DRAFT Provisions for FY2017 CC TA Awards.pdf

Fiscal Year 2017

TECHNICAL ASSISTANCE AND CAPACITY BUILDING PROGRAM

COOPERATIVE AGREEMENT PROVISIONS

General

Federal Requirements

Order of Precedence

Award Budget

Period of Performance

Post-Award Administration

Responsibilities of the Awardee

HUD Responsibilities

Amendment of Agreement

Organization and Key Contacts Updates

Standards for Financial Management Systems

Eligible Program Activities

Labor Rates

DRGR System

TA Portal

Work Plans

Allowable Costs

Pre-Award Costs

Payments

Program Income

Profit or Fee

Indirect Costs

Prior Approvals

Procurement

Subawards, Contracts, and Consultant Agreements

In-Person Conferences, Trainings, and Other Events

Sanctions, Suspension, and Termination

Disputes, Claims, and Appeals

Paperwork Reduction Act

Deliverable Products

Publications and News Releases

Restrictions on Printing

Real Property

Intangible Property

Rights in Technical Data, Computer Software, and Copyright

Privacy Act

Lobbying Activities Prohibition

National Policy Requirements

Whistleblower Protection

After-the-Award Requirements

Audit and Access to Records

Desk Reviews and Site Visits

Financial and Program Performance Reports

FFATA Reporting

Attachment 1. Guidance on Eligible Community Compass Activities

Attachment 2. Basic Work Plans Standards

Attachment 3. Record Retention

Attachment 4. Monthly Billing Requirements

Attachment 5. Instructions For Requesting and Receiving Payments

Attachment 6. Labor Rate Schedule

Attachment 7. Property Statement

Attachment 8. Inventions, Patents And Copyrights Statement

Attachment 9. Closeout Certification

Attachment 10. Approval for In-Person Conferences, Trainings, and Other Events

Attachment 11. PIV for HUD’s IDIS

Attachment 12. Non-Disclosure Agreement (NDA) for CoC Competition

General

(a) Purpose. The terms and conditions for implementing the Technical Assistance and Capacity

Building Program Cooperative Agreement (“Agreement”) are contained herein (“these Provisions”). The use of funds obligated to this award is subject to these Provisions.

(b) Definitions. The terms used in these Provisions are defined within the documents referenced in the Federal Requirements section (below). The following additional definitions also apply to this

Agreement:

(1) “Award” refers to the Technical Assistance (“TA”) funds obligated by HUD and subject to the terms and conditions of this Agreement.

(2) “Awardee” is the recipient of the TA award that is the non-Federal signatory of this

Agreement.

(3) “Technical Assistance Provider” refers to any awardee or sub-awardee or contractor charged with undertaking technical assistance and/or capacity building activities using funds obligated to this award.

(4) “Cooperative Agreement Officer” is the authorizing HUD official and HUD signatory on the

HUD form 1044 accompanying these Provisions. The responsibility to protect HUD’s interest related to the terms of this Agreement is vested with the Cooperative Agreement Officer, with assistance from other

HUD staff, including a Government Technical Representative (“GTR”), a Government Technical Monitor

(“GTM”), a Program Office Technical Assistance Coordinator (“POTAC”), .

Federal Requirements The following requirements, as amended, are applicable to funds awarded under this Agreement, and are incorporated by reference:

1. 2 CFR part 200 Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards. As allowed by 2 CFR 200.101 and 2 CFR 200.501, subparts A through E of this part are also applied to commercial organizations, including small businesses.

2. General Section to the Department’s Fiscal Year (FY) 2011 NOFAs for Discretionary Programs, available online at:

https://portal.hud.gov/hudportal/HUD?src=/program_offices/spm/gmomgmt/grantsinfo/fundingopps.

3. FY 2017 HUD Community Compass Technical Assistance and Capacity Building NOFA, available online at:

https://portal.hud.gov/hudportal/HUD?src=/program_offices/spm/gmomgmt/grantsinfo/fundingopps.

4. Certification, assurances, and documents included within and accompanying the Application for

Federal Assistance, SF-424, and the Administrative and Financial (“A&F”) documentation.

5. Any other applicable Federal laws, regulations, executive orders, and agency-wide notices and policies.

Order of Precedence The following order of precedence resolves any inconsistency or conflict in the terms and conditions specified in this Agreement, or HUD standards, policies, and procedures issued subsequent to the execution of this Agreement:

1. Federal laws, regulations, and policies applicable to this Agreement.

2. The terms of this Agreement.

https://portal.hud.gov/hudportal/HUD?src=/program_offices/spm/gmomgmt/grantsinfo/fundingopps https://portal.hud.gov/hudportal/HUD?src=/program_offices/spm/gmomgmt/grantsinfo/fundingopps

3. The work plans approved by HUD.

Award Budget

(a) The total dollar amount obligated to this Agreement is identified on the HUD form 1044, as the

“Total Instrument Amount.” The amount establishes the ceiling for the total payment of allowable costs during the award period of performance; the total amount of all payments made under this award must not exceed the ceiling amount. HUD will not reimburse the awardee for costs incurred beyond the dollar amount obligated to this award.

(b) The funds obligated to this award may represent a pool of funding sources. A list of the sources and associated funding are included on the Approved Budget, which accompanies the HUD form 1044 and is included with this Agreement. The funding sources are also referred to as “projects” for this award. The funding sources are included in the DRGR System as “projects.” The awardee must not reallocate funds between the “projects” without prior written approval from the GTR or Cooperative

Agreement Officer. And, the awardee’s financial management system must track award funds by funding sources.

(c) In addition to direct costs and indirect costs, the program-specific cost categories for this award are the funding sources or “projects” included on the Approved Budget page of this Agreement.

(d) Unless otherwise authorized by the Cooperative Agreement Officer, written approval by the GTR or Cooperative Agreement Officer is required before the awardee can use the funds obligated to this

(e) HUD does not amend awards to provide additional funds for such purposes as reimbursement for unrecovered indirect costs resulting from the establishment of final negotiated rates or for increases in salaries, fringe benefits, and other costs.

(f) If additional funding becomes available after the execution of this Agreement, HUD may consider funding the awardees up to its full funding request—the amount identified in box 18a (Estimated Federal

Funding) of the SF 424 (Application for Federal Assistance) submitted with the application. HUD will not award to any organization funding in excess of the Estimated Federal Funding amount listed on the

SF 424.

Period of Performance

(a) Unless extended, the period of performance for this award is thirty-six (36) months, and begins on the date noted at the top of the HUD form 1044 executed with this Agreement. This date is also referred to as the “effective date” for this award, unless otherwise provided. The funds obligated to this award are available for use until the end of the period of performance.

(b) Services provided using funds obligated to this award shall be provided in accordance with this

Agreement and during the period of performance, unless otherwise noted.

(c) HUD reserves the right to amend or terminate this award in accordance with provisions contained in 2 CFR 200, or at any time prior to the end of the period of performance.

(d) HUD reserves the right to extend the period of performance for cause. However, the period of performance may not be extended beyond September 30 of the fifth fiscal year after the year of availability, as stipulated by 31 U.S.C. § 1555(a). This Federal provision may also limit the availability of funds for carryover.

Post-Award Administration

(a) The actions taken after the execution of this Agreement and pursuant to this Agreement are collectively known as post-award administration. The goal of post-award administration is to ensure that both HUD and the awardee meet the terms of this Agreement.

(b) The GTR, the GTM (or the POTAC) assigned to this award will assist the Cooperative Agreement

Officer with day-to-day performance oversight and monitoring of the awardee and compliance with the terms of this Agreement. The GTR will provide technical advice and direction related to the work required by this Agreement. The GTR is also the principal judge of the awardee’s performance, including the awardee’s ability to control costs of performance. The GTM (or the POTAC) will provide direction on the quality and timeliness of TA products and activities and, when appropriate, will provide feedback to the GTR and Cooperative Agreement Officer on the awardee’s overall performance. Subject matter experts and other HUD program office staff (including HUD field office staff) assist the GTM or the

POTAC but may not provide direction to the awardee, outside of the scope of an approved work plan.

(c) The Cooperative Agreement Officer is responsible for assigning a GTR to this award and, if necessary, at least one GTM or at least one POTAC. HUD’s Technical Assistance Division (TAD) will communicate in writing the name and contact information for the GTR, and the GTM (or the POTAC) assigned to each award.

(d) HUD’s Technical Assistance Division (TAD) provides technical and administrative support to the awardees of HUD TA funds; and serves as a central point of contact for announcing, obligating, and awarding HUD TA funds. TAD also prepares and publishes policies, procedures, and guidance specific to HUD TA awards and applicable post-award requirements. Monthly meetings and workshops with

HUD staff and awardees are coordinated and organized by TAD.

(e) HUD substantial involvement. As allowed by The Federal Grant and Cooperative Agreement Act

(31 U.S.C. § 6301-08), HUD intends to have substantial involvement in the development, review, and approval of all aspects of the work to be carried out under this Agreement. The responsibilities of the awardee and the responsibilities of HUD are included in this Agreement. These responsibilities may be amended after the execution of this Agreement, as necessary to resolve conflict within this Agreement, or to effectuate changes in HUD or Federal regulations.

(f) Demand-response system. The post-award administration shall operate within the structure of

HUD’s demand-response system. Under the demand-response system, HUD identifies technical assistance and capacity building needs and prioritizes those needs based on Departmental, programmatic, and jurisdictional priorities. HUD assigns the awardee to provide technical assistance, based, in part, on the awardee’s expertise and experience. The TA assignment includes the name of each HUD customers that needs TA, the general scope of work, including the gaps in skills and capacity, and the point(s) of contact for additional information about the scope of the assignment. The awardee must propose a work plan, including the appropriate method to deliver the technical assistance. The awardee may not begin carrying-out the plan until the GTM (or the POTAC) and the GTR approve the plan, unless otherwise authorized by the Cooperative Agreement Officer. A work plan must include the standards required in this Agreement, and other requirements for the TA program. Defining the scope of a work plan, finalizing deliverables, and monitoring performance of planned work are actions requiring collaboration between the GTR, the awardee, and the POTAC (or the GTM).

(g) The successful completion of this Agreement depends heavily on a team effort between the awardee, the GTR, the Cooperative Agreement Officer, the POTAC (or the GTM), HUD field office staff, and HUD customers receiving technical assistance.

Responsibilities of the Awardee

(a) The awardee of this Agreement is responsible for developing a plan in response to HUD-approved technical assistance assignments. The work plan must include an approach to address the customer’s technical assistance needs and priorities determined by HUD. The plan must include only the eligible activities supported by this Agreement, and must conform to the standards for work plans (see

Attachment 2).

(b) To the extent possible, the awardee must ensure that each HUD customer receiving TA is aware of the scope of the TA engagement; must ensure that each customer participates in the development and delivery of TA, to the extent appropriate; and any meetings with the customer are planned in advance.

When directed by the GTR, or the POTAC (or the GTM), the awardee shall provide the customer a copy of the work plan approved by HUD–excluding any associated costs and labor rates in the work plan.

(c) The GTR or the POTAC (or the GTM) may direct the awardee to include in the TA work plan the specific responsibilities of the awardee, HUD staff (including HUD field office staff), and the customer, as it relates to carrying-out the plan. HUD sometimes refers to this direct as a memorandum of understanding. The awardee must comply with the directive to ensure full implementation of the work plan.

(d) When requested by HUD, the awardee shall conduct a needs assessment to identify the type and nature of the assistance needed by the HUD customer receiving TA. The awardee shall report the results of a needs assessment in writing to HUD.

(e) When so directed by HUD, the awardee will coordinate its TA work plans and other activities allowed by this Agreement through a lead TA provider; or may coordinate TA plans and activities with other providers that may offer additional expertise on a given topic or that are currently active in providing assistance in a jurisdictional area.

(f) The awardee of this Agreement must submit all requests which require prior approval in accordance with the terms of this Agreement.

(g) In the event the awardee, or any consultant or contractor of the awardee, deviates from any terms included in the HUD-approved work plan, or any other term or condition in this Agreement, without the written approval of the GTR or Cooperative Agreement Officer, such deviation shall be at the awardee’s own risk, and any associated costs for unauthorized deviations shall not be borne by HUD.

(h) The awardee of this Agreement has full responsibility for compliance with the terms of this

(i) The awardee of this Agreement is required to furnish the necessary personnel, materials, services, equipment, facilities (except as otherwise specified elsewhere in these Provisions), and do all things necessary or incidental to the performance of the work established in the work plan(s).

(j) The awardee of this Agreement shall immediately notify the GTR the GTM (or the POTAC), and the Cooperative Agreement Officer of developments, including all challenges and barriers, that have a significant impact on the award-supported activities. Also, written notification shall be given to the GTR the GTM (or the POTAC), and the Cooperative Agreement Officer in the case of problems, delays, or adverse conditions which materially impair the ability to meet the objectives of this agreement or work plan. This notification shall include a statement of the action taken or contemplated, and any assistance needed to resolve the situation.

(k) Substantial involvement (as defined by The Federal Grant and Cooperative Agreement Act (31

U.S.C. 6301-08)) is expected between HUD and the awardee of this agreement; however, overall management of the activities supported by this agreement, including technical, subcontractor/consultant management, reporting, and other financial and administrative matters, are accomplished by the awardee of this agreement.

(l) Conflict of interest and code of conduct. As required by 2 CFR 200.112 and HUD’s implementing notice, the awardee is required to disclose in writing any potential conflict of interest to the Cooperative

Agreement Officer and the GTR. In addition, the general procurement standards in 2 CFR 200.318 require the awardee to maintain written standards of conduct covering conflicts of interest, including organizational conflicts of interest. “Organizational conflicts of interest” means that because of relationships with a parent company, affiliate, or subsidiary organization, the awardee is unable or appears to be unable to be impartial in conducting a procurement action involving a related organization.

The awardee is responsible for ensuring that its sub-awardees and contractors comply with the standards of conduct.

(m) The awardee of this Agreement shall participate in regular and ad hoc meetings with HUD, as it relates to post-award administrative requirements, compliance with the terms of this Agreement, and in order to implement the TA activities of an approved work plan. These meetings may occur in-person, via telephone, or via any other method prescribed by HUD and allowed by this Agreement.

(n) All TA activities performed pursuant to this Agreement and in connection with HUD’s

Continuum of Care Program are subject to the nondisclosure statements and related requirements concerning the Continuum of Care Program competition, as noted in Attachment 12 of these provisions.

Awardees must retain signed nondisclosure agreements with its award file, unless otherwise directed by the GTR, the Cooperative Agreement Officer, or the GTM (or POTAC). And, the awardee must comply with those nondisclosure agreements while conducting technical assistance activities.

(o) While engaged in providing technical assistance, the awardee will not sell or promote its own or any other products or services. The awardee must neither imply that HUD endorses any product or service nor use the name of HUD or any division of HUD to sell a product or service.

(p) The awardee is responsible for tracking and reporting on actual costs by award; by project/funding source; by work plan; by direct labor costs, including staff, consultants, and subcontractors; by other direct costs; and by indirect costs. The awardee is also responsible for tracking and reporting on award, project/funding sources, and work plan performance progress; outcomes; and outputs.

HUD Responsibilities

(a) HUD is responsible to Congress and the U.S. taxpayer for carrying out its mission in a manner that positively affects the mission of agency and does so cost-effectively and in compliance with applicable rules and regulations. The Cooperative Agreement Officer is responsible for protecting HUD’s interest in this Agreement.

(b) The GTR, with assistance from the POTAC (or the GTM), will provide day-to-day oversight on the performance under this Agreement, including: technical, programmatic, financial, and administrative performances. The GTR, with assistance from the POTAC (or the GTM): (1) may participate in discussions of programmatic, technical, managerial, and/or scheduling concerns; (2) may provide technical guidance and/or advice (especially with regard to the integration, collaboration, and coordination with other technical assistance projects funded by HUD); (3) will review and, where required by the Agreement, approve work plans, technical or programmatic reports, and other information submitted by the awardee; and (4) will review and, where required by the Agreement, approve billing documentation and requests for payment.

(c) The GTR may schedule desk reviews and on-site reviews as necessary to resolve any HUD award questions, pursuant to a risk-assessment, to resolve audit issues, or as required by a Federal requirement.

(d) HUD may clarify the terms in this Agreement or standardize certain requirements in this

Agreement subsequent to executing this Agreement.

(e) Unless otherwise directed by the GTR or approved in a work plan, the awardee may not respond to direct requests for technical assistance from HUD customers. HUD is solely responsible for determining the entities to be assisted, the location, and the nature of the assistance to be provided, which must be part of an approved HUD TA work plan for each engagement.

(f) The Cooperative Agreement Officer or the GTR with assistance from the POTAC (or the GTM) inspects, reviews, corrects, and accepts all deliverables developed using funds under this award.

Recommendations may be sought from other HUD program office staff or field office staff.

(g) The GTR, the POTAC (or the GTM), and the Cooperative Agreement Officer will only request the awardee perform work within the scope of this Agreement; and will only request work that can be covered by the obligated amount of this award and within the performance period for this Agreement.

(h) The POTAC (or the GTM) is responsible for assisting the GTR with the programmatic aspects of

TA development, implementation, and follow-up. The responsibilities of the POTAC (or the GTM) include, but are not limited to, assisting with the development of TA to meet the mission of the HUD program office; coordination with field office staff and other subject matter experts at HUD; and assisting the GTR with award administration, including the review of progress reports, work plans, and payment requests; participation in monitoring visits; and other activities that assist the GTR and Cooperative

Agreement Officer monitoring compliance with this Agreement.

(i) Field Office Involvement. Field offices will participate in the assessment of need, when conducted by TA providers; participate in a HUD review committee or decision making committee (selected representatives) to prioritize and decide TA assignments; serve as subject matter experts; provide input and feedback on the needs of customers; request TA on behalf of customers; and as needed, review work plans and deliverables; be available for consultation during the TA engagement; participate in group learning to assess accuracy; and evaluate the performance of TA providers.

Amendment of Agreement

(a) At any time during the performance period, this Agreement can be amended by a formal, written amendment signed by the Cooperative Agreement Officer and the awardee. No other communications to amend the award, whether oral or in writing, are valid.

(b) The Cooperative Agreement Officer may unilaterally make administrative changes, such as changes in obligated funds, or period of performance, which affect this Agreement.

Organization and Key Contacts Updates The awardee of this Agreement must inform HUD of any changes to information that was submitted prior to the execution of this Agreement. The awardee shall use the appropriate standard Federal form listed below to reflect changes to organization and contact information. All completed forms are to be submitted via email to communitycompass@hud.gov with a copy to the Cooperative Agreement Officer and the GTR. HUD will determine the impact of changes to the awardee’s organization, and will advise the awardee, as appropriate. HUD will also keep all completed forms in its official program file, and will use the information to update LOCCS, and if applicable, the DRGR system and the TA Portal.

(a) Change to awardee’s authorized representative. Use the Key Contacts form at http://www.grants.gov/web/grants/forms/sf-424-mandatory-family.html#sortby=1 to reflect changes to contact persons. In addition, the new authorized representative(s) must read and sign the Assurances for

Non-Construction Programs (SF 424B) form (also available on grants.gov). The awardee must ensure that the change is reflected at www.sam.gov.

(b) Change to key contact person. Use the Key Contacts form at http://www.grants.gov/web/grants/forms/sf-424-mandatory-family.html#sortby=1 to reflect changes to contact persons, including names, telephone numbers, mailing address, or email address.

(c) Change to awardee organizational name or structure. Use the mandatory SF-424 at http://www.grants.gov/web/grants/forms/sf-424-mandatory-family.html#sortby=1 and update the fields with the information that has changed. The awardee must ensure that the change is reflected at www.sam.gov. In addition, changes to the organization’s Tax Identification number may require changing information in LOCCS (see Attachment 5 of these Provisions).

(d) Change to Administrative and Financial (A&F) documents. To update information submitted to

HUD during the A&F package, update and re-submit the forms included with the A&F package. The awardee may need to update the A&F documents if changes are made to the organization’s name or structure.

Standards for Financial Management Systems The financial management system of the awardee of this Agreement must comply with the standards set forth in 2 CFR 200.302.

Eligible Program Activities

(a) The eligible TA activities supported by this Agreement are detailed in the Community Compass

Program NOFA. The activities include: needs assessments; direct TA; development and delivery of tools and training; self-directed and group learning; knowledge management; data reporting, analysis and management; and NAHASDA allocation formula administration and negotiated rulemaking support.

Attachment 1 of these Provisions includes the eligible TA activities and a non-exhaustive list of sub-activities.

(b) Coordination costs. In addition to the eligible activities included in the NOFA, HUD shall reimburse the awardee for coordination costs. Reimbursement of coordination costs is allowed when two or more awardees collaborate as a team to plan for or to provide necessary direct TA and capacity building assistance to a HUD customer, or to develop tools and products or group learning materials.

HUD may also select an awardee to conduct the overall coordination for one or more TA engagements.

mailto:communitycompass@hud.gov http://www.grants.gov/web/grants/forms/sf-424-mandatory-family.html#sortby=1 http://www.sam.gov/ http://www.grants.gov/web/grants/forms/sf-424-mandatory-family.html#sortby=1 http://www.grants.gov/web/grants/forms/sf-424-mandatory-family.html#sortby=1 http://www.sam.gov/ http://portal.hud.gov/hudportal/documents/huddoc?id=2015cctacbnofa.pdf

Unless otherwise authorized by the Cooperative Agreement Officer, coordination costs charged to the award must not exceed five (5) percent of the total award amount.

(c) Administration costs. Depending on the total amount of this award, the awardee can use up to 10 percent or up to fifteen (15) percent of the total award toward administrative costs (see limitations in the

Program NOFA). The costs associated with implementing these Provisions are eligible administrative costs, assuming the costs: (1) do not qualify as work plan costs; (2) adhere to the standards of allowability; and (3) do not exceed the amount allowed and available for administrative costs.

Labor Rates

(a) HUD approval of all labor rates is required before the awardee’s staff, contractors, or consultants can incur costs under this Agreement, unless otherwise authorized by the Cooperative Agreement Officer.

HUD may not reimburse the awardee for labor costs that are not approved by HUD.

(b) The Cooperative Agreement Officer with assistance from the assigned GTR or any other HUD staff designated by the Cooperative Agreement Officer may negotiate labor rates associated with the awardee’s staff, consultants, and contractor, including rates that are deemed too high or unreasonable.

(c) For the awardee’s staff, contractors, and consultants with existing, HUD-approved rates, any rate changes submitted to HUD should be based on the organization’s compensation policy.

(d) Requests to add or change existing, HUD-approved rates for subcontractors and consultants must be based on the organization’s procurement policy and applicable regulations, and, if applicable, must include a justification statement for high rates, sole source contractor, and any changes in HUD-approved rates.

(e) HUD reserves the right to disapprove rates and/or to limit the annual total number of hours to be worked by an employee, subcontractor, or consultant.

(f) Subsequent to this Agreement HUD will publish the labor rate schedule template and procedures on the following website: sakai.lampschools.org.

DRGR System The Disaster Recovery and Grant Reporting System (“DRGR”) is an electronic reporting and payment system at HUD. The System is internally linked to HUD’s Line of Credit Control System (“LOCCS”), which houses the funds obligated to TA awards. DRGR is accessible online at:

https://drgr.hud.gov/DRGRWeb. Authorized users of the awardee shall have access to DRGR. The

System is used to manage TA awards, including access to the DRGR System; labor rates for employees, consultants, and subcontractors of the awardee organization; work plans; payment requests; and performance reports.

(a) A user account and acceptance of HUD’s Rules of Behavior are required to access DRGR. All persons with DRGR role of Grantee Administrator may request a new user account on behalf of other persons within the same organizations (including the awardee’s consultants and contractors). HUD will provide additional guidance to the awardee’s authorized users, to begin using of the System.

(b) The awardee must provide bank information in order for HUD to begin processing payments through DRGR– see Attachment 5 of these Provisions.

http://portal.hud.gov/hudportal/documents/huddoc?id=2016cctacbnofa.pdf https://drgr.hud.gov/DRGRWeb

(c) Payments approved by HUD through DRGR are transferred to the awardee’s bank account on file with HUD, using an electronic transfer from LOCCS via DRGR.

TA Portal The TA Portal is the portion of the HUD Resource Exchange where HUD and TA providers manage, coordinate, and report on TA requests, Ask-A-Question, TA assignments, work plans and TA engagements, CPD Event Requests, and the Learning Management System (“LMS”). The TA Portal is accessible online at: https://www.hudexchange.info/onecpd-portal. Authorized users of the awardee shall have access to the Portal. A user account and acceptance of HUD’s Rules of Behavior are required to access the Portal. HUD will provide guidance to the awardee’s authorized users, to use the Portal. HUD uses the TA Portal in tandem with the DRGR system, as well as information from LOCCS.

Work Plans

(a) In response to a TA assignment from HUD the awardee prepares a work plan and submits it to the

GTR and the GTM (or the POTAC) for approval before implementation. The work plan must accurately reflect the planned activities and overall agreement between HUD and the awardee to satisfy the needs outlined in the assignment.

(b) The work plan must include the standards outlined in Attachment 2 of these Provisions. Other than work plan development costs, the GTR or the Cooperative Agreement Officer must approve the proposed work plan before the awardee can incur costs for activities covered by the work plan. The GTR and the POTAC (or the GTM) may suggest the most cost-effective method to allocate the level-of-effort among cost items, including but not limited to, direct labor, consultant, contractor, subcontractor costs, and other direct costs.

(c) The awardee must ensure that any consultants and subcontractors were procured in accordance with procurement standards as found in 2 CFR 200 Subpart D. The GTR, Cooperative Agreement

Officer, or the POTAC (or the GTM) can require additional bids for a proposed contracted TA activity, when deemed necessary in order to provide the best value to the Government. See Subawards and

Contractors/Subcontractors section of these Provisions for details.

(d) Work plan submission. The awardee must submit all proposed work plans in DRGR. In addition to the DRGR submission, the awardee must submit proposed work plans in the TA Portal. The awardee shall also e-mail to the assigned GTR and GTM(s) or POTAC(s) a copy of the work plan submitted in the

TA Portal, if applicable, or the work plan submitted in DRGR. HUD will issue guidance subsequent to this Agreement to clarify the procedures regarding the use of DRGR and the Portal for work plan submission.

(e) Work plan approval. Within thirty (30) days of receiving a work plan as proper, the GTM (or the

POTAC) shall recommend approval of the work plan in the TA Portal, if applicable, or by e-mail (until the Portal is available for all work plan types); and the GTR or the Cooperative Agreement Officer shall approve the work plan in the DRGR System and, if applicable, the TA Portal. For this paragraph, proper is defined as compliant with the work plan standards in Attachment 2 of these Provisions and free of major issues.

(f) Once approved by the GTR or the Cooperative Agreement Officer, a work plan serves as the guide to the TA activities the awardee will undertake. Only the costs for eligible TA activities may be included in the plan and eligible expenses subsequently may be charged against the work plan budget. The plan may be modified if approved in writing by the GTR. The GTR or the GTM (or the POTAC) may require https://www.hudexchange.info/onecpd-portal modifications in the plan after it is approved to increase its effectiveness, ensure full coordination with other TA providers, or respond to developing conditions, including challenges or barriers.

Allowable Costs

(a) The total amount of payments made by HUD pursuant to this Agreement will not exceed the amount obligated to this award, as shown in the “Total Instrument Amount” field on the HUD form 1044

(as amended). HUD is not responsible for payment of any costs incurred beyond the total amount obligated to this award.

(b) The governing cost principles address selected items of cost. The awardee must consult the cost principles for the complete explanation of allowable and unallowable costs.

(1) The Federal cost principles, 2 CFR 200, Subpart E;

(2) The standards included in Attachment 4 of these Provisions; and

(3) The terms of the HUD-approved work plan.

(c) The allowability of costs under this award may be subject to other requirements specified in the regulations or specific terms referenced in the Federal Requirements section of this Agreement. The awardee should contact the GTR for this award, for answers to questions concerning allowability of particular costs.

(d) If a cost is allowable, it is allocable as either a direct cost or an indirect cost (or General and

Administrative cost), depending on the awardee’s accounting system. Any costs (including, but not limited to, positions under direct labor and fringe benefits) that have been included in the indirect cost pool cannot also be claimed as direct costs. Also see the Indirect Costs section of these Provisions, for additional guidance.

(e) Transportation and travel costs cannot exceed the Federal Travel Regulations rates, unless pre-approved by the GTR or Cooperative Agreement Officer; and the costs can be no higher than rates charged by the awardee for non-federal work, unless proper justification is provided to the GTR or

Cooperative Agreement Officer.

(f) Direct costs that cannot be directly attributable to this award are not allowable direct costs. In cases where HUD has a share (and not all) of the direct costs, the GTR or the Cooperative Agreement

Officer may approve an allocation plan for any such costs if the plan adequately demonstrates that the costs are allowable. The allocations must be for HUD’s share only. Any approval from the GTR or the

Cooperative Agreement Officer must be in writing.

(g) The awardee of this Agreement must request payments through HUD’s DRGR System. All payment requests must be accompanied by proper documentation supporting the request. For more on

DRGR System or proper billing documentation see the related sections of these Provisions.

(h) Where unallowable costs have been paid by HUD, the awardee will return funds to the award that reimbursed the unallowable cost, using one of the following methods: (a) a cash refund; (b) offset to a subsequent payment request; (c) credits to the amounts charged to individual awards; or (d) offset to a current award. The Cooperative Agreement Officer will determine the appropriate repayment method.

(i) Neither profit nor fee is an allowable cost under this award.

Pre-Award Costs

(a) The awardee of this Agreement may incur allowable pre-award costs from the date of the award letter through the effective date of this Agreement, provided:

(1) the Cooperative Agreement Officer has provided written approval permitting the awardee to incur pre-award costs;

(2) the approval of pre-award spending is made and documented in accordance with the awardees procedures;

(3) the advanced funding is necessary for the effective and economical conduct of the terms of this Agreement; and

(4) the total amount of all pre-award costs does not exceed the amount included in a pre-award letter issued by HUD.

(b) Pre-award costs are incurred at the risk of the awardee of this Agreement. The awardee’s authority to incur pre-award costs does not impose an obligation on HUD: (1) in the absence of appropriations; (2) if an award is not subsequently made; or (3) if an award is made for a lesser amount than the awardee anticipated.

(c) Requests for pre-award costs for periods exceeding 90 days must be submitted via email to the

Cooperative Agreement Officer and the GTR.

Payments

(a) Reimbursement Payment Method. Upon acceptance of the provisions of this Agreement, the awardee agrees to submit monthly payment requests on a reimbursement basis. Due to risks associated with the demand-response nature of technical assistance awards, HUD has imposed, as a specific condition of the award, the reimbursement payment method in accordance with 2 CFR part 200.

(1) All payments made on a reimbursement basis are made by electronic funds transfer to the awardee bank account. The awardee must complete and submit information requested on Attachment 5 of these Provisions, in order for HUD to begin to process payment requests.

(2) The awardee of this Agreement must request payments through DRGR.

(3) The required supporting documentation (Attachment 4 of these Provisions) must accompany all payment requests. The awardee must submit certain documentation with payment requests in DRGR.

(4) Payment requests should coincide with the normal billing pattern of the awardee, but payment requests are required at a frequency that is not less than once every month, when the awardee is incurring costs under an approved work plan.

(5) Each payment request is limited to the amount of disbursements made for the HUD share of allowable direct program costs and the proportionate share of allowable indirect costs incurred during that billing period. See Allowable Costs section of these Provisions.

(6) The GTR or Cooperative Agreement Officer will certify for approval of payment requests and

DRGR will automatically transmit the requests to the LOCCS for payment via electronic transfer.

(7) Tracking the status of payments. The awardee must track the status of payment requests using

DRGR and the reports generated from the System to see when HUD approves payment request, and when requests are paid.

Program Income Pursuant to 2 CFR 200.307(e)(2), the awardee must add to the funds for this award any program income earned as a result of undertaking activities with funds obligated under this award. Also, the award must use the income for activities supported by this Agreement. Before using program income, any affected work plan shall be revised in DRGR to include the use of program income.

Profit or Fee No increment above cost, fee, or profit, may be paid to the awardee or any subcontractor, subawardee, or consultant under this agreement, except as otherwise expressly provided by law.

Indirect Costs The following program-specific terms apply to indirect (or F&A) cost rates. These terms are in addition to the terms included at 2 CFR 200, including the Appendix of 2 CFR 200.

(a) Unless the awardee’s cognizant agency approves an indirect cost rate subsequent to the execution of the Agreement, the indirect cost rate that applies to this award is included on the HUD form 1044 and is incorporated into this Agreement by reference.

(b) The approved indirect cost rate that is attached to this Agreement is applicable during the period of performance of this award until the awardee’s cognizant agency approves a new indirect cost rate.

(c) 10 percent de minimis rate. In addition to the procedures outlined in the appendices in paragraph

(e) of 2 CFR part 200.414, any awardee that has never received a negotiated indirect cost rate— except for those entities described in Appendix VII to 2 CFR 200—may elect to charge a de minimis rate of 10 percent of modified total direct costs (“MTDC”) which may be used indefinitely. If chosen, this methodology once elected must be used consistently for all Federal awards until such time as the awardee chooses to negotiate a rate, which the awardee may apply to do at any time.

(d) HUD will make payments to the awardee based on the approved indirect cost rate in effect and submitted for reimbursement with the invoice.

(e) If, during the period of performance, a new indirect cost rate is approved by a federal cognizant agency which is applicable to the period of performance of this award, the awardee shall request to apply the new indirect cost rate prior to the completion of the period of performance. The new rate would only apply to costs incurred during the period of performance. Adjustments for past billings may be made from a prior approved rate to a new approved indirect cost rate during or at the end of the period of performance. However, such adjustments must be within the total amount of the award as stated on the

HUD- 1044.

(f) As described in 2 CFR 200.403, costs must be consistently charged as either indirect or as direct costs, but may not be double charged or inconsistently charged as both.

(g) The awardee is responsible for preparing, submitting and monitoring the progress of any indirect cost rate negotiations with the cognizant agency.

(h) Upon receiving any approved indirect cost rate from its cognizant agency, the awardee must forward all applicable documentation to HUD, including a copy of the new updated indirect cost rate negotiation agreement with the cognizant agency.

(i) Requirements for development and submission of indirect cost rate proposals and cost allocation plans are contained in Appendices III-VII and Appendix IX of 2 CFR 200.

Prior Approvals

(a) Unless otherwise specified in this Agreement, or subsequent policies and procedures issued by

HUD, the Prior Approval provisions of 2 CFR 200.407 apply to the activities supported by this

Agreement. The following require prior, written approval from the Cooperative Agreement Officer or the

GTR:

(1) Significant changes to a HUD-approved work plan, including: change in scope or approach to accomplish work plan objectives; change in budget, including a change in DRGR project budget (or funding source budget); change in objectives; change in modality in which activities are developed or delivered; removal or addition of a task; change in a task objective; or change in period of performance, including extension of the work plan’s end date.

(2) Change of key personnel (staff, contractors, and consultants) assigned to a HUD-approved work plan, or key personnel submitted with the initial application for this award or submitted with the

A&F documentation for this Agreement;

(3) Extension of the performance period of this Agreement;

(4) The need for additional funding resulting in an increase in the total award amount or an increase in the HUD-approved work plan budget by ten (10) percent or more;

(5) Inclusion of costs or activities that require prior approval;

(6) Reallocation of funds allotted for administrative or coordination expenses;

(7) Reallocation of funds between funding sources or “projects” in the DRGR System;

(8) Pre-award costs;

(9) Before incurring costs related to a proposed work plan, absent any provisions herein or any specific notice from the Cooperative Agreement Officer or GTR to the contrary;

(10) Any changes in contact information, including the organization’s name, address, telephone, e-mail, and key personnel (see Organization and Key Contacts Updates section of these Provisions);

(11) Labor rates not already approved by HUD for technical assistance activities;

(12) On-site conferences and training and contract or agreements for such on-site conferences and trainings (see Attachment 10 for additional guidance);

(13) The sub-award, transfer, or contracting out of any work under this award, unless described in the awardee’s application or A&F documents. For details, see Procurement section and Subawards section of these Provisions; and

(14) The use, development, or acquisition of software, property, or equipment.

Procurement

(a) The awardee’s process for acquiring goods and services under this Agreement must comply with 2

CFR 200.317 through 200.326. And, the contracts awarded by the awardee must contain the provisions set forth in Appendix II to 2 CFR 200, as applicable to the contract.

(b) All procurements made subsequent this Agreement, including those under small purchase procedures, must be open, free, and competitive, except when competitive proposal methods are not feasible and meet one of the criteria at 2 CFR 200.320(f).

(c) Some form of cost or price analysis is to be made in connection with every procurement action.

(d) Arms-length business relationships must be maintained. A strict code of conduct should exist that prohibits under-the-table favors from contractors and subcontractors; that prohibits special treatment of persons having a financial or personal interest with the awardee; and that provides equal treatment to all prospective sources.

(e) NAHASDA funds awarded are subject to Section 7(b) of the Indian Self-Determination and

Education Act (25 U.S.C. § 450e(b)). Preference in the award of subcontracts for NAHASDA TA awardees shall, to the greatest extent feasible, be given to Indian organizations and Indian-owned economic enterprises as defined in Section 4 of the Indian Financing Act of 1974 (25 U.S.C. § 1452).

Subawards, Contracts, and Consultant Agreements

(a) The use of sub-awards, consultants, and subcontractors is subject to the specific written, prior approval of HUD. Unless the sub-awards, consultant, and subcontractor agreements and related rates were submitted to HUD and approved with the A&F documents, the awardee’s request for approval shall be submitted to HUD with a request to change labor rates, and must include the following supporting data:

(1) Basis for consultant or subcontractor selection;

(2) Sole source justification (i.e., justification for lack of competition) when competitive bids or offers are not obtained);

(3) Basis for award cost or price, to include reason for rate changes, and price or cost analysis performed by the awardee of this Agreement; and

(4) Approval of the awardee’s authorized representative, including the following certification: I certify, on behalf of, entity name , that any consultants or subcontractors were selected in accordance with procurement standards as found in2 CFR 200, Subpart D.

(b) The Procurement Standards of 2 CFR 200, Subpart D are applicable to procurement of contractors made pursuant to this Agreement.

(c) The awardee shall include in the contract or sub-award agreement such provisions as may be necessary to ensure that all consultants, subcontractors and sub-awardees comply with the applicable requirements of this Agreement.

(d) The applicable Federal standards and requirements for sub-awards and contracts/subcontracts under this agreement shall be those otherwise applicable to the type of organization receiving the subaward, contract, or subcontract.

(e) The use of Federal funds provided by this agreement for payment of fee or profit under a “sub-award,” is not allowable. The term “sub-award” does not include the recipient’s procurement of goods and services such as maintenance contracts for equipment or facilities, contracts for communication services, etc.

(f) HUD reserves the right to disallow subcontractors or consultants from working under this award, and HUD may limit the annual total number of hours to be worked by an employee, subcontractor, or consultant. HUD may also require additional bids for any proposed TA activity.

(g) HUD may standardize the collection of information required by this section of these Provisions subsequent to the execution of this Agreement.

In-Person Conferences, Trainings, and Other Events

(a) The use of space for in-person training, conferences, and other HUD-sponsored events are subject to the prior, written approval from the appropriate HUD-approving official outside of the assigned GTR.

Work plans may be approved prior to submitting the event requests. However, work plan approval does not constitute approval for the event(s) as defined under HUD’s Conference, Travel, and Travel guidance requiring General Deputy Assistant Secretary (GDAS), Principal Deputy Assistant Secretary (PDAS), or

HUD Deputy Secretary (DEPSEC) approval.

(b) HUD sponsored conferences may not include a breakfast, dinner, or reception unless exception has been granted by the authorized HUD approving official. Agreements with a hotel, venue, or other entity shall not require HUD (or any third party) to guarantee any quantity of sleeping rooms nor agree to any potential payment or increased costs associated with unoccupied sleeping rooms.

(c) Subsequent to the delivery of any HUD approved in-person trainings, conferences and other

HUD-sponsored events, the awardee is required to report to HUD the actual costs associated with the development and delivery of the meeting, event, or conference.

(c) HUD will issue requirements and processing procedures for event requests subsequent to executing this Agreement.

System of Award Management and Universal Identifier Requirements

(a) Requirement for System of Award Management (“SAM”). As required at 2 CFR 25.200, the awardee must maintain active status and current information in the SAM at www.sam.gov, until the…