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Guide for Review of Procurement Name of Program Participant: FORMTEXT ?????Appropriation(s): FORMTEXT ?????Staff Consulted: FORMTEXT ?????Name(s) of Reviewer(s): FORMTEXT ?????Date: FORMTEXT ?????NOTE: Most questions that address requirements contain the citation for the source of the requirement (statute, regulation, Federal Register notice, or grant agreement). However, in some instances, a controlling document (i.e., grant agreement or Federal Register notice) is provided without a specific citation. This is because requirements can vary significantly from appropriation to appropriation, causing the applicable regulations, grant agreements, and published Notices to vary accordingly. If requirements are not satisfied in these instances, HUD should ensure that citations to the source of the requirement are appropriately noted in the section identified as “Describe Basis for Conclusion.” In addition, certain requirements may only apply to certain program participants; carefully review the citation to determine its applicability. If a requirement is not met, HUD must make a finding of noncompliance. All other questions may not address requirements, but are included to assist the reviewer in understanding the participant's program more fully and/or to identify issues that, if not properly addressed, could result in deficient performance. Negative conclusions to these questions may result in a "concern" being raised, but not a "finding."Instructions: Use this Exhibit to monitor a program participant’s procurement of goods or services through its Community Development Block Grant disaster recovery (CDBG-DR) award. This Exhibit is divided into two sections: All Program Participants, (applicable to all program participants); and State Program Participants (applicable to state program participants). For All Program Participants, if the program participant is a unit of general local government that is subject to the 2013 edition of 24 CFR part 85, or if the program participant is a state government that is applying the 2013 edition of 24 CFR Part 85 in full, please use Exhibit 3-20, Guide for Review of Procurement, supplemented by section A of this Exhibit; otherwise, if the program participant is a unit of general local government that is subject to 2 CFR part 200, or is a state government that is applying 2 CFR part 200, please use Exhibit 34-2, Guide for Review of Procurement, supplemented by section A of this Exhibit. For State Program Participants, please use Exhibit 4-7, Guide for Review of Administrative Financial Management Requirements, supplemented by section B of this Exhibit.In general, Federal awards made (obligated) prior to December 26, 2014, should be reviewed against the regulations codified in 24 CFR parts 84 and 85 (2013 edition), as well as the 24 CFR part 570 (2013 edition) program regulations, unless otherwise provided by the terms of the Federal award (for example, where the terms of a Federal award made prior to December 26, 2014, state that the award is subject to regulations as may be amended, the Federal award is subject to 2 CFR part 200 and program regulations as amended). Federal awards made (obligated) after December 26, 2014, as well as awards made prior to December 26, 2014, which include terms that state that the award is subject to regulations as may be amended, should be reviewed against the Uniform Requirements in 2 CFR part 200, as well as the 24 CFR part 570 program regulations as amended. However, as mentioned in the NOTE above, requirements associated with CDBG-DR grants can vary significantly from appropriation to appropriation, which can result in the applicable regulations, grant agreements, published Notices, and general rules of thumb described in these instructions to vary and, as a result, some State CDBG-DR program participants may be subject to the procurement standards in 2 CFR part 200. CPD staff should, therefore, first identify all sources of requirements related to the grant being monitored in order to determine the applicability of requirements and questions in this Exhibit through reference to Attachment 6-1, the Disaster Recovery CDBG Supplemental Grants Document Reference Tool, and any applicable statutes, regulations, and Notices.For more information on whether compliance should be monitored against 24 CFR part 85 or 2 CFR part 200, CPD staff should refer to Notice SD-2015-01, Transition to 2 CFR Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, Final Guidance, dated February 26, 2015, (available at: ) (“Transition Notice”) and Notice CPD-16-04, Additional Transition and Implementation Guidance for Recipients of Community Planning and Development (CPD) Funds for 2 CFR Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, dated April 13, 2016 (available at: ) (“Additional Transition Guidance”)Questions:A. ALL PROGRAM PARTICIPANTS1. Procured contracts reviewed (list all): FORMTEXT ?????2.In each reviewed contract or agreement, has the program participant incorporated performance requirements and penalties (liquidated damages)? [As applicable under relevant Federal Register notices] FORMCHECKBOX FORMCHECKBOX FORMCHECKBOX YesNoN/ADescribe Basis for Conclusion: FORMTEXT ?????3.In each reviewed contract, has the program participant clearly stated the period of performance or the date of completion?[as applicable under relevant Federal Register Notices] FORMCHECKBOX FORMCHECKBOX FORMCHECKBOX YesNoN/ADescribe Basis for Conclusion: FORMTEXT ?????4.Has the grantee posted the following to its website: [As applicable under relevant Federal Register Notices]Procurement policies and procedures? FORMCHECKBOX FORMCHECKBOX FORMCHECKBOX YesNoN/AAll contracts procured with CDBG–DR funds? FORMCHECKBOX FORMCHECKBOX FORMCHECKBOX YesNoN/Ac. The status of services or goods currently being procured by the grantee (e.g., phase of the procurement, requirements for proposals)? FORMCHECKBOX FORMCHECKBOX FORMCHECKBOX YesNoN/Ad. A summary of all procured contracts, including those procured by the grantee, recipients, or subrecipients? FORMCHECKBOX FORMCHECKBOX FORMCHECKBOX YesNoN/ADescribe Basis for Conclusion: FORMTEXT ?????B. STATE PROGRAM PARTICIPANTS5.Has the state established or adopted procurement policies and procedures? NOTE: State program participants are not required to formally establish or adopt policies particular to disaster recovery. Rather, they may use pre-existing policies and procedures established by the state and applicable to the administering agency as a whole. The reviewer should obtain a copy or citation of the state’s procurement policies and procedures. FORMCHECKBOX FORMCHECKBOX FORMCHECKBOX YesNoN/ADescribe Basis for Conclusion: FORMTEXT ?????6.Has the state submitted documentation that it has “proficient procurement processes” by providing its procurement standards, and has it indicated that it has either (a) adopted the procurement standards in 24 CFR 85.36 (2013 edition) or 2 CFR 200.318 through 200.326, as applicable, or (b) established its procurement standards that align with each procurement provision of 24 CFR 85.36 (2013) or 2 CFR 200.318 through 200.326, as applicable? [As applicable under relevant Federal Register Notices] FORMCHECKBOX FORMCHECKBOX FORMCHECKBOX YesNoN/AHas the grantee indicated which personnel or unit are responsible for each item listed? FORMCHECKBOX FORMCHECKBOX FORMCHECKBOX YesNoN/AHas the Secretary certified that the state has proficient procurement processes in place? FORMCHECKBOX FORMCHECKBOX FORMCHECKBOX YesNoN/ADo the policies and procedures specify the acceptable methods of procurement (e.g., small purchase, sealed bid/formal advertising, competitive proposals, and noncompetitive proposals) and their applicability? [24 CFR 570.489(g)] FORMCHECKBOX FORMCHECKBOX FORMCHECKBOX YesNoN/ADescribe Basis for Conclusion: FORMTEXT ?????7.Do the policies include standards of conduct governing employees engaged in the award or administration of contracts? FORMCHECKBOX FORMCHECKBOX FORMCHECKBOX YesNoN/ADescribe Basis for Conclusion: FORMTEXT ?????8.Did the state review contracts to ensure that they are in compliance with the applicable policies and procedures? FORMCHECKBOX FORMCHECKBOX FORMCHECKBOX YesNoN/ADescribe Basis for Conclusion: FORMTEXT ?????9.Do the reviewed contracts confirm that neither of the following cost methods — cost plus a percentage of cost, or percentage of construction cost — were used? NOTE: Per §570.489(g), the cost methods of “cost plus a percentage of cost” and “cost plus a percentage of construction costs” are not allowed. “Cost plus a percentage of cost” contracts are those in which the amount of profit paid is calculated as a percentage of cost, so that profit increases commensurate with increases in cost. In other words, the fee rises as the contractor's costs rise. “Cost Plus a Percentage of Construction Costs” contracts are those in which the amount of profit paid is calculated as a percentage of construction costs, so that profit increases commensurate with increases in construction cost. Both types are disallowed because they provide little incentive for the contractor to control costs, and there is limited certainty as to the final contract amount. FORMCHECKBOX FORMCHECKBOX FORMCHECKBOX YesNoN/ADescribe Basis for Conclusion: FORMTEXT ?????10.Do reviewed contracts include clauses required by federal statutes, executive orders and implementing regulations (e.g., those found in 24 CFR 570.487)?[24 CFR 570.489(g)] FORMCHECKBOX FORMCHECKBOX FORMCHECKBOX YesNoN/ADescribe Basis for Conclusion: FORMTEXT ????? ................
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