures for payment shall minl-' shall dlsburse repayments to tnd tn.
mize the time elapsirY betR•een the Cerest earned on i revolving iund
. . " �
�• before requestin� addltional cash D�Y• ernm�nw coov�,�cion wc� cai v.s.c.
'� � � ments for the same utivlty. db01 et se�.) ar�d the Indi� 8elt•De-
(2) Except is Drcvid�d in psraersph terrainatfon Act (Z3 V.B.C. �50). �ran�
(f)(1) oi this section. erantees and sub• ees and subQrant�tea shall promptly.
grantees shall dlsburse program but at least Quarterly. remit intereat
income, rebates. refunds, contract set• earn�d on sdvances Lo the Federal
tlements, audit recoveries and fnterest s�ency. The �rantee or sub¢�-aatee
�earned on such funds before request• may keep interest amounta up to a104
� ina sdditional cash payments. p�r year tor adininistntive eapenses.
(Q) Withholdinp payments. (1) �85.Z2 Allo.vable eo�ts.
Unless otherwise required by Federal
.- statute. av��ardin¢ a8encies shall not (a) Ltmilalien on �cse o� lunds.
aithhold payments for proper charges C3rant funds r�nay be uaed only for.
incurred by grantees or subgrantees (1) The allowable costa oi the Qrant-
unless— ees. sub�rantees and cost-type eontrac-
� (i) The grantee or sub¢rantee has tors. includine alloaable costs in the
failed to comply with grant award con- forra of payments to fixed•price con-
ditions or tractors; and
(ii) The grantee or subgrantee is in• (2) Reasonable fees or profit to cos�
debted to the United States. type contractors but not any fee or
(2) Cash a•ithheld ior failure to proiit (or other increment above al-
comp:y a•ith grant award' condition. . lowable costs) to the grantee or sub-
but a•ithout suspension oi Lhe grant. grantee.
shall be released to the grantee upon (b) Applicabie cost prznriples. For
subsequent compliance. When a grant each kind oi or�anization� there is a
Ls suspended, payment adjustments set oi Federal principles for determin-
a•ill be made in accordance with ing alloaable eosts. AlloWable eosts
. ; 85.43cc). will be determined in accordance with
(3) A Federal agency shall not make Lhe cost principles ap�licable to the
payment to grantees for amounts that oTganization incurring the costs. The
are aithheld by grantees or subgran- iollowin¢ chart lists the lcinds of orQa-
Lees irom payment to contractors to nizations and the applicable cost prin-
assure satisiactory completion of ciples.
work. Payments shall be made by the �
Federal agency when the �rantees or
subgrantees actually disburse the
aithheld funds to the contractors or Fa m. c+o�u a .— u�. v» a+�� '�
Lo escrow accounts established to
assure satisiactory completion oi s����a '"�+" a'D'' °!`'8°^a,�+'�-a'.
work. P,�vs�e noro►� o►aanaaba+ o�AB c,lrouhr A-,r2.
th) Cash dcposilories. (1) Consistent � ,�,,,� �,�,� .,ss�+
a�ith the national goal of expanding a npn« .e�caeo^• rr�
the opportunities for minority busi• "�"''•°' ��°'4'"a'0°"
�+am.a �r+ Ob�e Croul�r A.
ness entetprises, erantees and sub• �n �� � ,,,�, b �,.,
¢rantees are encouraged to use minori- a,o,�,►.
ty banks (a bank a�hich is oamed at Educ,aoon��insUeus�o�s_•••-_.._ OA1B dra�tar A•z�.
least 50 percent by minority aroup F��' °'�',�"� �,qP,,,,°,�',,,a�
members). A list of minority owned �,,,�,,,a, r,.,r,.o � oe� e�.., o� �.+�++ � .�•
banks can be obtained irom the Mi• cXa,�.r �-,z� .s �+a .� o�+�+�*�v f�•►a n.'
nority Business Development AQency. � �*�'°'011'� �a�
Department of Commerce. Washin¢• a�,.
ton, DC 24230.
(2) A grantee or subgrantee shall
maintain a separate bank ucount only � g5.23 Period of arailabilitr of tund�.
. ahen required by Federal-State a¢ree•
ment. (s) Gcnera.l- 'Where a funding period
ci) Intr�cst carned on advances. is :peciii�d. a tr�.ntee may char¢e to
Except for interest earned on advances the sa•aTd only costs resultin� from
oi ivnds exempt under the Inter¢ov- obli�ations of the funding period
; , ; y .
'� ' unless carryover oi unobllQated bsl- qufrement of another F`ederal �rant
� ' . ances is permitted. !n �vhfch case the aareement. a Federal �rocurement
carryover balances may be charaed for contract. or any other aw4rd ol F'�der-
� casts resulting irom obligations of the al iunds.
subsequent funding perfod. (4) Costs financed by proDram
cb) Lipuidation o! oblipations. A income. Costs iinanced by program
erantee must liquidate all obligattons income. as defined in � 85.25. shall not
incurred under the award not later count towards satisiyinQ a cost sharing
than 90 days efter the end of the or matching requirement unless Lhey
tunding period (or as apecified in a • are expressly permitted in the ternzs
Dro¢ram regulation) Lo coincide with of the 4ssistance agr�tment. (This use
Lhe submission oi the annual Finan- of general program income is de•
cial Status Report (SF-269). The Fed- acribed in � 85.25(g).) �� �- �-
eral agency may extend this deadline (5) Services os proptrly Jinanced by
at the request oi the grantee. income tarned by contractors. Con-
tractors under a grant may earn
� 85.2� Atatching or cost sharing. income from the activities carried out
ca) Basic rule: Costs and contribu- under the contract in addition to the
tions acceptable. With the qualifica- amounts earned irom the party award•
tions and exceptions listed in para- ing the contract. No costs of services
graph (b) oi this section, a matching or property supported by this income
or cost sharing requirement may be may count toward satisiying a cost
satisiied by either or both of the fol- sharing or matching requirement
lov��ing: unless other prov:sions oi the grant
(1) AlIov�•able costs incurred by the agreement expressly permit this kind
grantee, subgrantee or a cost•type con- of income to be used to meet the re-
tractor under the assistance agree- quirement.
ment. This includes alloa•able costs (6) Records. Costs and third party
� borne by non-Federal grants or by in•kind contributions ccunting toa�ards
others cash donations from non-Feder- satisfying a cost sharing or matching
al third parties. requirement must be verifiable irom
c2) The value of third party in•kind the records oi grantees and subgrantee
contributions applicable to the period or cost•type contractors. These records
to a•hich the cost sharing or matching must shoa• hoa the value placed "on
_ requirements applies. third party in-kind contributions was
cb) Qualifications and esceptions— derived. To the extent ieasible, volun-
(1) Cosis borne by olher Fedesal prant teer services a�ill be supported by the
apreements. Except as provided by same methods that the organization
Federal statute, a cost sharing or uses to support the allocability oi reg-
matching requirement may not be met ular personnel costs.
by costs borne by another Federal (?) Special standards �or third party
�rant. This prohibition does not apply in-kind contributions. (i) Third party
to income earned by a grantee or sub• in-kind contributions count Loa•ards
¢rantee irom a contract nwarded satisfying a cost sharing or matching
under another Federal gr3nt. requirement only where, ii the party
(2) General revenue sharin�. For the receiving Lhe contributions were to
purpose oi this section, Qeneral reve• pay tor them, the payments would be
nue aharing funds distributed under allowable costs.
31 U.S.C. 6702 are not considered Fed• (ii) Some third party in•kind contri-
eral ¢rant funds. butions sre Qoods and strvices that, ii
(3) Cosl or conlribulions counted lo- the �rantee, sub¢nnLee. or contractor
taards otlier Federal costs-sharin� re- recelving the contribution had to pay
puirements. Neither costs nor the for them, the payments aould have
values oi third party in-kind contrlbu• been an indirect costs. Costs sharing
tions may� count tov��ards satisfytng a or matchin¢ credit ior such contribu-
cost sharing or mat,ching requirement, ttons shall be �iven only ii the ¢tant-
of a �rant a�reement ii they have ee, subQrantee, or contractor h�s es-
been or a•ill be counted towards satts• Lablished, along a•ith fLs regular indl-
iying a cost sharing or matching re- rect cost rate, a special rate for allo•
. • /0
� catlnQ t,o lndlvfdual pro1� or pro• tt) Yaivatton of tht�d narty donattd
� • �rams the va)ue of the contributions. t,Q�tctpnstnt� but?d�nOj. a�d Land. u a
� (tfi) A third party in-lcind contribu- third party donata eQuipment. build-
• tfon to � fixed•price contrut raay lnes. or lar�d. and tltle pLSSeg to s
count toa ards satisiying s cost sharin¢ trantee or suberantee. the t�resLment
or matchin¢ requirement only if it re- oi the donated property will depend
sults in: upon the purpose oi the �rant or sub-
(A) An increase in the services or Qrant. as iollows:
property provided under the eontract (1) Aioards Jor eapftai espenditures.
(aithout additional cost to the �rantee Ii the purpose of tbe �rant or sub-
or subgrantee) or erant is to assist the eraatee or sub-
(B) A cost savings to the ¢rantee or �rantee in the scquisition oi property.
sub¢rantee. the market v4lue of that proper�Y at
(iv) The values placed on third party the time oi donation msy be counted
in-kind contributions for cost sbaring as cost aharing or matching�
or matching purposes will coniorm to (2) Other a�oards. If assisting in the
the rules in the succeeding sections of dequisition oi property is not the pur-
this part. Ii a third party in-kind cor- pose of the �rant or subgrant, para•
tribution is a type not treated in those graphs (e)(2) (i) and (ii) oi this section
sections, the value placed upon it shall apply:
be fair and reasonable. (i) If approval is obtained irom the
(c) Valuation oI donated services— awarding agency. the market value at
(1) Volunleer seri;ices. Unpaid services the time oi donation of the donated
pro��ided to a grantee or subgrantee by equipment or buildings and the fair
indi��iduals v��ill be ralued at rates con• rental rate oi the donated land may be
sistent v�•ith those ordinarily paid for counted as cost sharing or matchine.
similar a�ork in the grantee's or sub• In the case of a subgrant. the terms of
�rantee's oTganization. Ii the gtantee the Qtant agreement may require that
' or subgrantee does not have employ- the approval be obtained irorn the
ees performing similar aork, the rates Federal agency as well as Lhe erantee.
Qill be consistent a�ith those ordinarily In all cases, the approval may be ¢iven
paid by other employers for similar only ii a purchase oi the equipment or
work in the same labor market. In rental oi the land would be approved
either case, a reasonable amount for as an alloa�able direct cost. If any pa�t
fzinge benefits may be included in the of the donated property was acquired
valuation. aith Federal funds. only the non•fed-
c2) £mplovees oJ othe� or�anua- eral share of the property may be
tions. When an employer other than a counted as cost-sharir�g or matching.
grantee, subgrantee, or cost-type con- (ii) If approval is not obtained under
tractor furnishes iree oi char¢e the para¢raph (eX2Xi) nf this aection. no
services oi an employee in the employ- amount may be counted for donated
ee's normal line oi work, the services land. and only depreciation or use sl-
a•ill be valued at the employee's regu- lowances may be counted for donated
lar rate oi pay exclusive oi the em• equipment and buildin¢s. The depre-
ployee's iringe benefits and overhead ciation or use allowances for this prop-
costs. If the services are in a diiferent erty sre not treated ss third party in-
line oi Qork, paragraph (c)c l) oi this kind contributions. Instead. they are
section applies. treated as costs incuned by the �rant-
(d) Valualion ot tl�ird party donated ee or subQrantee. They ue computed
supplies and loaned epuipmrnt or and allocated (usually is indirect
space. (1) If a Lhird party donates sup• costs) in accordanet with the cost
plies, the contribution will be valued . principles specified in � 85.22, in the
at the market value oi the supplies at same way as depreclatton or use allow-
the time oi donation. ances for purchased eQuipment ar►d
(2) Ii a third party donates the use buildin¢s. The amount of depreciation
o! equipment or space in a building or use allowances ior donated eQuip-
but retains title, the contribution aill ment and buildin¢s ia based on the
be valued at the fair rental rate oi the property'a muket value at the time it
equipment or space. a�as donated.
' , � .
• ' • ��
' • (f) Valua�ion o! Onanl�e or jtibpr�an- incotae may De deducted irom aroas
tct denated rtal property!os co�slr�ce- lncome Lo determine proeram income.
tion/acpuisition. I! a grantee or sub- td) Govcrnmenlal rcvrnuu. Taxes.
" grantee donates real property for a aptcfal assessments, levies. fines. and
construction or tacilities scqulsitlon other such revenues raised by a Qrant-
pro�ect. the current market value oi ee or subgrantee are not Drogrann
that property may be counted as cost income unless the revenues are speciii•
sharing or matching. Ii any part oi cally identiited in the Qrant agreement
the donated property was acquired or Federal agency re�ulations as pro-
a•fth Federal funds. only the non-fed- eram ineome.
_ eral share of the property may be (e) Royalties. Income irom royalties
counted as cost sharing or,matching. and lieense fees ior copyrighted mate-
(g) Appraisal oJ real property. In rial. patents. and inventions developed
some cases under paragraphs (d). (e) bY a �rantee or subgrantee is program
and cf) oi this section. it will be neces• income only ii the revenues are specii-
sary to establish the market value of tcally identified in the grant agree-
land or a bui]ding or the fair rental ment or Federal agency regulations as
rate of land or of space in a building. Arogram income. (See � 85.34.)
In these cases. the Federal agency (f) Property. Proceeds from the sale
may require the market value or fair of real property or equipment will be
rental value be set by an independent handled in accordance with the re-
appraiser, and that the value or rate quirements oi �� 85.31 and 85.32.
be certified by the grantee. This re- �g� Use oJ pro�ram �rtcome. Program
quirement a•ill also be imposed by the income shall be deducted from outlays
grantee on subgrantees. a�hich may be both Federal and non-
Federal as described below. unless the
, § 83.25 Program income. Federal agency regulations or the
(a) General. Grantees are encour- grant agreement specify another alter-
aged to earn income to defray pro- native (or a combination ot the alter-
gram costs. Program income includes natives). In specifying alternatives. the
income from fees for services Federal agency may distinguish be-
per• tween income earned by the grantee
formed, irom the use or rental of real and income earned by subgrantees and
or personal property acquired aith betaeen the sources, kinds, or
grant funds, irom the sale oi commod- am�unts of income. When Federal
ities or items fabricated under a grant agencies authorize the alternatives in
agreement, and irom payments of paragraphs (g) t2) and (3) of this sec•
principal and interest on loans made tion, program income in excess of any
with grant funds. Except as othera•ise limits stipulated shall slso be deducted
provided in regulations of the Federal irom outlays.
agency. program income does not in• �1) Dcduction. Ordinarlly program
clude interest on grant tunds. rebates, income shall be deducted irom Lota1
credits, discounts, refunds, etc. and in• allowable costs to determine the net
terest earned on any oi them. allowable costs. Program income shall
cb) DeJinilion oJ p�o�ram income. be used for current costs unless the
Program income means gross income Federal agency authorizes otherR�ise.
received by the grantee or subgrantee Frogram income which the �rantee
directly generated by a grant support- did not anticipate at the time oi the
ed activity, or earned only as a result award ahall be used ta rrduce the Fed-
of the grant agreement during Lhe erai ngency and Qrantee contributions
grant period. '�During the grant rather than to increase the funds com-
period" is the ttme betaeen the eifec- mltted to the pro�ect.
tive date oi the aA�ard and the ending (2) Addition. When authorized, pro-
date of the aa�ard reflected in the iinal gram income may be added to the
financial report. iunds commftted to the grant agree-
�c) Cost oJ �en�ralin9 propram ment by the Federal agency and the
fncomc. Ii authorized by Federal regu- grantee. The program income shall be
latforu or the grant agreement, costs used for the purposes and under the
���!'�p^1 •'1 iF`a annn��/�nn I .., ..+
. . /� r/1. '1^'1 /`r1•1��/ln..e nI •4.n �..���.r �..�nn�..n..�
. .
� • �� , c3� Cost sharinp or sr�atchinp. When � ttze subQrantee made !a a000rdaace
authoriud, pro¢rarn income may be �vfth the Act. Cinulir A-110. or
. used Lo meet the cost sharin� or throuth other taeans (at., pro�ram
tnatching requirement oi the �rant reviews) ii the subera�nt�e haa not had
agreement. The amount of the F'ederal such ar� audit;
grant aR ard remains the same. (3) Ensure thst appropriate correc-
(h) Income ci/ter tht atoard period. tive ution is taken �vithin six months
There are no Federal requlTements sfter receipt of the audit report in in-
¢overning the disposition oi pro¢ram stance of noncompliance with Federal
income earned after the tnd oi the laWS and reeulations;
award period (i.e.. until Lhe ending (4) Consider whether subgrantee
date of the final financial report. see audits necessitate adjustment of Zr.e-
paragraph ca) of this section). unless Qrantee's o� records; and
the terms of the agreement or the (5) Require each aubgrantee to-
Federal agency regulations provide permit independent auditors to have
otherR•ise. acxess Lo the records and financial
statements.
� 85.26 :�'on•Federal sud;t� (c) Auditor seZection. In arranging
(a) Basic rule. Grantees and sub- for audit services. � 85.36 shall be fol-
grantees are responsible ior obtaining lowed.
audits in accordance v�ith the Single
Audit Act oi 1984 (31 U.S.C. Z5�1-7) CHANCES. PROPERTY. AND ucIIBAWARDS
and Federal agency implementing reg- �g5.30 Changes.
ulations. The audits shall be made by
an independent auditor in accordance (a) General. Grantees and subgran-
a•ith generally accepted government Lees are permitted Lo rebudget within
auditing standards covering financial the approved direct cost budget to
' and compliance audits. meet unanticipated reQuirements and
cb) Sub9rantees. State or local gov- may make limited program changes to
ernments, as those terms are defined the approved project. Hoaever, unless
for purposes of the Single Audit Act, waived by the aaarding agency. cer-
that receive Federal financial assist- Lain types of post•aaard changes in
ance and provide �25,000 or more of it budgets and projects shall require the
in a fiscal year to a subgrantee shall: prior written approval of the aaarciing
c 1) Determine a•hether State or local agency.
subgrantees ha�e met the audit re• (b) Relation to cost principles. The
quirements oi the Act and whether applicable cost prir�ciples (see � 85.22)
subgrantees covered by OMB Circular contain reQuirements for prior approv-
A-110. "Uniform Requirements for al of certain types - of costs. Except
Grants and Other Agreements aith ahere waived, those requirements
Institutioru of Higher Education, Hos• apply to all g�rants and subgrants even
pitals and Other Nonprofit OrQaniza- ii paragraphs (c) through (f) oi this
Lions" have met the audit repuire- section do not.
ment. Commercial contractors (private (c) Budpet chanpes—(1) Nonron-
iorprofit and private and ¢overrunen• structian pro�ects. Except as stated in
tal organizations) providing ¢oods and other regulatfons or an iward docu-
services to State and local ¢overn- ment. ¢rantees or sub¢rantees shall
ments are not requlred to have n obtain Lhe prior approval of the
single audit performed. State and local awarding a¢ency whenev�r any of the
¢ovenments should use their oa�n pro- folloain8 chanBes is anticipated under
cedures to ensure that the contractor a nonconstruction sward:
has complied aith laws and regula- (i) My revision which aould result
tions aifecting the expenditure oi Fed- in the need iot additional funding.
eral funds; (If) Unless a'aived by the awarding
c2) Determine v��hether the subQran• agency. cumulative transfers among
tee spent Federal assistance lunds pro• direct cost ca�eBories, or, ii applicable,
vided in accordance a•ith applfcable amonQ separaLely bud�eted pro�ra�ns,
laa•s and regulations. This may be ac• pro�ects, funetions. or activities whJch
co^;�lis`�ed bv re�•i�a•ir.� an audii of exceed or are expected to exceed Len
. . ' � �3 �
'� ' percent o! the current Lotal approved budQet tortnal the itrantee uaed in fta
' � • budget. ahenever the a�vardin� a�en- appllcatfon and shall be axompdnied
cy'a share exceeds i100.000, by �► narrative )uatiiicatfon ior th�
' (fif) 1�ansier of funds allotted for proposed revision.
training alloa•ances (f.e.. irorn direct (Z) A request tor a prior approval
payments to trainees to other expense under the applicable Federal cost prin-
categories). ciples (see � 85.22) may be made by
(Z) Construction projects. C�rantees letter.
and subgrantees ahall obtain prior �3) A request by s subgrantee for
written appro�al for any budget revi- prior approval will be addressed in
sion which would result in the need writing to the grantee. The grantee
tor additlonal funds. ail] promptly review such request and
(3) Combined construclion and non- shall approve or disapprove the re-
cons�ruclion p�ojects. When a grant or Quest in ariting. A grantee will not ap-
subgrant provides tunding for both prove any budget or pro�ect Tevision
construction and nonconstruction ac- whlch is inconsistent with the purpose
tivities, the grantee or subgrantee or terms and conditions of the Federal
must obtain prior written approval gTant to the grantee. If the revision.
irom the av��arding agency beiore requested by the subgrantee would
making any lund or budget transier result in a change to the grantee's ap-
from nonconstruction to construction proved project ahich requires Federal
or vice versa. prior approval, the grantee will obtain
(d) Programmatic chan9es. Grantees the Federal agency's approval before
or subgrantees must obtain the prior approving the subgrantee's request.
appro��al oi the aR•arding agency
v�•henever any of the folloa•ing actions � g5.31 Real property.
is anticipated:
cl) Any re�ision oi the scope or ob• �a) Title. Subject to the obligations�
' jectives oi the project (regardless of and conditions set forth in this sec-
v�•hether there is an associated budget tion, title Lo real property acquired
re�•ision requiring prior appro�•al). under a grant or subgrant a�ill vest
c2) Need to extend the period oi upon acquisition in the grantee or sub-
availability oi funds. grantee respectively.
c3) Changes in key persons in cases (b) Use. Except as otherwise provid-
a•here specified in an application or a ed by Federal statutes, real property
grant au•ard. In research projects, a Rill be used for the originally author-
change in the project director or .prin- ized purposes as long as needed for
cipal investigator shall sla�ays require that purposes, and the grantee or sub-
approval unless aaived by the award• �'antee shall not dispose of or encum-
ing agency. ber its title or other�interests.
(4) Under nonconstruction projects, (c) Disposition. When real property
contracting out. subgranting (if au• is no longer needed for Lhe originally
thorized by lan�) or otherwise obtain- authorized purpose. the grantee or
ing the services of a third party to per- subgrantee will request disposition in-
form activities which are central to structions from the awarding agency.
th_e purposes oi the aa•ard. This ap- The instructfons will provide for one
pro��al requirement is in addition to of the following alternatives:
the approval Tequirements of f 85.36 (1) Relention oI title. Retain title
but does not apply to the procurement aiter compensating the awardirig
oi equipment, supplies, and generai ngency. The amount paid to the
support services. awarding a.gency will be computed by
(e) Addilional prior approval re• applying the aa�arding agency's per-
quirements. The aR�arding agency may eentage of particlpation in the cost of
not require prior approval for any the original purchase Lo the fair
budget reti•ision A•hich is not described market value of the property. Hoa�ev
in paragraph (c) o! this section. er� in those situatfons where a grantee
(f) ReQuestin� prior approval. (1) A orsubgrantee is disposing of real prop-
request for prJor approval of any ertY acquired with Yrant funds and ac-
budget revision a�fll be in the same quiring replacement real property
. , � � i�! ,
. under the same pro¢rarn, the net pra (�) �e �ntee Or �ubQrantet shall
� " _, ceeds irom the dispositfon may be a,lao ma1�e equlpasent available tor use
used as an oifset to the cost oi the re- on other pro)ecta or proarams current-
�r placement property. ly or previously cupport�d by the Fed-
(2) Sale oJ property. Sell the proper• ersl C3overnment. provfding tuch use,
ty and compensate the awarding aill not lnteriere aith the aork on the
agency. The amount due to the aaard- pro�ects or pro¢ram tor �vhich it was
ing agency will be calculated by apply- originally acQuired. Firat preference
ing the av��arding agency's percentage for other use shall be aiven Lo other
of participation in the cost oi the Arograms or projects supported by the
original purchase to the proceeds of aaarding agency. User fees should be
- the sale aiter deduction oi any acLual considered ii appropriate.
and reasonable selling and fixing-up (3) Notwithstanding the encourage- �
expenses. Ii the grant is still acLive, ment in ; 85.25ta) to earn program _
the net proceeds irom sale may be income. the grantee or subgzantee
oiiset against Lhe original cost of the must not use equipment acquired aith
property. When a grantee or subgran• �'�t funds to provide services for a
tee is directed to sell property, sales fee to compete uniairly with prfvate
procedures shall be lollo�•ed that pro- companies that provide equivalent
vide for competition to the extent services. unless specifically permitted
practicable and result in the highest or contemplated by Federal statute.
possible return. (4) When acquiring replacement
(3) TransJer oJ title. Transfer title to equipment. the grantee or subgrantee
the av�•arding agency or to a third• may use the equipment t,o be replaced
party designated/approved by the � a Lrade-in or sell the property and
av�•arding agency. The grantee or sub• use Lhe proceeds to oiiset the cost of
grantee shall be paid an amount calcu- the replacement property, subject to
• lated by applying the grantee or sub- the approval of the awarding agency.
grantee's percentage of participation �d) Manayement repuirements. Pro-
in the purchase of the real property to . cedures for managing equipment (in-
the current fair market value oi the cluding replacement equipment).
property. whether acquired in a�hole or in part
with grant funds, until disposition �:
§ 85.32 Equipment. takes place aill. as a minimum, meet
(a) Title. Subject to the obligations the tollowing requirements:
and conditions set forth in this sec- �1) Property records must be main-
� tion, title to equipment acquired under _ ��ned that include a description of
a grant or subgrant aill vest upon a�. the property. a serial number or other
identification number, _Lhe source of
quisition in the grantee or subgrantee property. who holds title. Lhe acquisi-
respectively. tion date, and cost oi the property.
tb) Slates. A State will use, manage. percentage of Federal participation in
and dispose o! equipment acquired the cost of the property, the location,
under a grant by the State in accord- use and condition of the property. and
ance a•ith State laa�s and procedures. any ultimate disposition data includ-
Other- grantees and subgrantees a•ill ing the date oi disposal and sale price
folloa• paragraphs (c) through ce). oi of the property.
this section. (2) A physical inventory oi the prop-
(c) Use. (1) Equlpment shall be used erty must be taken and the results rec-
by the grantee or subgrantee in the onciled aith the property records at
program or project for which !t was )east once every two years.
acquired as long as needed, a•hether or c3) A control system must be devel-
not the project or program continues oped to ensure adequate safeguards to
to be supported by Federal funds. prevent loss, damage, or theit oi the
When no longer needed for the origi- property. My loss, damage, or theit
nal program or project, the epuipment shall be investigated.
may be used in other utivities cur- (s) Adequate maintenance proce-
rently or pre�•iously supported by a dures must be developed to keep the
Federal agenc5•. property in go�d condition.
�' � � (5) Ii the �ranLee or subQrar�tte is � within 124 calendar daya att,er the end
..�� � authorized or tequired to sell the ot the Fedenl support of the pro)ect
� � property. proper sales procedures for which it aas acqulred. It the Fed-
. must be estsblished to ensure the eral aaardin¢ agency tails Lo issue dis-
highest possible return. position instructfons aithin the 120
(e) Disposition. When original or re- ��endar-day period Lhe Qrantee shall
placement equipment acquired under iollow; 85.32(e).
a Qrant or subgrant is no longer �3) When title to equipment is trans-
needed for the original Dro�ect or pro• ferred, the Qrantee ahall be paid an
aram or ior other activities currently �ount calculated by applying the
or previously supported by s Federal �rcentage oi participation in the pur-
agency, disposition oi the eQuipment chase to the current fair market value
wlll be made as ioltoa�s:
(1) Items oi equipment aith a cur• of Lhe property. _ �---
rent per•unit fair market value of less �g5.33 Supplia. -
than a5,000 may be retained. sold or
otheraise disposed of with no further (a) TiUe. Title Lo supplies acquired
obligation to the awarding agency. under a grant or subgrant aill vest.
(2) Items of equipment with a cur• upon acquisition. in the arantee or
rent per unit fair market value in subgrantee respectively.
excess oi �5,000 may be retained or (b) Disposition. Ii there is a residual
sold and the av�•arding agency shall im�entory ei unused supplies exceed-
ha��e a right to an amount calculated ing t5.000 in total aggreSate fair
by multiplying the current market market value upon termination or
value or proceeds Irom sale by the completion oi the award, and if the �
aa•arding agency's share oi the equip• supplies are not needed for any other
ment. federally sponsored programs or
(3) In cases a•here a grantee or sub• projects, the grantee or subgrantee
, grantee fails to take appropriate dispo- shall compensate the awarding agency
sition actions, the av��arding agency for its share.
may direct the grantee or subgrantee
to take excess and disposition actions. § g5.3� Copyrights.
(i) Federal equipmenl. In the event a
grantee or subgrantee is provided ied- The Federal awarding agency re-
erally•oaz�ed equipment: serves a royalty-iree. nonexclusive. °
c 1) Title a•ill remain vested in the and irrevocable license to reproduce,
Federal Government. publish or otherwise use, and Lo au-
(2) Grantees or subgrantees will thorize others to use. ior Federal Gov-
manage the equipment in accordance ernment purposes:
a�ith Federal agency rules and proce• (a) The copyright in any work devel-
dures, and submit an annual Inventory oped under s grant, subgrant, or con-
listing. tract under a grant or subgrant; and
(3) When the equipment is no longer �b) Any rights oi copyright to which
needed, the grantee or subgrantee will a grantee. subgrantee or a contractor
request disposition instructions irom purch�ses ow�nership �vith grant sup-
the Federal agency. port.
(¢)..�i�hl to IransJer title. The Feder-
al awarding agency rr�ay reserve Lhe � g5.35 Subawards to debarred and sus-
right to transler title to the Federal p�nded parties.
Government or a third part named by
the aa•arding agency ahen such a Grantees and subgrantees must not
third party is othera•ise eligible under ��e �Y aaard or Dermit any award
existing statutes. Such transfers shall (subgrant or contract) at any tier Lo
be sub1ect to the lolloa•ing standards: any party which is debarred or sus-
c 1) The property ahall be identiiied Pended or is otheraise excluded from
in the grant or otherwise made known or ineligible for participation in Feder-
to the �rantee in a•riting. al assistance prograrns under Execu•
(2) The FedeTal aa•arding agency tfve Order 125�9, "Debarment and
shall fssue disposition instruction Suspension."
, • , ' .
• i ds.a6 PcocurcenenL �bduM �IJ Droylde tor .peaaltiea„ saa�•
� '� - ta) Slales. W'hen procurin,Q property Wons. oT other discipllnarY actSons tor
. and servlces under a �rant. a State R►u� Molations ot such standards by tbe
tolloa Lhe same pollcies and proce. �t�e's �d sub�tae's oifictts.
dures it uses tor procurements irom fta employeea. or a�enta. or by contrac-
non•Federal funds. The State aill �� or their a�ents. The awardir�
ensure Lhat every purchase order or �ency may in re�ulatfon �rovfde sddi-
other contract includes any clauses re• tional prohibitions relstive to real. ap-
quired by Federal atatutes and execu• Parent, or potential conilicts oi inter-
tive orders and their implementing a�-
regulations. Other �rantees and sub- «� C3rantee and sub�r�antet proce.
arantees a�ill iollow paragraphs (b) dures aill provide tor a review oi pro- ._
through (i) in this section. posed procureaients to avoid purchase
tb) Procurrment standarris. (1) oi unnecesaary or duplicative items. _
Grantees and subgrantees will use Consideration should be given to con-
their oa�n procurement prxedures solidating or breaking out procure-
a�hich reilect applicable State and ments to obtain s more economical
local laas and regulations. provided purchase. Where appropriate. an anal-
that the procurements coniorm to ap• ysis will be made o! lease versus pur-
plicable Federal law and the standards chase alternatives. and any other ap-
fdentified in this section, proprlate analysis to detenaine the
(2) Grantees and subgrantees a�ill most economical approach.
maintain a contract administration (5) To foster greater economy and
sS•stem a�hich ensures that contractors eificiency, erantees and subgrantees
periorm in accordance a ith the terms. are encouraged Lo enter into State and
conditions, and specifications of their local intergovernmental agreements
contracts or purchase orders. ior procurement or use oi common
(3) Grantees and subgrantees aill goods and services.
' maintain a aritten code oi standards (6) Grantees and subgrantees are en•
of conduct governing the performance eouraged to use Federal exeess and
oi their employees engaged in the surplus property in lieu of purchasing
aa�ard and administration of contracts. new equipment and property when-
No employee, oificer or agent of the ever such use is feasible and reduces:
grantee or subgrantee shall participate project costs.
in selection, or in the aaard or admin• � (?) Grantees and subQrantees are en-
istration oi a contract supported by couraged Lo use value engineering
Federal funds ii a conilict oi interest. clauses in contracts ior construction
real or apparent. would be invoTved. projects oi suificient size to offer rea-
Such a conilict would arise when: sonable opporLunities.ior eost redue-
(I) The employee, oificer or agent. tions. Value engineering is a systema�
cti� �y member oi his immediate ic and creative anaylsis oi each con-
iamily, tract item or task to ensure that its es-
(iit) His or her partner. or sential function is provided st the
(iv) An organization which employs. overall lower cost.
or is about to employ, any oi the (8) Cirantees and subgrantees will
above. has a iinancial or oLher interest make awards only to responsible con-
in the firm selected for aaard. The tractors possessing the ability to per.
�rantee's or subgrantee's oificers. em- iorm successiully under the terms and
ployees or agents will netther solicit conditions o1 a proposed procurement.
nor accept gratuities. tavors or zny- Consideration aill ht �iven to such
thing of monetary value irom contrac- matters as contractor integrity, com.
tors, potential contractors, or parties pliance with publlc policy, record oi
Lo subagreements. Grantee and sub• past performance. and financial and
grantees may set minimum rules techn.ical res�urces.
where the financial tnterest is not sub• (9) Grantees and subgrantees wi11
stantial or the gfit is an unsolicited maintain records suiflcient to detaU
item of nominal lntrinsic value. To the the sieniri�nc history oi a procure.
extent permitted by State or local law ment. These records aill include, but
or regulatfons, such standards or con- are not necessarily limited to the fol-
. � �7
• �� loa•ing: ratlonale for the authod oi oi ; 85.38. Some of the aftuatfons con-
• ' , procurement. selection oi contrut stdered tc be restrictive oi conzpetftioa
type, contractor selectlon or reJection, include but are not limfted to:
� and the basfs ior the contract price. (i) Placing unreasonable r�quire-
� t10) Grantees and subgrantees will ments on ilrms in order for them to
use tin�e and rnaterial type contracts qualify to do business.
only— (ii) Requiring unnecessary experi-
lt) Aiter a determination that no ence and excessive bonding.
other contract is suitable. and (!i1) Noncompetitive pticing practices
cli) If the contract includes a ceiling betaeen iirms or between aifiliated
prtce that the contractor exceeds at its companies.
, ov�•n rfsk. (iv) Noncompetitive awards to con-
(11) Grant,ees and subgrantees alone sultants that are on retainer contracts;
will be responsible. in accordance with (v) Organizational conflicts oi inter-
good administrative practice and est. -
sound business �udgment. for the set- (vi) Specifying only a "brand name"
tlement of all contractual and admin• product instead of allowing "an equal"
istrative issues arising out of procure- product to be oifered and describing
ments. These issues include, but are the periormance of other relevant re-
not limited to source evaluation, pro- quirements oi the procurement. and
Lests, disputes, and claims. These (vii) Any arbitrary action in the pro-
standards do not relie��e the grantee or curement process.
subgrantee of any contractual respon-� (2) Grantees and subgrantees wil]
sibilities under its contracts. Federal conduct procurements in a manner
agencies �•ill not substitute their judg- that prohibits the use oi statutorily or
ment for that of the grantee or sub- administratively imposed in•State or
grancee unless the matter is primarily local geographical preferences in the
a Federal concern. Yiolations of la�• evaluation of bids or proposals, except
• a•ill be referred to the local, State, or in those cases ahere applicable Feder-
Federal authority ha��ing proper juris- al statutes expressly mandate or en-
diction. courage geographic preference. Noth-
(12) Grantees and subgrantees a•il] ing in this section preempts State li-
have protest procedures to handle and censing law�s. When contracting for ar-
resolve disputes relating to their pro- chitectural and engineering tA/E)
curements and shall in all instances services, geographic location may be a
disclose information regarding the selection criteria provided its applica-
protest to Lhe aR�arding agency. A pro- tion leaves an appropriate number of
- testor must exhaust all administrative qualified firms, given the nature and
remedies with the grantee and sub- size of the project. Lo compete for the
grantee before pursuing a protest a�ith contract. �
the Federal agency. Reviea�s of pro- (3) Grantees Qill have written selec-
tests by the Federal agency aill be tion procedures ior procurement
limited to: transactions. These procedures will
ti) Vlolations oi Federal laa� or regu- ensure that all solicitations:
- lations and the standards of this sec- (i) Incorporate a clear and accurate
tfon cviolations of State or local law description of the technical require-
w�ill be under the jurisdiction o! State ments ior the material, product. or
or local authorities) and service Lo be procured. Such descrip-
tI1) Violations oi the grantee's or tion shall not. in competitive procure-
subgrantee'a protest procedures for ments, contain leatures which unduly
failure to re�•iew a complaint or pro- restrict competition. The descrfption
test. Protests recei��ed by the Federal may include a statement of the quali-
agency other Lhan those specJlied tative nature of Lhe materisl, product
above will be referred to the grantee or ser�•ice to be procured, and a�hen
or subgrantee. necessary. shall set lorth those minl-
(c) Competilion. (1) All procurement mum essential characteristics and
transactions aill be conducted in a standards to R�hich it must coniorm if
manner providing full and open com• ft is to satJsfy 1Ls intended use. De-
petltton consistent R•ith the standards tailed product specificatfons should be
. • svolded fi aL all poctlble. When 1t L ��ectlon oi �t,he suooesaful bfdder esn De
' '. ' lmpractical or uneconomfcal Lo tnak� a
, . , clear •nd accurste descrfption oi the �j u��b�� � �� oi prsoe.
technlcal requirements. a •�b�d to� uaed, tbe tol�
• name or equal" description tniy pe �A� �e��uti n�tor bids wiU be
used as a means to define the perform- publlcly advertlse�d u�d blds shall be
ance or other salient requirements oi a solicited irom an ad�quate number ot
procurement. The speciiic ieatures oi lu�own suppliers. providinQ them :utii•
the named brand which must be met cient time prior Lo the date aet for
by ofierors shall be clearly atated; and opening the bids;
(ii) Identify all requirements ahich (B) The invitation for bids. �vhich
Lhe ofierors must fulfill and all other aill include any speciifcations and per-
iactors to be used in evaluating bids or tinent attachments. shall define the
proposals. ltems or services in order ioT the
� `(4) Grantees and subgrantees will bidder to proDerly respond:
ensure that all prequalified lists of (C) All bids will be Dublicly opened
persons, iirms. or products a�hich are at the ttme and place preacribed in the
used in acquiring goods and servtces invitation ior bids;
are current and include enough Quali- (D) A firm fixed-price contract
tied sources Lo ensure maximum open award will be made in writing to the
and iree competltion. Also, grantees lowest responsive and responsfble
and subgrantees a�ill not preclude po- bidder. Where specified in bidding doc-
tential bidders irom qualifying during . uments. lactors such as discounts,
the solicitation period. transUortation cost� and life eycle
� (d) Methods o�procurement lo be Jol- costs shall be considered in determin-
to�ed—cl) Procurement by small pur- ing which bid is lowest. Payment dis-
chase procedures. Small purchase pro- counts will only be used to determine
cedures are those relatively simple and the low bid ahen prior experience in-
informal procurement methods for se- dicates that such discounts are usually
• curing services, supplies. or other Laken advantage oi; and
property that do not cost more than (E) Any or all bids may be re)ected if
525,000 in the aggregate. If small pur- Lhere is a sound documented reason.
chase procurements are used, price or (3) Procurement by competitive pro-
rate quotations a•ill be obtained irom posals. The technique ot competitive
an adequate number oi qualified proposals is normally conducted aith
sources. more than one source submitting an
c2) Procurement by sealed bids oifer. and either a fixed-price or cost-
(iormal ad�ertising). Bids are publicly reimbursement Lype contracL is award-
solicited and a firm-fixed-price con- ed. It is generally used when condi-
tract (lump surt� or unit price) is tions are not appropriate for the use
aa•arded to the responsible bidder of sealed blds. Ii this method Ls used.
whose bid, coniorming with all the the iolloaing requirements apply:
material terms and conditions oi the (i) ReQuests ior proposals wil� b�
invitation for bids, is the loaest in publicized and identify all evaluation
price. The sealed bid method is Lhe factors and their relative imporLance.
preferred method for procuring con- My response to publicized requests
struction, ii the conditions in for proposals shall be h�nored Lo the
f 85.36cd)(2)(1) apply, maxirnum extent practical;
(i) In order for sealed bidding to be tii) Proposals aill be solicited from
ieasible, the iollowing conditions ar� adeQuate number of qualified
should be present: aources:
cA) A complete. adequate, and realts- (ili) Grantees and aubgrantees will
tic specification or purchase descrip• have a method for eonductinQ techni-
tion is a��ailable; cal tvaluations o! the prop�� re-
(B) �•o or more responslble bfdders cetved and for selecting aaardees:
are a•illing and able to compete efiec• (!v) Aa�ards will be made t,o the re-
ti�ely for the business; and aponslble firm whose proposa.� is m�t
cC) The pr�curement lends ttself to advantageous to the proerarr�, with
a Sirm fixed price contract and the ae- price and other facLors eansidered; ind
t �. �� •
, � �• (v) Cirantees and sub�rantees tnay �l) Pluin� Qualliled smill and� ra!-
� • tyse competltive proposal procedures nority busfnexaes and �vomea's buai•
ior qualifications-based procurement neas enterpri�aes on aoli�itacion 2��;
of archftectural/en�ineerin� fA/E) (tl) Assurtn� thit small and minority
�rotessional services whereby competi• busfnesses. and women's business en-
tors' qualifications are evaluated and terprises are aolicited whenever they
the most qualified competitor fs select- are potential sources;
ed. sub�ect to negotiation of iair and ciis� Dividing total requirements,
teasonable compensation. The when economically feasible. lnto
method. where price is not used �s a smaller tasks or quantities Lo Fermit
selection factor. can only be used fn maximum participation by small and
procurement of A/E professional serv- minorfty business. and aomen's busi-_
fces. It cannot be used to purchase • n�����bi�Shing delivery schedules.
other types of services though A/E
iirn�s are a potential source to periorm where the requirement permits. which
the proposed efiort. encourage partfcipation by small and
(4) Procurement by noncompetitive minority business. and aomen's busi-
proposals is procurement through so- ness enterprises;
licitation of a proposal from only one (v) Using the services and assistance
source, or aiter solicitation of a oi the Small Business Administration.
number of sources. competition is de- and the Minority Business Develop-
Lermined inadequate. ment Agency of Lhe Department oi
(i) Procurement by noncompetitive Commerce; and
proposals may be used only v�hen the (vi) Requiring the prime contractor.
aa�ard oi a contract is inieasible under if subcontracts are Lo be let. to take
small purchase procedures. sealed bids the aifirmative steps listed in para-
or competitive proposals and one of BTaphs (e)(2) (i) through (v) oi this
• the follow•ing circumstances applies: section.
(A) The item is atiailable only from a �i) Contrac! cost and price. (1)
sinBle source; Grantees and subgrantees must per-
(B) The public exigency or emergen- form a cost or price analysis in connec-
cy for the requirement aill not permit tion with every procurement action in-
a delay resulting irom competitive so• cluding contract modifications. The
licitation. method and degree oi analysis is de-
cC) The aa�arding agency authorizes pendent on the facts surrounding the
noncompetitive proposals; or particular procurement situation, but
(D) After solicitation of a number oi as a starting point. grantees must
sources, competition is determined in• make independent estimates before re-
adequate. ceiving bids or proposals. A cost analy-
sis must be periormed when the of-
(ii) Cost analysis. i.e.. verifying the feror Ls required to submit the ele-
proposed cost data, the projections of inents of his estimated cost, e.g.. under
the data, and the evaluation oi the professional. consulting, and architec-
specilic elements o! costs and profit, is tural engineering services contracts. A
required. cost analysis a�lll be necessary R�hen
(iii) Grantees and subgrantees may adequate price competitton is lacking.
be reduired Lo submit the proposed �d ior sole source procuremenLs, in-
procurement to the aR�arding agency cluding contract m�difications or
ior pre-aaard review in accordance chan¢e orders. unless prlce resonable-
aith paragraph (g) oi this secLion. n�ss can be established on the basis of
(e) Contraclin� zoiil� Jmall and mi- a catalog or market price of a commer-
norily Jirntis, ioomen's busirtess enies• cial product sold In aubstantial quanti-
prise and labor surplus a�ea Jirn:s. (1) ties Lo the general public or based on
The grantee and subgrantee will take prices set by laR• or re¢ulation. A price
all necessary aifirmative steps to snalysis a�ill be used in all other in-
assure that minority firms, women's stances to determfne the reasonable-
business enterprises. and �abor surDlus ness oi the proposed contract price.
area firms are used when possible. (2) C3rant�es and sub¢rantees �vill
(2) Afiirmati��e steps shaIl include: negotiate profit as a separate element
:. oi the price tor each contrsct ln w►hlch offeT L t'eoelvcd in raDonse Lo a aoUci-
� � . there Ls no prlce competftfon and tn �v ktion; or
, . ' cases wher� cost a.nalysia is performed. (ui) The procurement. �rhich ia ex-
' To establish a tafr and reasonable pected to exceed =Z5.000. apeciiiea a
: profit. consideration aill be eiven to •'brand narne" product; or
the complexity of the a�ork to be per. �fv)The proposed aw4rd over =25.000
lormed, the risk borne by the contrac• is to be aaarded to other than the ap-
tor. the contractor's investment. the parent low bidder under s aealed bid
amount of subcontracting. Lhe Quality procurement; or
oi its record oi past periormance. and (v) A proposed contract modification
industry profit rates tn the surround- chan¢es the scope ot a contract or in-
ing geographical area for similar aork. creases the contract amount by more
. (3> Costs or prices based on estimat- than ;25.000.
ed costs for contracts under grants will �3� A itrantee or sub¢rantee will� be
be alloa able only to the extent that exempt irom the pre•aaard review in
costs incurred or cost estimaLes includ- Paragraph (g)(2) of this secLion li Lhe
ed in negotiated prices are consistent aaarding agency determines that its
a�ith Federal cost principles (see Procurement systems comply with the
� 85.22). Grantees may reference their standards oi this section.
oA•n cost principles that comply aith �i) A grantee or subgrantee may re-
the applicable Federal cost principles. 4uest that its Drocurement system be
c4) The cost plus a percentage of revieaed by the awarding agency to
cost and percentage of construction � determine whether its system meets
cost methods oi contracting shall not these standards in order ior its system
be used. to be certified. Generally. these re-
tS) Aicarding apency review. �1� vieas shall occur where there is a con-
Grantees and subgrantees must make tinuous high-dollar iunding, and third-
available, upon request of the aa•ard• parLy contracts are awarded on a regv-
ing agency. technical specifications on 2ar basis�
� proposed procurements ahere the cit� A grantee or subgrantee may
av�•arding agency believes such reviev�• seli-certify its procurement system.
is needed to ensure that the item and/ Such seli-certification shall not limit
or ser��ice specified is the one being -he awarding agency's right to survey
proposed for purch�se. This reviea• the system. Under a seli-certification
generally v�•ill take place prior to the procedure. awarding agencies may
time the specification is incorporated a'ish to rely on aritten assurances
into a solicitation document. However. from the grantee or subgrantee that it
. ii the grantee or subgrantee desires Lo is complying with these standards, A
have the reviea• accomplished aiter a ��Lee or subgrantee azll cite apecific
solication has been developed, the prOCedures, regulations, standards,
aa•arding agency may still reviea� the etc., as being in compliance with these
specifications, with such reviea usual• requirements and have its system
ly limited to the technical aspects oi available for review.
the proposed purchase. �h) Bondin� requirements, For con-
struction or lacility improvement con-
(2) Grantees and subgrantees must tracts or subconstracts exceeding
on request make available ior sA�ard• =100.000. the awarding agency rriay
tng agency pre-aa•ard reviea� ( delete accept Lhe bondinQ policy and repuire-
"."7 procurement documents, such as ments of Lhe erantee or aubgrantee
requests ior proposals or invitations provided the awarding agency ha.s
. tor bids, independent cost estimates, made 4 determination that Lhe award-
etc.. a•hen: ing agency's interest is adequately pro-
(i) A grantee's or subgrantee's pro- tected. Ii auch a det�rmination has
curement procedures or operation fails not been made. the minimum require-
to comply a•ith the procurement ments shall be as folloa�s:
standards in this seciton; or (1) A bid puaranlee from eact� bidder
cii) The procutement is expected Lo epuivalent Lo J`ive perctrit oJ the bid
exceed 525,000 and is Lo be aaarded price. The "bid ¢uarant,ee" ahall con-
u•ithout competition or only one bid or sist oi a firm commitment such as a
y � �
. • � � bid bond. certflled check. or other ne- �/ �6) Compliance �v1th the Davia•
" �otiable instrument acoompanyin� a Bacon Act (�0 U.S.C. Z76a Lo� a-?) as
• b!d as assurance thst the bldder �vill. supplemented by Department oi Ldbor
upon acceptance oi hts bid. execute re�ulations (29 CFR Part 5). cCon-
such contractual documents as may be atructfon contrs►cts in excess oi i2.000
required within the time specffied. awarded by erantees and subgrantees
(2) A pe�Io�anre bond on the part ahen required by Federal Qrant pro-
_ pJ the contractor Jor 100 perc�nt o! the Qram leQislation)
contract price. A "pertormance bond" t6) Complianee aith LSections 103
is one executed in connectfon with a and 10? oi the ContracL Work Hours
contract to secure tulfillment oi all and Safety Standards Act t40 U.S.C.
the contractor's obligations under 32?-330) as supplemented by Depart-
such contract. ment oi Labor regulations (29 CFR
(3) .�! payment bond on lhe part o� Part 5). (Construction eontracts
Lhe contractos Jor 100 percent o� the awarded by gr�ntees and subgrantees
contraci price. A "payment bond" is in excess oi i2.000. and in excess oi
one executed in connection v��ith a con• t2.500 ior other contracts which in•
tract to assure payment as required by volve the employment oi mechanics or
law of all persons supplying labor and laborers)
material in the execution oi the work (?) Notice of aaarding agency re-
provided for in the contract. Quirements and regulations pertaining
<i) Corctract provisions. A grantee's to reporting.
and subgrantee's contracts must con• (8) Notice oi awarding agency re-
tain provisions in paragraph (i) o! this quireinents and re�ulations pertaining
section. Federal agencies are permit- to patent rights with respect to any
ted to require changes, remedies, discovery or invention ahich arises or
changed conditions, access and records is developed in the course ot or under
. retention, suspension of a�ork, and such contract.
other clauses approved by the Ofiice (9) Awarding agency requirements
of Procurement Policy. and regulations pertainfng to copy-
(1) Administrative, contractual, or rights and rights in data.
legal remedies in instances a�here con• (10) Access by the grantee. the sub-
tractors violate or breach c�ntract grantee. the Federal grantor ageney,
terms, and pro�•ide for such sanctions the Comptroller Genera] oi Lhe
and penalties as may be appropriate. United States. or any oi their duly au-
cContracts other than small pur- thorized representatives to any books,
chases) : documents. papers. and records oi the
(2) Termination for cause an�d for contractor ��hich are directly perti-
convenience by the grantee or sub- nent to that specitic contract for the
grantee including the manner by purpose of making audit, examination.
which it a�ill be efiected and the basis excerpts. and transcriptions.
for settlement. (All contracts in excess t 11) Ret�ntion oi all required
oi 310,000) records for three years after grantees
(3) Compliance a•ith Executive or subgrantees make final payments
Order 11296 oi September 24, 1965 en- and all other pending matters are
tttled "Equal Employment Opportuni• closed.
ty." as amended by Executive Order (12) Compliance with all appllcable
. 11375 of October 13, 196? and as sup- standards. orders. or requirements
plemented in Department of Labor issued under section 306 oi the Clear
re¢ulations (�1 CFR Chapter 60). (All Air Act (42 U.S.C. 1857(h)). section 508
construction contracis aa•arded in oi the Clean Water Aet (33 U.S.C.
excess oi 310.000 by grantees and their 1368). Executive Order 11738, and En-
contractors or subgrantees) vironmental Protection Agency regula-
c4) Compliance with the Copeland tions (�0 CFR Part 15). (Contracts.
"Antf-Kickback" Act c 18 U.S.C. 87�) �s subcontracts, and subgranLs of
supplemented in Department oi Labor amounts in excess oi 5100,000)
regulatfons (29 CFR Part 3). (All con• (13) MandatorY atandards and poli-
tracts and subgranLs for constructton cies relating to energy efiiciency
or reaair) . A•hSch are c�ntair.ed in the atate
. , .. , �a
. • enerQy conserv�tfon plan lssued in Rapiri� gtoo�tns� Rsrnrrtox. �
' ' „ compliance with the EnerQy Pollcy }�o��z
and Conservatfon Act tPub. L. D!-1a3).
f 85.37 Sub`ranl�. � sS.14 �ionitorint and reportint pro�ram
-perfot�r�e►ance.
(a) Slates. States shall folloa atate (a) MoniCorinp by Dran�ees. C3rant,eea
laa• and procedures a hen awarding are responsible for manaQing the day
and administering subgrants (whether �.day operstions oi �rant and sub-
� on a cost reimbursement or iixed ��t supported utivit�es. C�rantees
arnount b�sis) of flnancial assistance must monitor arant and subYrant sup•
to local and Indian tribal �overn• po�d utivities to issurt coinpliance
ments. States shall: aith applicable Federal requirements_
(1) Ensure that every subgrant in• �d that periormance QoaLs are beinB
cludes any clauses required by Federal �hieved. Grantee monitoring must
statute and executive orders and their cover each program. function or activi-
implementing regulations; ty,
t2) Ensure that subgrantees are �b) Nonconstruction
av��are oi requirements imposed upon P�r�ortnance n-
them by Federal statute and regula- ports. The Federal agency may. ii it
tion: decides thaL �eriormance iniormation
(3) Ensure that a provision for com- available irorr� subsequent applications
pliance a�ith q 85.42 is placed in every conLains suificient iniormation to
cost reimbursement subgrant; and meet its programmatic needs. require
(4) Conform any ad�ances oi grant the grantee to submit a periormance
funds to subgrantees substantially to report only upon expiration or teraii-
the same standards of timing and nation of grant support. Unless aaived
amount that apply to cash advances by the Federal agency this report will
• by Federal agencies. be due on the same date as the final
(b) All other 9rantees. All other �nancial Status Report.
grantees shall follow the provisions oi �1) Grantees shall submit anrival
this part a•hich are applicable to Periormance reports unless the award-
av�•arding agencies a•hen aa•arding and ing agency requires quarterly or semi-
administering subgrants (a•hether on a annual reports. Hoa•ever, performance
cost reunbursement or fixed amount reports will not be reQuired more ire-
basis) oi financial assistance to l�cal 4uently than quarterly. Annual re-
and Indian tribal go�•ernments. Grant- Ports shall be due 90 days aiter the
ees shall: ; ; grant year. quarterly or semi-annual
t 1) Ensure that every subgrant in- - reports shall be due 30 days after the
cludes a provision for compliance with reportinQ period. The final Derform•
this part; ance report aill be due 90 days aiter
(2) Ensure that every subgrant in- the expirstfon or termination of grant
cludes any clauses required by Federal support. If t Justified request is sub•
statute and executive orders and their mitted by a Srantee. the Federal
implementing regulatfons; and agency a�ay extend the due date for
(3) Ensure that subgrantees are �Y Periormance report. Additionally.
av��'are oi requiremenLs imposed upon requirements for unnecessary per.
them by Federal statutes and regula- formance reports may be aaived by
itons. the Federal agency.
cc) Esceptions. By their own terms, (2) Periormance reports will contain.
certain provisions of this part do not tor each grant, briei information on
apply to the aa�ard and administration the following:
of subgrants: (i) A comparison of actual accom-
(1) Section 85.10; plishments to the oblectives tsLab•
c2) Section 85.11; lished for the period. Where Lhe
c3) The letter•o!-credit procedures output of the project can be quanti-
specified in Treasury Regulations at lied, a computation of the cost per
31 CFR Part 205, c►ted in ! 85.21; and unit oi output may be required ii that
cs) Section 85.50. fnformation a�ill be useful.
,- f t • �i1)The reasons !or s11pDa�e if ettab• �o abaf Plnaneta! reporuns:�'`�?�'!'!:i'':
� " �!• llshed ob�ec;ivea aere not met. �a� p�,ural, li) Except as�Dzovided
� � . (!fi) Additlonal �ertinent lntorma• � y�s�iphs (a) (Z) and (5) �ot thia
tlon including, when aDD�Dt'1ak. �a�• sectfon. er'antees will use only the
. ysis and explanaLion oi cost overruns iortns apeciifed in paraBTgP� ���
,pT high unit costs. through (e) oi this section. and such
� (3) Grantees aill not be required to zupplementary or other forms as may
, . , aubmit more than the original and two from time Lo time be authorized by
copies oi performance reports. OMB. for:
� ' �4) Grantees aill adhere to the (i) Submftting iinancial reports to
sta.ndards in this section in prescribing Federal a¢encies, or
� performance reporting repuirements (Ii) RequestinB sdvances or reim-._
for subgrantees. bursements when letters oi credit are
(c) Con.slruction pe>>ormance re- not used.
pos:s. For the most part. on•site tech• (2) Grantees need not apply the
. .;nical insPections and certified percent• forms prescribed in this section in
age-of•completion data are relied on dealing aith Lheir subgrantees. How-
� hea�ily by Federal agencies to monitor ever. grantees sha]1 not impose more
,s progress ,under ,cQnstruction grants burdensome requirements on subgran-
and subgrants.''The� Federal agency 'tees.
a•ill require additional iormal periorm- (3) Grantees shall follow all applica-
ance reports only a hen considered ble standard and supplemental Feder-
: .•: necessary. and never more irequently a� agency instructions approved by
� �Lhan quarterly. OMB to the extend required under the
� cd) SigniJicanl developments. Events paperwork Reduction Act of 1980 ior
. . may occur beta•een the scheduled per- use in connection aith forms specified
•� " � formance reporting dates a•hich have in paragraphs tb) through (e) oi Lhis
, . .. ' , signiiicant impacL upon the grant or section. Federal agencies may issue
� subgrant supported activity. In such substantive supplementary instruc-
cases, the grantee must iniorm the tions only with the approval oi OMB.
Federal agency as soon as the follow•- Federal agencies may shade out or in-
ing types oi conditions become knov�•n: struct the grantee to disregard any
c 1) Problems. delays, or adverse con• line item that the Federal agency:
ditions a hich a•ill materially impair iinds unrieeessary for its decisionmak-
the ability to meet the objective oi the inB purposes.
aa'ard. This disclosure must include a (4) Grantees a�ill not be required to
statement of the action taken, or con- submit more than the original and two
templated, and any assistance needed copies oi iorms required under Lhis
Lo resolve the situation. part. -
(2) Fa.vorable developments ahich (5) Federal agencies may provide
enable meeting time schedules and ob- computer outputs Lo grantees Lo expe-
jectives sooner or at less cost than an- dite or contribute to the accuracy of
ticipated or producing more beneficial reportin8. Federal agenefes may
, .'results than originally planned. accept the required iniormation irom
�' " (e) Federal agencies may make site grantees in machine usable format or
�. yisits as warranted by program needs. computer printouts instead of pre-
' (i) Waivers� estensions. (1) Federal acribed forms.
• igencies may waive any pertormance (6) Federal agencies may waive any
teport required by Lhis part ii not report required by Lhis section ii not
needed. needed.
(2) The grantee may aaive any per• (?) Federal agencies may extend the
formance report irom a subgtantee due date of any iinancial report upon
a�hen not needed. The ¢rantee may receiving a justified request irom a
extend the due date for any periorm• Brantee.
ance report irom a sub¢rantee ii the (b) Financial Status Reporl—(1)
. �rantee aill still be able to meet its Fornz. Grantees a•ill use Standard
. perlormance reporting obli¢ations Lo Form 269 or 269A, ��cial Status ,
, the F`ederal agency. Report, to report the status of funds
�' r'� ior sll nonconstructfon 6ranta �d tor ,QuireIDenta may oe r�quu�u �:n --.�
,, ,' • ` ' constructfon srsnta when :equfred !n •'Reaaarlu" sectton oi t,he report»
y sccordance with � 85.41<e)(ZXffi) oi (3) CasA =n �� � ���n�u'
this section. When consldered necesaaty ind i�'
' c2) Accountfnp basfs. Each ¢rantee ble by the Federsl agency. Qr4nkes
v�ill report pro8ram outlays and pro• may be reQuired to report the amount
gram income on a cash or acerual basis oi cash advances in excess of tt�ee
as prescribed by the awarding agency. days' needs in Lhe hands oi their aub-
If the Federal agency requires accrual arantees or eontractors and to provide
� information c ds are notnno'rmally taken bay theefCrapntee ttonr ducet�the
counting re
kept on the accural basis. the Qrantee excess balances.
shall not be required to convert its ac• (�) Frepuencv and due date. Gran�'
counting system but ahall develop ees must aubmit the report no later
such accrual iniormation throuBh and than 15 working days followin8 the
analysis oi the documentation �n end oi each quarter. However� where
hand. an advance either by letter oi credit or
(3) Frequency. The Federal agency electronic transfer of funds is author-
may prescribe the irequency oi the ized at an annualized rate oi one mil-
report for each project or program. lion dollars or more, the Federal
Hou•e�er. the report v��ill not be re- agency may require the report to be
quired more irequently Lhan quarter- submitted within 15 working days iol-
ly. If the Federal agency does not lowing the end oi each month.
specify the fzequency of the report, it (d) Request �or advance or reim-
v�•ill be submitted annually. A iinal bursement—(1) Advance payments. Re-
report a�ill be required upon expira- quests for 'IYeasury check advance
tion or termination of grant support. payments aill be submitted on Stand-
c4) Due date. When reports are re- ard Form 270, Request for Advance or
quired on a quarterly or semiannual Reimbursement. (This form will not
� basis, they a�ill be due 30 days aiter be used for drawdowns under a letter
the reporting period. When required oi credit. electronic funds transfer or
on an annual basis, they a�ill be due 90 w hen Treasury check advance pay-
days alter the grant year. Final re• ments are made to the Srantee auto•
ports a•ill be due 90 days aiter the ex- matically on a predetermined basis.)
piration or termination of grant sup• (2) Reimbursements. Requests for.re
port. imbursement under nonconstructior
(c) Federal Cash T�ansactions grants aill also be submitted on Stand
Repo�t—(1) Form. (i) For grants paid ard Form 270. (For reimbursement re
by letter or credit, 'IYeasury check ad- quests under construction grants. ae�
vances or electronic transfer of funds, paragraph (e)(1) of this section.)
the grantee will sub��h t�a�t c do� payment e Tequests y is�r treatedtt�
Form 272, Federal
Report. and a�hen necessary. its con• � 85.41(b)(3).
tinuation sheet, Standard Form 272a. (e) Du�lay rrpori and reQuest Jor re
unless the terms oi the aa�ard exempt =ab�S��nGrants thatlaupporl cor.
the grantee irom this requirement. �
: - (ii) These reports a�ill be used by the struction aclivities paid by reimbursc
Federal agency to monitor cash ad- ment method. (i)Requesters for reirr
vanced to grantees and to obtain dis• bursement under construction grant
bursement or outlay information ior will be submltted on Standard Ibn
each grant irom grantees. The tormat 271. Outlay Report and Request ic
oi the report may be adapted as ap- Reimbursement ior Construction Prc
propriate a�hen reporting is to be ac- Sra�. Federal agencies may, howeve
complished a•tth the �ssistance oi prescribe the Request tor Advance c
automatic data processing eQuipment Reimbursement lorm. specified i
provided that the information to be i 85.�1(d). instead oi this form.
submitted is not changed in substance. (ii) The irequency for submittin� r
(2) Forecasts o� Fedc ederalhcash ire- � 85 4 b>(3�L reQuests is treated
menLs. ForecasLs oi F
�. ,�s
:. . .. .
"-�Y ' c2) Gran�.t that tttPPorl��oo nul�on Lhe tticords must be ret.atried until
' '' Y acliv�tics patd
bY kttes etr er�edt�. eJc�� c�mpletlon oi the action aad sesolu-
trontc Junds lmn,�Jcs or Trea.turY tfon oi all iasuea �vhtch arlse irom it.
' cluck advanee. (1) When � censtn�c• or until th� end oi the re�ula,r 3•year
tlon 6rant is paid by letter ot credit. period� ahichever ia l�ter. �
electronic funds transfer or Treasury (3) To avoid du�licate recordkeep-
check advances, the arantee aill in¢, swardin¢ 4gencies may make spe-
report lts outlays to the Federal cial arrangements with Qrsntees and
� agency using Standard Form 271. subgrantees to retain anY records
Outlay Report and Request for Reim• ahich are continuously needed ior
bursement for Construction Programs. Joint use. The awardfng agency wlll re-
The Federal aBency aill pro�ide any quest transfer of records to its custody
necessary apeclal instruction. Howew when it determines that the records
er. frequency and due date shall be possess long-term retention value.
Qoverned by g 85.41(b) (3) and (4). When the records are transierred to
(ii) When a construction grant is or maintained by the Federal agency,
paid by 'IYeasury check advances the 3•year retention requirement Ls
based on periodic requests irom the not applicable to the �rantee or sub-
grantee. the advances aill be request- grantee.
ed on the form speciiied in � 85.41<d). (c) Slartinp date o� retention
(iii) The Federal agency may substi• period—(1) General. When grant sup-
tute the Financial Status Report spec- . port is continued or renewed at annual
ified in � 85.41tb) for the Outlay or other intervals, the retention period
Report and Request ior Reimburse• for the records of each funding period
ment for Construction Programs. starts on the day the grantee or sub-
(3) Accounting basis. The accounting grantee submits to the awarding
basis for the Outlay Report and Re- agency its single or last expenditure
quest for Reimbursement ior Con- report for that period. However� ii
' struction Programs shall be governed grant support is continued or reneaed
by � 85.41(b)c2). quarterly, the retention period for
each year's records starts on the day
� 83.�2 Retention and access requirements the qrantee submits iLs expenditure
� tor records. report for the last quarter oi the Fed•
ca) Applicabilily. (1) This section ap- eral fiscal year. In all other cases, th�e
plies to all financia] and programmatic retention pertod starts on Lhe day the
records, supporting documents, statis- grantee submits its final expenditure
Lical records, and other records of report. If an expenditure report has
grantees or subgrantees which are: . been waived. the retention period
ci) Required to be malntained by the starts on the day Lhe report would
terms of this part. program regula- have been due. ��
Lions or the grant agreement� or (2) Real propertv and eQuipmtnt
(ii) Othera�i�e reasonably considered records. The retention period for real
as pertinent to proBram regulations or property and equipment records starts
the grant agreement. irom the date of the disposition or re-
t2) This section d�es not apply to placement or transfer at the direction
records maintained by contract,ors or oi �he aa•ardinQ agency.
subcontractors. For a requirement to (3) Records Jor income trarisactioris
place a provisfon concerning records in after �rant or subprant support. In
certafn kinds oi contracts, see sorne cases grantees must report
� 85.36(i)(10). income after the period oi �rant sup-
cb) Lenpth oJ selention period. (1) port. Where there is such a require-
Except as otheralse provided, records �ment. the retentton period for the
must be retained for three years irom records pertafning to Lhe earning oi
the starting date specified in para- the income starts from the end of the
graph cc) o! this section. grantee's flscal year In a�hich the
c2) Ii any litigation, claim, negotia- income Is earned.
tion, audit or other action involving (4) lndirect cost rat� proposals. cost
the records has been atarted before allocalions plans, et.c. This paragraph
the expiration oi the 3•year period, applles to the folloA•in¢ types of docu-
,'• �, ' . ��
'•• ' • menLs. and Lhefr suDpoztln� records: wrhethet stated in s �'�det�l statute cr
� ' Y� Indlrect cost rate computatfons or pro-. teQvlation. ar� a.asuTSnce. in a 6Late
, posals, cost sllocatlon plans. and any plan or •pplfcatfon. a notice oi award. `
similar accounting computatfons oi or elsewhere. Lhe awarding agency '
• the rate at v►hich a particular ¢roup of may take one or more oi the io]lowinB
costs is chargeable (such as computer actfons. as spproprlate in the circum-
usage chargeback rates or compostte stances:
iringe benefit rates). (1) Temporarily withhold cash pay
� � (i) IJ suDmitted .for ne�otiation. If inents pending correction oi the defi•
the proposal. plan. or other computa• ciency by the grantee or subgrantee or
tion is required to be submitted to the more severe enforcement ution by the
Federal Government (or to the grant• awarding a.gency.
� ee) to form the basis for negotiation oi (2) Disallow (that is. deny both use-
the rate, then the 3•year retention oi funds and tnatching credit ior) all
period for its supporting records starts or part oi the cost oi the activity or
irom the date of such submission. action not in compliance.
(ii) IJ not submitted Jor ne�otiation. (3) Wholly or partly suspend or ter-
If the proposal. plan. or other compu- minate the current� award for the
tation is not required to be submitted grantee's or subgrantee's program.
to the Federal Government (or to Lhe (4) Withhold further awards for the
grantee) for negotiation purposes. program. or
then the 3•year retention period for . (5) Take other remedies that may be
the proposal plan, or computation and legally available.
its supporting records starts irom end (b) Heariregs. appeals. In taking an
of the iiscal year (or other accounting enforcement action. the awarding
period) co��ered by the proposal, plan. agency a�ill provide the grantee or sub-
or other computation. grantee an opportunity for such hear-
(d) Substitution oJ microfilm. Copies ing, appeal. or other administrative
' made by microfilming, photocopying, proceeding to which the grantee or
or similar methods may be substituted subgrantee is entitled under any stat-
for the original records. � ute or regulation applicable to the
(e) A ccess to records—c 1) Records oJ action involved.
�rantees and subgrantees. The a�•ard- tc) EJlects oJ suspension and termi-
ing agency and the Comptroller Gen• nation. Costs of grantee or subgrantae
eral oi the United States, or any of resulting from obligations incurred by
their authorized representatives, shall the grantee or subgrantee during a
have the right oi access to any perti• suspension or aiter termination of an
� nent books, documents, papers; or aaard <are not alloaable unless the
other records of grantees and subgran- aa�arding agency expressly authorizes
tees a�hich are pertinent to the grant. them in the notice oi suspension or
in order to make audits, examinations. terminatfon or subsequently. Other
excerpts, and transcripts. grantee or subgrantee costs during
(2) Espi�ation oJri9hl of access. The suspension or aiter termination ahich
rights of access in this section must are necessary and not reasonably
not be limited to the required reten- avoidable are allowable ii:
tion period but shall last as long as the (1) The costs result from obligations
records are retafned. which were properly incurred by the
(f) Resirictions on �ublic access. �rantee or subgrantee before the ei-
The Federal Freedom oi Information iective date oi suspension or termina•
Act (5 U.S.C. 552) does not apply to tion. are not in anticipation oi it, and,
records Unless required by Federal, in the case of a termination, are non-
State, or local lav��, grantees and sub- . cancellable, and.
grantees are not required to permit (2) The costs a'ould be alloa�able ii
public access to their records. the award a�ere not suspended or ex-
4 85.�3 Entorcement. pired normally at the end oi the fund-
ing period in ahich the termination
(a) Remedies �or noncompliance. If a takes effect.
grantee or subgrantee materially fails (d) Rclationship to debarmrnl and
to complY a'ith any term of an a��ard, s�spcnsion. The enforcement remedies
��• ��` • identified in thia srctfon. includln¢ .cs) FYnal nQuut for �aynunt tSr-
_ �,'�' ' suspension and termir�atfon. do not 270) «aFplicable).
� preclude QranLee or aubQrsntee irom (4) Invrntton discloaura (t/ applica-
. beinB subJect Lo "Debarment and Sus• ble).
pension" under E.O. 125�9 (aee t5) Fedcraliy-o�oned prnperty reporL•
; 85.35). In scxordance with ; 85.32(t). a eranU
ee must aubmit an inventory oi all fed-
0 SS./d Termination tor con�enfence. erally Owned prOperty (as dlstinet
- Except as provided in ; 85.l3 a�vards irom property acquired �vith Qrant
� may be terminated in whole or in part iunds) ior which it is sccountable and
only as follows: reQuest disposition instruciions irom
(a) By the awarding agency with the the Federal agency oi property no
consent oi the grantee or subgrantee longer needed.
� ahich case the two parties shall (c) Cost adiustmrnl. The Federal
igree upon the termination condi- agency wlll. aithin 90 days aiter re-
tions, including the eifective date and ceipt oi reports in paragraph (b) oi
in the case oi partial termination. the Lhis 6ection. make upward or down-
portion to be terminated. or aard ad�ustments Lo the allowable
(b) By the grantee or subgrantee costs.
upon aritten notification to the (d) Cash a.d�ustments. tl) The Feder-
aa•arding agency. setting forth the al agency will make prompt payment
reasons for such termination. the ef- to the grantee for allowable reimburs-
fecti�e date. and in the case of partial able costs.
termination. the portion to be termi- (2) The grantee must immediately
nated. Hoa�ever. if. in the case of a refund to the Federal agency any bal-
partial termination, the awarding ance of unobligated tunencumbered)
aBency determines that the remaining cash advanced that is not authorized
portion oi the aaard aill not accom- to be retained ior use on other Yrants.
. plish the purposes ior which the
aa•ard a•as made� the aa�arding agency � g�•S1 Later disallowances and adjust-
may terminate the aa•ard in its entire• ments.
ty under either g 85.43 or paragraph The closeout of a grant does not
(a) of this section. affect:
(a) The Federal agency's right to dis"
Subparf D—Affer-The-Grant allow costs and recover funds on the
Dteqvirements basis of a later audit or other review;
(b) The grantee's obligation to
� 83.SO Ctoseout � _ return any funds due as a result oi
(a) General. The Federal agency will later teiunds. corrections. or other
close out the aa•ard ahen it deter• transactions; -
mines that all applicable administra- tc) Records retention a�s reQuired in
tive actions and al] required work of � $5•�Z:
the grant has been completed. (d) Property management require-
(b) Reporls. Within 90 days alter the ments in #� 85.31 and 85.32; and
expiration or termination o! the grant. (e) Audit requirements in � 85.26.
the_grantee must submit all financial,
performance. and other reports re- � 8S•52 CoUection ot amounts due.
quired as a condition oi the ¢rant. (a) Any funds paid to a grantee in
Upon request by the grantee. Federal excess oi the amount to which Lhe
agencies may extend this timeirame. grantee is finally determined Lo be en-
These may include but are not limited titled under the terms of the sward
to: constitute a debt to the Federal Gov-
(1) Final perjormance or pro�ress ernment. It not paid within a reasona•
�eporl. ble peri�d aiter demand, the Federal
(2) Financial Slatus Reporl (SF 269) agency may reduce the debt by:
or Oullay Repo�l and ReOuest Jor Re• (1) Makin� z.n a.dminstrative offset
imbursrmenl Jor Corulruction Pro- against other requests tor reimburse•
Dfams (SF-271) (as applicable). ments.
� } . _
I APPENDIX D
�
REQUIRED DATA EL�M�NTS FOR TRACKING CASES
The following is the list of data and informatton fields
with must be a part of any monitoring system esLdbiished between
the Re`g�onal Offlce d�d NUD regarding Lracking the progress of a
FNAP investigated case. There ts no HUD prescribed ferm ( form
HUD•948 hds expired and should aot be used }.
� s Dtte raesived • the det� the •�1n�y rrc�iva• the �
� � COA�ft��l1L� . , _
.-J -� -T1
t Date lil�d • th• date che �taQncy det'r�ritt�a that� � —
thR co�opiaiat is �ogni=�bte undsr tca 1•W. ��y Q, :7
s A •aC c�aa ttutobar • $ y a� �_
S 7 the nuaber the � ent asri nt � :--i
to th• oo�apisiat iroo rt4�tpt unti2 cto�urR. � � � rv '�
.� .. .
s N+�e� eddree�� aad teleyhon� nu�ber of the ca�• � p
� pl�is�ant and tha eggrieved part�� it epplieable.
� � t H�oo, addt'o��� and tel�pAoAe nvm0ers of th�
r�spoadta�(��.
� City/Coua�y ai aileged violatio� - id�acity tt►e
City or county wh�re th� sileged ineident oeeurreQ
(th� R��lonal Otlice will �onv4rt rhi� iAforoaRian
to nu�bert ia or0�r eo input th� 9=0)•
= Date oi violaeioa • the d�C• tA� �ce oi diiari�ain�»
tion occurr�d or the lasc d�te ii the eec wai
• . r�cuc�ing. , , '
s Etai� � identity vhiC?�e! =he compitinc we: b���d en
c��a� � eolor� r�ligion, etx� oe n�tional origin (tnd
' ior c�rtifi�d agoncie�, t�milial t��cus. tnd ?�dadi-
c�9� . . .
_ t Yten• - id�ntiEy the ta�v�(i) of the c�mpi�ine (the
Ae�ionel •Oftia• will coavert th�� �intora+�tion into
au�ber� tor tbt 9�0) .
s Dite lavettigati0a comm�nced - ir�ncity tAe dat•
che eYency be�an proce�,tng cAe complii�t .
� � .
= Inveat:gatio� prcgress dat�s
identtfied by the age�� ' Ruch d9tee ai12 be
a resutt of monleorin y ��� the R�gion4l Office se
3• 7hQSe O�tes vtil be ecca�-
�penied by specittc �ctton• oE the xgency at that
� paint. i.� �age°ndi aonttor wili n�t �ccept
general Y g :ych �o under invostig�cion."
= I�vestigatioa co�pleted •
xnv��ti�ation waa complatea�bntity the date the
Y th: �8'ncy.
= Date oi deter�inetioa - �
,8ency mad• a derer�inattonnpf`csuse/n�tceu�e.
= Detsrmin8tipa - identiEy the aet�rmination Qada b
� the egency. y
= Coactliatioa commencad - �dentity the dats the
�8°n�Y ��= the co�ptaint tor inveatigt�ion� rrie
d�te fie2d is •l�o u�ed Whan
th• co�plaiAt heve begun � �rocaodiqg� to aettle
and dncernina=�o�� Prior co inve�tig�tion
= Coaciliatioa eompieted • the
pletee succeaefut conciiiqtton�or conctiietion��.
taili. If •uCCR88E�1 � ide�txty the reii�E and/or
. comp�nia�ton •v�rded.
= D4�ucc�saiul coaaiitat�oa -
Indicate wAether the compl�intcMa�lrsfac�edh�arinY.
heartA�.
he�rin8 if the a$en�y refacred the co�pleint to
�� the D�part�eat wt�i ��ed th• lollowiag
d�te• �� applieebles diea
, �o��e�Cear eompletad� tinplporder, outco�t ,�o�pen-
•ition� other relief s• swdrd�Q� and the ds��
cloi�d.
= Court dstos - i! � compiainAnt elect�d c
courc� p�rtinanc datie� and outcome• ueuld be ��
r�quirea.
• _ Fedoral Financial AssistanCe �
� not the respandent (s) are receivinn�an�� wheth�r or
inc1udeathisSin�ormALi The Regional Of�iceDWiederal
on ol� the 930 11
£orm, if known.
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I �
. OMB STANDARD ASSURANCES - SF 424B
Orug Free Certification
; •
, . OM��p.�ral�0 034•OOao
'. ASSURANCES—NON-CONSTRUCTION PROGFtAMS
• Note: Certain ot tAese a�snranca e�iy not be applicabte to pour proj�ct ot �ro�am. U you havs qvestions.
�lease contact the�wardia��tcncy.Furthtr,tettain Federal aM�rdin`s�enatt may reQuire spplicants
so certJy to�ddition�l as:urarues Usuch i:the ca:e.�rou v.ill be eatified.
As the duly�uthori:td tepres�ntative o[the ap�lieant I eertJ�tl�at the a��lieanl:
i.. Ha: the le�al svthority to apply Ior Federal (�1 tl+e Dru� Abvsc OlTict a»d Trsshncnt Aet o!
assi:tance,and the Inttitution�t. mana�eriat and 197Z tP.L. �2•2SS1. a• amended. telatin� to
tnancial apability (includin� lunds wt�icient b rondiscrimia�tion on the basis oi dru� sbuse, lA
pay the ron•Federal sl+are oi project eost�l to the Cofnprehcnsive Alcohol Abuse and Alcohol;sm
�esure proper plsnnin�� a�ana�emcnt and tom- Prevention.Tnatsr�tnt and ReAabiliution Act of
plet'wn of the project described in this application. f 970 �P.G. 11-6161. as �mended. �elatine to
Z K'i11 �i.e the •wafd;n` •�erey, the ComDtroller - � w0�d��n��Mtion on the basi:of eicofi��l abu:e or
atcoholism;(`1 E�S23 and S27 oi'the l�ub'ic Health
Gtneral of the L'nited State:, and if approptistt. ��«Aet of 19IZ(�Z C-S�C•Z90 dd•3 ar.o 290 ee-
the Stste.through sny authorized represent�tive. S�� ss amende�, telatin� to eonfideatialit� of
� access to and the ri�ht to e:amine all secord:. s��ohoi snd dru` abuse �atient records. th) Title
books,yapers,or dauments r�latcd to tl+e sWatd; �Ii oi the Civil Ri�htt Act of 1968 ��2 L:.S C i
. and Miil establish'a proper iaountint tyste� iri 3601 et :eq.). as amended. relatin� to non-
accordsnee with `enerally aecepted accountin� d�xrimination in tht ssle.Tental or f:r.ancinQ of
standard:oraeenc�directives. housin�; (i) anr other nondiscriz.ination
S. K iIl e:tablisb safeeuard: to prohibit employee: provi:ions in the :peeilie statute(s) under whieh
ito� usin� their positions for s �utpo:e that application tor Federai a:sistance is bein� made:
eonstitut�s or presents thc sppeartnce otpersoasl aed (j1 the teQuiretnents o! an� other
o� orQanizational conilict of intcrest� or personsl rondiscri�inatioa statuts(s) �►t�ich n�a• apply to
�ain. the appliution.
4. �ill ir►itiate and complcte the �ork within the ?. Will eofnpl). or Aa: already eomplied, with the
appliuble time irame aiter rtceipt of appro•al oi tequirements of Titles I! and Ili oi the l'niform
the a�asdinQ agency. Relocation A�si:tanee and Real P�operty
Acqui:ition Polieie: Aet of 1970 tP.L. 91•646)
S. V�'ill eomply with the Inter�overnmeetal ��ich providc for fair and equitable treitment of
Personnel Act oi 1970 (42 L'.S.C. ii �728•4763) p�r:ons displ�ced or whou property i:acquircd as
. rtlatinQ Lo prescribed standatds fot merit tystemt �n=ult oi Federat or lederally a:sisted programs
for proQrams lunded unde� one oi the s�ineteen The:e requirements apply to all iaterests in resl
statute:or re�ulations:pecified in Appendis A of �o��y a�uired tor project purposes rc�trdless
OPJ�'s Standards for a yetit System of Petsonnel o{Federal patticipstion ia purehase=.
Administration(S C.F.R.900,Subpart F). ; �
a, Wil)eomply �►ith the provuions of thc Hatch Act
�, W�11 eompiy with all Federa] ttatutes rel�tin` t�o (S U.S.C.!�1501•iS08 and?324•�3281 Khieh limit
nondiserimination. These �nclude but are eot the political activitie: of ea�plosees who:e
' Iimited to: la) Title Vt of the Civi1 Ri=hts Aet of ptineipal employment attivities are funded in
196� �P.L. S8•3S2).vhich prohibitt dis-rier�ination �„hole or in psrt with Federai funds.
. on thc basis of r�ce, eolor or n�tional ori�in; (b)
Z'itle 1X ot the Education Amendmtntt of 1972.as 9. Wiil eomplY.as��plicsble.with the pro�i:ions of
amended(20 U.S.C.�� 168�•1683.and 168S•1686). the Davis•Bacon Act(�0 L.S C. }j 2;6i to 2�6a-
whicb prohibits discrimination on thc basit o!se:; 7I, the Copeland Act (�0 11.S.C. ; Z�6c and 16
(e)Secti6n SO4 of the Rehabilitation Aet of 1973.a• l�.S.C.��874),and the Contraet Work Hour�and
amended (29 C.S.C. j 994). which prohibiu dis• Safety St�nd�rds Act (�0 L'.S.C. ft 327•333).
erimination on the basi: oi handicap:;tdl the A�e nQardin� labor :tandard: for tedera'.:� assist�d
Discrimination Aet of 1975. a� amended (�2 tonstruction tubaQreemenu.
1;.5 C.�� 610�•610?l, which prohibits disc�im• •
� i�ation on the basis of��e:
s„�e.•a�a- ,:,e �.���
1�qao�e a O►�e �ww ••+02
. A�rMor�ed tot�ocal Reproductlon
_ , �0. Wi11 comply� Jappliublt. with tlood intur�nce 13 Y1ill a�:i:t the �w�rdin� •`ency in �ssurin�
� purch�se reQuirtments of Section 102(�1 ef the tompli�nct with Scction 106 of the ��tional
f lood Di:�ster P�otection Act of 1973 tP.l..�3•2311 Historic Preserv�tion Act of 1966, �s amcndcd (16
w�hich teQ�ires retipitntt in� speci�) fiood h�:�rd l' S C. �701, EO 11 S93 (identific�tion •nd
srea lo porlitipalt in the pro�ram �ndto purch�st proteclion o� hi:torie Oroperties), �nd the
tlood insursnce if the tot�l tost ot in:u��ble Mchaeoloeical and Nitt,orit Pre�crv�tion Act of
tonstrucGon�nd�tquisition i:=10,000 or tnore. �9��t161;.S C.<69a•1 tt seq.l.
� l l. Will tomply with tnvirofimental itandards which 14. 1A ill tomply with P.L. l9-346 tcQe�din� the :
may be prescribtd Our:u�nt to t?�e followin�� t�) protcelion ot humin subjects tnvolved in research.
in:titution of tnv{ronmentai Qv�litr tont�ol de�•elopment. and rel�tcd uttv�tics iupportcd 6r
me�sures unde� tht N�tiona! Envtronmental tAis�wsrd of�stitlanct.
Policy Act of 1969 (P.L. 91•f90I sn� Erecutive �S. V�ill comply with the I.abor�lory Anim�l Ktltare
Ordcr (EO) 11S11; tb? notit�cstion ot violatin� Act of 1966 (P.L. S9•5�1. a� •mendcd, 7 l;.S.C.
lacilitics pursyint b EO 11738; (c) p�otection of Z�31 et uq.l perlaininQ to tht cart� handlir+e, •nd
�►etiands pursvant b BO 11990; (d) tvaluation oi trtitment of warm bloodtd •nimals held for
ttood h�tards in floodpitins in�cco�dance with EO ��sc�rch,k�c�ine,or othe�activitlts tupported b�•
1198a. (e1 assur�nce oi project consistency with
the approvcd Stitt min�ecment proeram tltisaw�rdottsslstanet.
de�•eloped uodet• tAe Co�st�l Zont INana��ment 16. N ill compl� with tfie Lead•B�std Paint PoisoninQ
/1et ot 19iZ 116 t;.S.C. �1 f�S1 el �eQ ); tn Prcvention Aet (42 L'.S.C. ;i 4601 et scQ 1 �hich
tonlormity of Peder�i actions to State (Cic�r Air) Prohibits tht use of le�d bs:ed p�int in
lmplemcntation Plans under Section 176(c)of tht eonstruetion or rehabilitstion o! �esidc�ce
Ciear Air Act of 19SS. �s •mended ��2 l'.S.C. f �trvetu�es.
' 7�01 et s�Q.l;(`1 protection of undereround sourte: 17. V1 ill uuse to be performed tht �equired financi�l
of drinkinQ �attr under the Safe Orinkin� W�ter �nd tompliance •udits In accordance Kith the
Aet of 197�� a: amended. IP.1.. 93•S23); and (A)
Drotection of tnd�n�cred speeies under the S�+QIe Audit Actof 1984.
End�neered Species Act of 1913,as amcnded�tP.L. ia. K ill tomply with�tl�ppliublt requirements of sll
� Q3•20S). othc� Federal l�ws, executive orders, �c�vl�tions
1Z. Will tomply with the Wild •nd Scenic Rivtr= Att •nd polities�over�in�this proQram.
o! I968 (16 �.S.C. ii IZ11 et seq.) relatcd to
protectin� eomponents or potentiil nU of
tht n�tional�rild�nd scenic ri s system.
SiGw►t Rf O�/►t17MORSE CERTKr�NG O��K ; TiT�.E ,
• DIRECTOR
••�� �rt oRw a•Tbw o�TE futM�tT[o
C Y OF SAINT PAUL HUMAN RIGHTS DEPARTMENT 9/11/91
' is �?�� Nit !+c•
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CERTIFICATION REGARDING DRUG-FREE NORKPLACE REQUIREMENTS
1. Instructions�for Certification
. a• By submitting this application� the applicant is providing the
certification set out below.
� b. The certification set out belaw is a naterial representation of fact
upon which reliance will be placed if HUD determines to award a �
grant to the applicant. If it is later determined that the
applicant knowingly rendered a false certification, or othe�rvise
violates the requirements of the Drug-Free Workplace Act, HUD, in
. addition to any other remedies available to the Federal 6overnment,
may take action authorized under the Drug-Free Morkplace Act.
2. Certification Regarding Drug-Free Norkplace Requirements
a. The applicant certifies that it will provide a drug-free workplace
by:
1. Publishing a statement notifying employees that the unlawful
manufacture, distribution, dispensation, possession or use of a
controlled substance is prohibited in the qrantee's M►orkplace
and specifying the actions that will be taken against employees
for violation of such prohibition;
2. Establishing a drug-free arrareness program to inform employees
about:
i. the dangers of drug abuse in the Norkplace;
ii. the applicant's policy of maintaining a drug-free
workplace;
iii. any available drug counseling, rehabilitation, and
- employee assistance programs; and
iv. the penalties that may be imposed upon employees for drug
abuse violations occurring in the aorkplace; .
3. . Making it a requirement that each employee to be engaged in the
performance of the grant be given a copy of the statement
� requi red by paragraph 1;
. � . i
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4• Notifying the employee in the statement required by para ra h 1
that, as a condition of employment under the grant, the 9 P
employee will;
� i. abide by the tern�s of the statement; and
ii. notify the employer of any criminal drug statute convic-
tion for a violation occurring in the workplace no later �
than five days after such conviction;
5• Notifying HUD within ten days after receiving notice under
subparagraph 4 (ii) from any employee or otherwise receiving
actual notice of such conviction;
6. Taking one af the follaving actions, within 30 days of
receiving notice under subparagraph 4 (ii), Mith respect to any
employee who is so convicted:
i. taking appropriate personnel action against such an
employee, up to and including termination; or
ii. requiring such employee to participate satisfactorily in a
. drug abuse assistance or rehabilitation p�ogram approved
for such purposes by a Federal. State or local health, law
. enforcement, or other appropriate agency;
7. Making a good faith effort to continue to maintain a drug-free
workplace through implementation of paragraphs 1, 2, 3, 4, 5
and 6.
b• The applicant shall insert in the space provided below the site(s}
for the performance of work done in connection with the specific
grant:
Place of Performance (Street address� city, county, state, zip code)
� CITY OF SAINT PAUL HUMAN RIGHTS DEPARTMENT
� 515 CITY HALL�COURTHOUSE �
� 15 WEST KELLOGG BOULEVARD COUNTY OF RAMSEY �
� SAINT PAUL, MINNESOTA 55102 �
< �
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C
CERTIFICATION
In accordance with the Fair Housing Assistance Program
regulation at 24 CFR Section 111. 111(e) , Certifications, I hereby
make the following certification to accompany the application for
Fair Housing Assistance Program funding.
1. I certify that the submission of the application is
authorized under State or local law (as applicable) , and
that the applicant possesses the legal authority to carry
out the activities proposed in the application.
2. I certify that the agency will adhere to a written agreement
(Memorandum of Understanding or Interim Agreement) governing
all fair housing referral activity and complaint processing
- between the agency and the appropriate HUD Regional Office.
3. (For applicants for incentive funds only) I certify that all
budget information submitted is true and accurate and that
at least 20$ of the agency's expenditures for fair housing
activities in the most recent fiscal year have been from
• non-Federal sources.
C 4 . I certif that the a enc will artici ate in HUD -
, Y 9 Y P P
sponsored training at national and regional levels and to
use the training allotment to support the articipation of
. at least 4 staff persons in traini .
5. By submitting this application, the applicant is lso
providing certification that 't wil not use F funding to
support the same activities b ing fu d unde IP.
, �° ��
S ' nat e of Official Date
� SEPHIER BROWN DIRECTOR
Name and Title
CITY OF SAINT PAUL HUMAN RIGHTS DEPARTMENT
Applicant Agency
5�CITY HALL/COURTHOUSE-15 W. KELLOGG BLVD.
, Address
�A�T PAUL. MINNESOTA 55102
City, State, Zip Code
L612) 298-4288
! Telephone
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. �. � � � Otrtce ot Aatstant 8ecret�ry !ar��atr
� Houafn� and �qusl OpportunEtyr •
_ . . _ Nolto�R of �w:dlnp Av�qsbptty tor Falr
• � Hou,�ht� 11ssi�tanos Pr+o�ram tn FTacat
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rROM�HUD FH&EO �ASH DC TO�CHICAGO RO (626 WJ) MAY 6� 1991 12�42PM �655 P.0_
c 'Y.
' � �� '.,
�� Federal itegbtee / Vol. 56, No. 88 / E�rSdsy� May 3, 199i / Noticea
bEpARTMENT OF MOU8INQ AND Purpo�u��q�bstendve Daeaription I!.Alloca�lo»AmouRts
.� `P9AN PEYBI.OPMENT
L Authorlty • (a)Scope;A total of�8.8 mtlllon te
Ottic�o!th�A�sist������ry far The pair Nou�ing Act(42 U,S,C.880i� avatleble under thle NOFA.
Fdr HouslnQ and Equd ppport�n� ig������e Act" ro�ibit�dlecrtmtnatlon �ppt�calforu aro�olicited(o�capacit
t�oalc�t No.N-�1-s�t�;FR_?p5�-p�� ��'e fd����ntal of houeiag,in b��S ead incentive fundirig e•
resldentlal reat-eetate related deocribed at?A Cl�It Sectlon 1�i.lOb.
Fundlnq AvaltablNty for�alr Houalnq �'°a�ecNons,ln!he provtaion of � � ��p�dUg of+Capaclty Bufidtng
Asst�tano�Pro�rstn,Noh.Competltfw brakerage�arvice�.and In other . '• A8encler.Uader 2�Cplt 121.�0a(a),�
5olloihtlpn hauoln8•relotsd practicei. � �»8��e�90,000 to eacb cepacl�y
� D�artmineuon i�prohibited on the ba�ii b��°8°ncy(�ageacy In tha tir�
AoEHOV:Oflico of the Atsisiant oi reae,oolor,religtan.ee�c.iamlllal ��Ye�of p�tticlpatlor►!n FHAP)
Secrotnry for Fair Hoating and Equai •tetu�,handlcap,er natlonal origl�. �'��aubmiy aA Moceptabla
�PDdrturtlty.FiUp. 8ection 810(�of the Act providet that� .. °pP�caHon. . .
�Cno�Notioe of P�a "��+a��a complalnt hllege�a . • ' (���'��8 ot Contrlbution�Agenc
dir�g Availabillty d�s�Jmfnptory houal,�practice(AJ Uader 24 CFR 1u.105(a),egeacie�wl:
(NOPA)for IrY 18Ai, within the iur���ction of�8tate or 1ooi1' �a�j'°��ved two yeare oi awatd:fo
. o����+atual qpplfcation Due Date pybllc agonay;and fB)ae to whlch�vah ���h'b��n8(�nWbutlona
a►1U be�peolfled in ths a ycatfon wt, . �Ben�Y ha�been certifted by Ihe • �0n�o�1+u'e ellgible to recelvQ hsin;
A 1 pp Secretary(ior the eelerral of com ' �da�00�1�t p��sel� fun
. Pp t��wlll bave at leaet 80 day� p���°� for lhoee �j 8 de aac
a�r�o�PP11�tian kit bacomea °f��aatory housing pracKloee�the ' � as m�oting the
�vAilable!o prepare and�ubmlt thelr ��Qt°�'�h°v reter�ucb complaint ta °dd'tiO��ntive crJterla in?A C�'lt
that certlfled agenay before t 1fi.913 and section tII.{e)(9)epeclfled
propoee1�No application rece1vsd a�ter acHon with reepect to euch oomp ai t.�". below,incanllve lunde.
the clo: date wfll be eonsidered, Sectlon 817 of the Act provtdsh among �i�Tt"`�$ach Contrtbution
sulYtMARYt 1'hi�NOFA anbounce� other Wnge,that!he 8ecretary msy ASenoy wW ncelve 54,000 to�upport
' HUD's fundirtg for!�Y 1991 of the palr uUlko the krwce�of$tete aad looal pa��cip�upn pf no tewer tbsn�i perro,
Houdng q��I�tance p����p�, agencle�charged wilb the ��'aDdMOred or HUD•apDroved
Applleatlona are aol[ctted for Capacity • adiniNatratlon of the&tate end local f°�honetng tralning.TheBe fuade are
� �' Dullding�nd�centtvs F1�n�ileg on1y, •• Fnir Hauetag Iew�,and"may roimburse �tes►ded to�upport attsndflnce et HLf;
. .Co,nt�but�oas egenag��$t a,�e eli�tble auch agancie�and thelr employeea for aPoneored trainU�g at netlonal and. �
. to:complalnt proce�etng and lraintng �cnrfcer rendercd b aeei�t hlm fn, . � reglonal training tttet.7'heee�onie�
� �uPDect ars nct roqutred to�ubmit an . �Ga�YZ�B dut"the Falr Hou�irig Ac�Tho ' �houea traf ng by agenc ee for��p�a
epplicatioa.In the body of thfs . ' �'F�i�waa authorized by Congsa�o!o � agencyepec(iic probloau,and for : .
documeAt b infarmatloa.cancarning d,e provide EiVJ with thg tejeurce��o ���of�taff uaablo to attead
� purpose of the NOF�A end informetioa • �anee tha felr hou�lng enforceman! natlonaf or regioaa!trn
regerdln�ellgibiIfly,avaflable amot�tt. p�btiltloe ot Sfate and loeal cJvq �8�eub)ect to
. eelectlon crlteMe and inforaiaUou. rl,ghto agancie�,Thie annour�cement of �e approvat o!the HW Cpvernlnent
� � proceosfng;tacludt�g how W appIy�nd, . �so�citatlon for capacity bulldtng and . ; rechufeal ttepre�entative.
� � •� .how�oleotion�will be meda . . ., i�ncantivo tunding undet tbe Pafr ' �� (Z)Complatut pruoesefng Iw�d�:
• � �p*�'t�A�f����N►o�A�oN�OONtAC�:• ' :,.Ho.�dng As�letartae Program(NI;A►p)t�� �� Contribution��tgencle�wljt reoeive.
' LAUretta A.D .�e�ued 1�a�cordaaoe wlth theae . � wpport for oonnpl�lnt procei�ing ba4ec
. ixon.Brau►ch Chtet��afr ' authorldee and?.�CFR part 31�. ' •�••�olsly on the number of dual•flled
� • • .. HouelnII A�etetenoe Prugratn(FHApj, .:� bouotng di�arlminattoa aomplalata
� �8�'�plWtioa,O�ice ail�alr• � • The PHAP wai rada�lgned!n 2089 to achie!!y pmce�eed by ihem during the
• . Houetng�forcewent aud reotio»g • . ���e�t�1Q°�intetrative l�ndfng ,twelye menthpeclod begtnning actobe�
• Gompltanee,toom bZiB,�b1 Seventh ' � � oncompe iHvs fundlag wlth��ingla� ' � 1.3989 end ending 8sptember 3Q,l9D0,
� � Streef�SWN Weehir,gtaTM DC�lp.. aon-competttive fun � ��°���ili.lo3(b),)(A duel-91ed
, .. z000.Telephono:(zpz)�pg.p,���y�d.,... Ma e,3s8e,. �°pproaah�Op � . �°mpt°�t i��t com�platnt which haa bee
. ,. TDDj.(Tbia ir eot a toll-free nv,mber,j. . y �Publtebed.flnal rule ''..dOCketOtl p�bOl�HIJD and the agency.
• �� .Application kita wll�autvmaqcally ba �� ����)1A�'piemanting ths . : � . � �Tha unit relmbaraement lavel wlll bo �.�
�ent to eliglbla State end looe}tetr , eppr�°CF�glve���ip,enle an t�ereeaaed '��� �� er oo leln� ;
P mF
. . housfng agen�te�by the Regfonal Offlce abtltty to plan a Ja�tg termp 8�tha: w. " (e)�centiv�fundo:A corilributlom
. �rith 8eographla teeponalbllihy�ot.�ucb . fa more�ultable to their tafr hoa �g8eaey that m9att all o(the cilteda tor
,agency.Raquab for applloation klt� enforcement nesde and vea FtUD�tt�@ `�' '���ntive lnndA eet forth!n S4 CFEt �
may elea be made by telephone trom the ebillty!o lmprove admWitraUoa of the ili.ii9 end{n�action m.(a)(ej below �
� � number U�ted abov�, ' me app1 tor tnoentivo Pond�.
� �p�T}'8 P�'poee of tha fundi�$!�tn • detcrlbtng tlioee projectt that would
� d�p�M�M'�'A�Y�M�'OftAAATlON: � P��ds�upport tor ca act bulldln
P �Y & beneAt It�jur{�d{cwon.The amouitit of
comDlefr±p�Ce68� �eWng,technJcal : tunde awarded to aa agency wf11 bs •
paPerwotk Reductlon Act Statement aesi�tanca,data an informaUon �baeed on!he populatton oi ths ,
Inforinatlan ao!loaUon re ulronnent� +y°temt,�nd othos falr houd ro eCt�.'
q Tha Intenf oi the program!t toSbulld a on the pro)vo propoe d and 1ho ao�t�bt
contained ln!h}i notice wece�ubmttted coordlneted intecgovernmerttai effort fo ' implementtng tboae project�.HUA wfll
• :��M$�0!1'8YI8W ltAdQ�i0Cu0p$6O¢(fl) further fafr houflnp and to ancotvnga � uoe�A90 U.B.oen�u�e�ttmete�ta
ol the Paperwork Reducllon Act oj�90o Stete�end locel�t�eo to ee�ume e greater detsemine a�uMadlctlon'�poputetton,
• , and hevv been npproved and aoolgned ehare of the reopenalbility ivc . Population!fguee�for countle�w111
t?MD control number 2b28-OOOb, edmtnl��ering thelr fAlr houatng law�. exolude populatlon pgw�ei for
� -'� FROM�HUD FH&EO WASH DC TO�CHICAGO R� C626 �J) MAY 6� 1991 12�43PM #655 P.04
� Y I��der�t Re�ster I Vol. b8. No, 6b ! Friday, May 8, a99i ! NoUces ZOSt
•ubataatialiy equlvaleat ctdet withM (E)The agency muit psrticippte in trotn Octobet 1.loe9 througi�Septea�bc
� thaie counties.The otaxlmum�moudt of trainir�g�porieprod by I�tUD and 80,SF9a
fuadY based on popul�iloa rat�aj i�as deelgned ip oansuitetloa wltb HUD�talf (C)The�gency rnwt demonetr�te ta;
• faltowr. end�gency repreeentative�to provtde ceriinad Dy the 6eed ot the ngeriq)tha
' tu�fforra�kill�and teohalcal l�owledge, d�rfag ths egtnc��moet tecentl�r
' ��� �,�,,,w„ (o)Io addltlon ta the criterla ta�ectloo concluded fl�cal yrar.a mWmum o�ZC
nnoura (5)�above,an epplfoant for i�centi�a percent of fimd��pant by the agrnay tc
" fuad�mu�t a�wt the foUowtag fair howfn�aedvlae�wa�troas noa-
�ew«tn�+�oo,000....--..-. t9o.000 addltlonal criferta: Fede»I toarce�.
�oo,000 e�4�.ev�»..��.. ra000 �A)Tb��gency muet lu�ve proceR�ed s
� �'�f0�0�""""""�'�" �'� anlnlmtua aamber of dne�I•filed ro��t��aaoY muet havspetfotsnec
�.00e.000 b�,�o,a�.., �a,00a .:� �atl�t�ctor9y tn the timely submtulea
t.000,000 a i,ar.o9o. 1o,oao eomplaLnU dw�pe��b�� vauche�.A voac�se i�no!:ubmittad
�o,000,000 a��,o�,9vv_.�....�,,. oa,000 Octobes]�lae� h tlme�y I!!t W teealved b�the Re�onal
16�0°°�0°°'"01'D0M' ��00° iP�O.'The ioIIov+rlr�g�eparate mtntrnum of$ce�a�vldenad by the d�te ttam �
tfumber�bave beea s�t�tbll�hed far tbenoa.sR�r tht aloN of bwtnus o�
IlI.�11glWllty State�a�d localftieu • tho flfteent�dey sitas th�d�tr '
Nipvleted i�tA�taadin�ia�trmstAt tot
t�)�od�� ' � a rocfplent'��abminfoa oi the voncher
(ij tnt�reNed tgrnd�t�»nt�td b ��� flNe I�Thea�u'iCy!mn�t Saw compltttd
»vl�w$4 CKR�!ii�ad ild and th� � �� �dmid�trativ�procentng ai complaint
Irifarautlou!n �aaoouiwement to. in a Hratly meaa�.A e�atplafat vPt1I b!
determlA�eliglbiUty ta�PP1Y•. • ����� . te con�idered tlmdy proce�ttd i[aa
(2)Aa egeacy!�tta!ellglbW for t,000 coo b s.��o�,.,�.., �s �eqcy proc�tpd it wtihlt�f00 dty�.
cspaclty buudia�tad fao.atfv.ttia�,� aooa000�nd.00v. ts (b)81i�sb1.Activstlas .
a!the iame tim�� sm� �iJ�p��ry p�pou�i capaalp►
(' Contributlaae age�oie�tb�t u+e , ��b°�°�°i a � buildin��ad iaoentiv�fund�ir to �
ellgi�te tor comp�atat pro��aad tepooAoo.na ao inpporl aetivltlei tbat 3rroduos
trainia�iupport�t�Ot to � ir�ata��d�war��i ot tur 6oaata�.
• �nbmit an applfatioa. � righu�ad remec�a.!W�otivltb�
(�y To be�11glbI�to aFP�Y;ot tu�d� � (i)To bt coniidated dua1�S]ed.� ropoud faa�tuadtc�mw�addeeu.ar
under th�I�tiRP�ea uganas►lJr�t mwt � oomplaint mwt ba cogntzaWt nadet the �ew u1�m�te r�l�vanoe ta mattm.
• mset the crttsr�i�prttoribed ta�Ct+�t Faderal F�ir HoaNng Act aad Roaep� s#ecti�p tah bausing that�te�oo�4h
lit.s0�.Specftto�IIyt by the Rq�oAd otR�ce u me�t�tbe under tb�p1dr Hoiuing Att(�U.8.C.
• (A�7'he 6tate at l�oat�tttoy�twt be prooes�lag tequiraawb aade=!�u 5801-,01��T�e�R acMvitla ladnd�.b�
oei�tl8ed ar a rubeteat�ly puiwlent. � 000pentive�reemeAt fa aft�t durSng �not!haltld ta,t}t!�41loWE�!
ageaa�nnder tt CPR iib.�(mclndln�aa that tt�s pttiad.
aSen�S'�ra�dfat}u�ed tor��roisera�oi (it For the pwpa�e oi.determi:slpg ��1 Activlda de�lgnod to develop az
• com la nt h aader�CPR ila. �� ar im lemeat outroscb eNott�to b�lg�teA
D 0(dr or al i llt foc lnc�wtlw fundi:t�.tbs ' pu�ltc sw�naen ot a11 tortw af hoi»fr
taa�t�SVe entered lnto�a a�eemeat�or � numbe�a�t dasi filed ooa�plajat�auy di�criminatloo p�b.tbSt�d unds�tl�e Pu
Interlm nfeml�underl4 Q�R li�,ii iaaiuds msea cla�d wsdRr oentract icr Hou,l,�y Act aud t4 i�sssa�publla
atter�s date oi en�ctment edtbe PaU •..,. favwl�tiea uadettakeA by�a agenay aworoneN ot fsir howtug tlghte and '
• Honstng Ames�aea�b�Aet of 39bd(set • �andfatha�ed fos ths raferttl oi � . . . .
�CPR SiO.il� . ., . .• � aomptalaV iP.(i)Tb�ComPlai�+►bvvlva rospon�bIIittNa.
� (8)T�Rge�cy moet batin ex�ntid a � �llegattoas of dismfmiaotion bsr�d oa tBf AcciviHei deslgnad w c»�te, .
wrttlen�Itemo�raaduaa vt U�. tussltt�l atatw ar b.ndla �ad(�)tha �odliy.ae tmprow bes1.ngfon�L oc
wtt�HW whleh.at a midmoa�.� oo:aptalAt also ft�vo�ves a�atboaa al pa Uanat tntotmado�ty�ttmi oOAOri�ae
, wtth tete bo mttten.
de�crlbss the war�nl�d bb� dlscrlminatiaa bst�on tece.oolor�' (C)AcUWtJ��I�ned to improw w
cl
, !a lorw betweaa tb�rgtaoy�. , �lfglon��ex or ttstioasl o�i�.G�a� �geacy'�osy�bfllqr to ss�tun!ah
M greer�st tor lnterla»ficnl ai • •� lavol�dl�crlrolr�qon�oIe1y o�the bouain�tbraugh nrw or red�ncfad '
oom�plsiala la l000rd�r►o�vvii��CAR bail�oi e�WR1�tstu*o��luldioap ars app°oaahe�to tbs
!le.ii mty oaattit�ste woh a aa eoam�sd tae tb� ol � +W�ai►'�lat�r�aa
. , Memoraadum ot L1ndantsnding. � dstertutr�tn�el�pb for iacastir� �u'u�or oomplie�aa te�alqua�. .
'(G7'Y'h�a�ec�y mwt d�mautnu b ' N)Acth�liki to dwalo�sad a�oaduc
HUD thAt t1u y{eaay Itss aooep4bI� ' I�or the �oi para�aAb(NJ, s tastWg or�udidq9 A���+P��
. �edures tor 000�doa witb otba � �bov�,a ase�cnnridend to bs proteor�d clw�t or sp�at�1 markst
fund�d�enoiu pavt� . ctoae sndet oontraot!i lt le�Wd�sd to u�ea�ta l�ir Aou�tc,g admlaistc�tivs,
oo�camnt�urlidictlo�r. �contractin8 aSenoY!or lnve�tl�tioa entarcement oe lttf�atloa.
(Ul't'he aasncy m�t aot adtat�rsTly� �nd aooeptsd b�r ibe Regtoaa!O�tca fa� (�I Acdvlda�sd to ldrotlty p�
roctuoR tM kve!etl�er�oi�l re�our�a� pRYn►�at�nd�etl��f�a�lld�tatus a+d or�ubtU qr�cqas bowiaa
owxtntly cott�aallted to itlt Los�efr� lundtap cpn�at. diacric►l�►atkn aad to Implm�eat '
aomplalnt procwtn�8u�ga!utd�taff I8)'��agency mwt b�w eag�ed W D�Yms lo elltdna�ta wd�prae�kea
roduWtotst oocs�loaed by��d�� • ooa+preAeutve aad thoroug5 fF�/lotivttlN deti�ned to sddrest
eCtiOA aqtNdllha pooaerod o(tb�a�sy• inveW�ativ�acUvfWt f�alattw io � ��folenc�as�d 1atf�aldatlon aHettia�
• wiU noG alo�a rewtt!n a dstaadbatloa. camp�a��dosl-Bled with HUR a � eq+�al howfr�oAP�7•�
oI tnellglb!litp.iio�r�var.i�tJD vrN t�ks deterralned�y}{Up�ed aat tb mat , activi�e�may ino�ads educaUoe.
�nch acdon�iala oc�ddtntlot►t� .� . recant aarnu(pes{onnencs etahutka� techntca!udstaaoa►ar the devob�nr�e
a��eufs�tba ongola�rl�bllfe�01 m nnder�A(�p�7�y��b , ot pro�rsm�!�e pr�vendan aad
agency'�lafr hou�ir��tata et�d �. . naonitoelp;tb�t�aher,!or tb�p�ve�rtod teaponte.
, .�� FROM�HUD FH&EO WASH DC TO�CHICAGO RO C626 WJ) MAY 6, 1991 12�44PM tt655 P.05
J ' � 20502 Foderet I2egister / VoS. 58, Na. 88�/ Prlday, May 8, 1991 /�Notices
: • • - —
(0)Acdvitiet deNgaed to coordinate (C)For all aepaclty building propoaal:.No applicetion teceived�fto,
. falr houetng enforcement eftorte of• � applicanta,iaformauon to�aatify the the closir�g dats wlU be consldend
governmontsl enforcement egeactoe amounl of funda roqueited includlr►g the (d)Negotisttone;Aiter eubnUsefon ot
wtth verloue community reeourcee need for the activtties propoeed and the the applicaUon,but bofore the sward,
which have an lmpact on the pteventton number af fatt houaing complainte � yUp�Hy require that applicant�
or ellminatlon ot�discrlmiaa�ory houatng praoee�ed sturing the previouo fiecal � pa��pete in t�egotlattom and eubmil•
practico�. • year. . • • appllcetfon rovipfpne reeulting ttOm
(ti).Techt�laal e�slotae�e activltto�to (b)Certi�iC8tI0i1 � t11088 neg01l8t108�.HUD exp�eb to
enable egenclos to work wlth prlvate • (i}The appllcant muot certiP�that: �,eke awerd�,wi n
feir houttng groupe,aducationa! • (A)7'ho�ubml�alon ef fho a lloalion � four weeka aitet
In�tltutloni,the reAl eatate[r�duatry,and 1�authorized under State oe local law a88otlaUow ere�ucoe�efuqy'admploted
. olher pNvate e�nd governmenlal on,titics. (aa eppUcable),and the applicnnt -- (e�NotlAcetion:M applicatlon tor
to e1Lr►Inpte or prevent housing , posoesaea tho legal authorlty to carcy funding will ba conddsrad approved a�
. dlecrltn�nation. • out the activltla�propo�ed In the of the dsta of H[TD'�wNtten otter te the
(1)Aatfvitie�to provlde�etvice�to appllcatlan. - � appllcant to enter fnto R 000perat(vs �
aggrioved ladividuale,coaotstont with . (B)The agency will adhers to s agr�emenG �
'righta and temedte�under epplicable written agreement emoreadum of �
Federat,State.and local law� � Underatandfng or ln�ei nUm ABresmeat � ���e oE Fw�ding lnatrument• '
prohlbi!!ng diecrimination 1n housing. gavonitng all fafr housing re�enal � Appilcen4 wilt be furided unde;tixed-:
� (Jj Afflrn1aUve merke p�1�e CooppTative Agreeroent�. �, � .� �,
ting acUvftle�to activiyr nnd complatni proceaging� ,
inform perione of housing opportunitiee �between the agency and the,approprinte Checicltrt o!'App�tc�don�Submlaelori "
with reapect to government-aa�iated HUD Reglonal Offlce. ' Requlremeati �: � � '' ���:`�', .�� �'
housing and the privete houeing market: (C)An spplicaat for teceQtive fundo A checkli`t for a UoartU to follow
(K�Activltie�dealgnod to lmpmve • muet aiso certify;on the beiia oi the �l be�inciuded t�the a lication kit.
Invcsttgatione o!eyotemic suppocttng dxumentation:ubmitted. '. PP
discriu�inatlon tor turthez pro�eesing by thet z0 pereent of the fundo epent by the Correctton�W Degclent Appllcattoni ..
State and local agoncleti HUD,or the agency foe lair houetng ectivitlaR ta ths �
.. Department oi ustloe. � , agency'�'mo�t rsaendy caacluded fleeal (aj Applicante wlll b�gfven an ' �
(I,j Fair houa�ng tralNiig for ' ' •� .year were'hom aon•Federal eources. apDorlunity�to Cure noneubttantive;�•T'�
, onforcement agancy etnfE • ' ' (c)To roceive capaclly building or ' techaicsl deflcfeacies!n their ' "'
, (M)Activltie�deelgned to create, . irrcentive fuading,app]lcante must appllcatlons.App!lcation�for capactty
modlty,or lmprove ea agency's . eubmit ell intormation requtred in the building and ineobtive funding will be
• complalni infora�ation end mon!loring PHAP appllcation kit.1'he amount snd tevfewed upo�t tecelpt[or comp�etenese
capectty�to ueure the�t it,oyetem i� method of determtnir+�.��an eligible • • and contora�lty with 2�CFR part iii. •
compat�ble with N11D'a tor inteinal � �- egenc�r'�Ce}�acity buitdiag or lncentivs � With nepect to any application�tot' •
• monitoring af Eair housing�omplaint � fundl�sg will be Included in tbe �undtng tn whlch the reoponslble HUI?�
� activity. • . • applioation klt.Contrlbutione ngencle� Regtonal Oftice ha�iound deftctenctea�
(N}ActivlEles dealgnsd to achieve that are oligible for fundtng to support we Reglonal Ofilce wtll netify the ��
�eubstentlal equivaloncy cerUflcation trelning and complatnt prooea�ing appllceat ia wrltln�oi the deftclencle`
'(e.g.,amending relevant lawe). activitteo wlil automatloelly bs eent e found.The app)laant mt�4 withiA 1� :
; IV.SaJ�o�lon Crlterte . Cooperetive Agreemisat and are not . • daye of reoeipt of aotifloado��from tho,�
• roquired to oubmit an appbcatton.'Pbe ����0����at the deficteuo
� (a)Genera!Inattuction4 Coverning , agreement will inolude tha allotment for: � pr su I Y
Applicatlond!ar Aealatance . � tralning and caes procee�ing eupport� PD Y�e additlonal[ntormatiou the
(i)Euch eppliaation Eor capacity ' W��re8pect to egendee eltgible for �e kegloaal Offfoe�reque�t�,HUA wlli:
bupdiug or Incentive Eunds must Include; ��nqve fundi,the amount spproved �nslder w•appllodAt`�failure to , ' �
� • (A)A de�cripifon of the sppllaant eleo wil�be included in the egreemenG ' �pond epp�petately rvlthln the 3l�a;
egenoy'a propo�ed activitie�end � (Approved by OMB undsr aontrol • period�i�n abandonment of,the ,
ob�ootive�.Appllcanb who recetve number 26Z9-pppb.j • � • � appltcntloa. � ,.: �. . , . , .
tunding under the Bducation a:sd A ���aoa�,s • ' : . Th0 kind�bf taOhNca1 defid�enoles
�Outreeeh 1Ntlattve oi the pair Houeing • Pp • • - wMch cat�be'otued after the Rubmleeior
' I n l t l a t i v o�P r ogr a n n(I�'}Q p��n F y i g g l � (a)App l iaatlon k 1b wlll sutomatica l(y date for applioation�ha�paa�ed telate�
wlll not be ah l e to use ItHAP funding to• be sent to eligtble 6tata and loaal falr to ftera�that(1)are not neeeosary for
euppo�t the eame acllvltie�funded undar haueing agencie�by the Regional Offlce }�p�@w�der the oelecdon � ��
�'E1IP,(To promote applican!swarea�e� . wlth geographio respoaalbllity�or�uch Crlterla/rattfclr�g factora;and(2j cAanot
of I�HIP funded aotivities being egency.itequvet�for�ppltcetlon klu be eubn�ltted,aner the eppllcallo�due
conducted by other e�goncie�wfthin Ihe may aleo be mads by telephoae,(202j date ha�expired.to lmprova the �
lame�uclsdictJon or geograpAfcal area, 708-0455.
, HllD will provfde e lieting in the . (b)Completod applicatfate ere to be subatanttve quallty af!he proporal.
appllcetion klt of ail agencie�and iubrriitted to ths Regional�tHoe!n • Ib)ApPeal:U the appllaant I�notlfled
' organtxatlom oeleated for tunding under which the applying agency!i loaated. bY�e Re�iot�at Offta lbat� .
the FH1P.Thla wilt help ensure that any . Addreeeee wlll bs includad la the notwithetanding!t�attempt to oorrect
� of tha aoNvitle�to be funded under FtIIP ap llaatlon kit. � the delicienay or aupply!he requeated
in the tame iurledlctlon or geographlo �o)Ari appllcatlon Ior tunding under tnformaUon,ibe Appllcant hee fefled to
area wlll not be dupllaated by eativluee thfe notloe mu�t be submitted by the do�o!n th�detecntlnetfoa oi th� •
funded under thie[VOFA.) date epecttled!n ths appllcatlon kit, Reglonel Of9ce,the tppllaant ma�• .
(B)A�chedule lar coiapleUon and . AppUaant�wiq have at lea�t s0 day� eppeal tl�l�determinatioa ta ths
eotlmsted coet of osch propo�ed ' �fter the appl[caUon kJt beoome� Aa�fotant 8earetery for t�atr Hou�tng
actfvlty. •avalfable to preparo dnd�ubmft their end�qusl ppportunity. �
� ` �'yFROM�HUD FH&EO WASH DC TO�CHICAGO RO C626 �J� MAY 6+ 1991 12�46PM #655 P.06
„ � ti . .
� . , t�ederal Re�leter / Vol. b9� No. 88 I Friday. May 3, l991. 1 Noticee 20509
• Otb�t M�ttas �recutivs Order��The Fomlly tl�e Sut�a or thetr Juri�dictlone wltb the
� Lob6 ! Activlelea-�Prohlblt�on ond 7'he Gettictai Coun�el,��tke F�O� ��"°��'
��8 A M�of No 8lgnif{cent la�pact
b� a�� pe.tgaattd Otflai�l w+dar�xecuttve witb rN�t to th�envlranmsnt ba�
'�'he u�ot�und�awarded ander lht� �0��'�e FamUy�bu�deteemined �QA mad�in acaord�na wltA HUD
that thi�NOI+A wUf not heve potentlal � ��ont at u CFR ert 60,whtcb
NOFA f�subJeet to tbe dl�clo�use � P
stgnlElcaat imp�ct oa tamlfy ioematloa � l�e�t�ecltoA!OZ(Z)(C ot the
requlro:aenb aad prohibiticns ot�actSon �alntenaact.�nd aeneral well bet� P
810 O�t}tf Dlp�!lY�f�AI Ot tlff itllaNe�r�nd �na,tberofote,u aot�ub�ect to rsview N�yO�a��'01�eea!Fo ey Act ot
Reloted enater Approytl�tias�s Aot tu�det tb�otdet.7'b�Np�'A�Ineot�as lt� 196�.Tbs Fladln�oi Na Slgnifio�nt •
tor�i�oal�eu l�AO(Pub.4 lOa�t� �d���u bowin�e,ntorwm�at �pi�t1 av�tlable!or pubUc inepa�llon
and tb�Implu�enting regW�Now at ea activlttu of Sut��nd loc�l sgoaefa� �twNa»o a.m.�ad b:�op.m.
. !�R e7�(p�bruary s8.iveo�.Tha� wW�s�lst iamWes who ar�tM viotlw� 'Weakd�yr� ie�tb�Oifta ot the Rufae
. : .�utAmttte��e��raly►prohiblt rstlptfay • o!dt�aiminatory bou�in�ptaotloea., •. Dock�t Clerk.Qfdce ot tb�Ceneral'
ot Pedenl ooatc�et�►8�►b�or 1aa� Coviwl.0rp� �rta�t oi Howle�g and•� .
. lromn�anpropeist�d fi�d�fae . �cec�tlw O1der t$dt��id`ro!!im: . U�w Dw�lo�aent��room x08fe►�6i '
' tobbyla�th�Bxecatlw or�tiw Th�C�ae:a1 Cousuel.�i th��' � 8�v e a�h S w s�6 W..ti V a�htng t v n�D C' �
Snuwbs�of 14�1'eda�t go�rnmeat la Dest�ated Otfld�l noder ieetion b(a�of �'�e Gt�log ot pidatJ Aomeatlo •
. ' oows�otioas witA a rp�lila 000M�cl� Bxecuaw�r s�as���U�m.bu
�raat�or loan.'i'h��rohib3tfoo�l�o d�brml�ed tb�t thi�NOFA wIN not A�Lt�acs program nw�bu u fMOi.
•oown tb�awudl�ot aastraob.Fenb. • baw ab�tantlab oiroct afieeu on . AwMelt�rr►afr Howf�Aa t1�Ua.C. .
� oaop�radw�meet�.oe low nalew Sute�►on t�utr polltial u�bdivbloa�.ar �-io'k i�•�(d)brp�r►a�t ot Hoiuln�
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