Order No. 28154 APPROVAL OF CONTRACT AWARD UNDER THE TEXAS COMMUNITY DEVELOPMENT BETWEEN KERR COUNTY AND THE OFFICE OF RURAL COMMUNITY AFFAIRS On this the 14th day of July, 2003 upon motion made by Commissioner Williams and seconded by Commissioner Nicholson, the Court unanimously approved by a vote 4-0- 0 of the contract award under the Texas Community Development between Kerr County and the Office of Rural Community Affairs for some of the 25% matching grants from FEMA and NRCS and authorize County Judge to sign same. a ~- ~~~J~~ COMMISSIONERS'_ CQURT AGENDA REQUEST PLEASE FURNISH ONE ORIGINAL AND NINE COPIES OF THIS REQUEST AND DOCUMENTS TO BE REVIEWED BY THE COURT. MADE BY: Pat Tinley OFFICE: County Judge MEETING DATE: July 14, 2003 TIME PREFERRED: SUBJECT: (PLEASE BE SPECIFIC) Consider and discuss approval of recent contract award under the Texas Community Development Program between Kerr County and the Office of Rural Community Affairs for some of the 25% matching grants from FEMA and MRCS and authorize the County Judge to execute same. EXECUTIVE SESSION REQUESTED: (PLEASE STATE REASON) NAME OF PERSON ADDRESSING THE COURT ESTIMATED LENGTH OF PRESENTATION: IF PERSONNEL MATTER -NAME OF EMPLOYEE: County Judge Time for submitting this request for Court to assure that the matter is posted in accordance with Title 5, Chapter 551 and 552, Government Code, is as follows: Meeting scheduled for Mondays THIS REQUEST RECEIVED BY: THIS REQUEST RECEIVED ON: AlI Agenda Requests will be screened by the County Judge's Office to determine if adequate information has been prepared for the Court's formal consideration and action at time of Court Meetings. Your cooperation will be appreciated and contribute towards you request being addressed at the earliest opportunity. See Agenda Request Rules Adopted by Commissioners' Court. 5:00 P.M. previous Tuesday. 5,~p,'f$ O,p~ Y OFFICE OF RURAL COMMUNITY AFFAIRS Rick Perry Governor Robt. J. "Sam" Tessera, MS Executive ffirector June 18, 2003 EXECUTIVE COMMrrTEE MEMBERS William..M.~ter, HI, Chair Qavid Alders Jan Roberts Nicki Harle Lydia Rangel Saenz Carol Harrell Patrick Wallace Wallace Klussmann Michael Waters The Honorable Pat Tinley County Judge, Kerr County 700 Main Kerrville, TX 78028 Re: TCDP Contract No. 718257 Dear Judge Tinley: I would like to congratulate your locality on its recent contract award under the Texas Community bevelopment Program. Enclosed are two (2) copies of Contract No. ?18257 between. Kerr County and the Office of Rural Community Affairs, for your review and-signature. Please read the contract carefully, with special attention to the Reporting Requirements,.Environmental Clearance Requirements .and Special Conditions (Sections 8, 20 and 22) of this contract (as these restrict your allowance to incur project costs and our ability to release contract funds to your local government), as well as Exhibit A, Performance Statement; Exhibit B, Budget; Exhibit C, Project Implementation Schedule; Exhibit D, The Applicable Laws and Regulations, and Exhibit E, Certifications. (You may want to consider having your city/county attorney review the enclosed contract). These Exhibits must be adhered to during the contract period. All fiscal and administrative staff should be familiar with the budget categories and amounts. The program staff should be aware of the Performance Statement, and Project Implementation Schedule. Fiscal and program staff should be familiar with the Applicable Laws. and Regulations. Copies of these Exhibits should be distributed to appropriate staff members. Please review, sign and return .both copies to this office of your earliest convenience. Also, please sign Exhibit E on page 1 and page 2. These are the local Certifications that are required for local TCDP recipients. If the name of the authorized person signing this contract is different from the name typed, please correct the name appearing in the three places provided iri the contract. Erica. Leos is your TCDP Representative and will be in contact with you to schedule a visit and/or provide technical assistance, as needed. Should you have any questions or need additional information, please do not hesitate to contact Erica Leos at (512) 936-7875. Sincerely, ~Q /' Oralia Cardenas, pirector Texas Community Development Program OC:mam Enclosures cc: Contract File wlopscon Visif us on the world wide web at www.orca.stste.fx.us~ 1700 N. CorvGRess, SuiTe 220 • AUSTIN, TX 78701 • P.O. BOx 12877, AUSTIN, TX 78711 • 512-936-6701 • FAx 512-936-6776 Printed on recycled paper ~~A~ ~ ?~ m Y OFFICE OF RURAL COMMUNITY AFFAIRS Rick Perry Governor Robt. J. "Sam" Tessen, MS Executive Director July 24, 2003 The Honorable Pat Tinley County Judge, Kerr County 700 Main Kerrville, TX 78028 Re: Texas Community Development Program (TCDP) Contract No. 718257 Dear Judge Tinley: EXECUTIVE COMMITTEE MEMBERS William M. Jeter, II1, Chairman David Atders Lydia Range/ Saenz Carol Harrell Nicki Harle Wallace Klussmann Patrick Wallace Jim Roberts Michael Waters Enclosed is an executed copy of Contract No. 718257, between Kerr County and the Office of Rural Community Affairs (ORCA). Also, enclosed are State of Texas Purchase Vouchers, Request for Payment, and instructions. All Contractor localities are encouraged to utilize minority and women-owned businesses in completing contract activities whenever possible. Although Contractors are not directly responsible for meeting a specific goal, each year the U.S. Department of Housing and Urban Development establishes an overall minority business enterprise participation goal for the Texas Community Development Program. The Texas Building and Procurement Commission (TBPC), through the Texas Historically Underutilized Business (HUB) Certification and Compliance Program, can provide you with a directory of minority and women-owned businesses located in your area. If you would like to purchase a directory, please contact the TBPC Business Services Division at 512/463-3419. This cost is an eligible expense under the CDBG administration category. Contractors are encouraged to place the businesses located in your area on vendor mailing lists to increase minority and women-owned business participation in the Texas Community Development Program. Information regarding minority contracting is provided in Chapter 8 of the Project Implementation Manual. Each local government expending $300,000 or more in total federal or state funds during a fiscal year is required to submit two (2) copies of the Single Audit report to ORCA. Federal regulations require that the audit be submitted to the Office of Rural Community Affairs within thirty (30) days of receipt of the completed audit report, but no later than nine (9) months after the end of the audit period. All Contractors are required to submit an audit certification form within sixty (60) days after the end of their fiscal year. Visit us on the world wide web at www,orca.state.tx.us 1700 N. CONGRESS, SUITE 220, AUSTIN, TEXAS 78701 P.O. BOX 12877, AUSTIN, TEXAS 78711-2877 512-936-6701 Printed on recycled paper Page 2 If you have any questions or need additional information, please do not hesitate to call me at (512) 936-7890. Sincerely, c ralia Cardenas, Director Texas Community Development Program OC: mam Enclosures cc: Contract File wlexcon.doc Enclosures: Contract Purchase Voucher Forms Request for Payment Forms Audit Requirements OFFICE OF RURAL GOMMUNITY AFFAIRS CONTRACT FOR COMMUNITY DEVELOPMENT PROGRAMS STATE OF TEXAS ] COUNTY OF TRAVIS ] SECTION 1 PARTIES TO CONTRACT 7/ ~'~s7 This contract and agreement is made and entered into by and between the Office of Rural Community Affairs, an agency of the State of Texas, referred to as the "Office", and Kerr County, referred to as the "Contractor". The parties have severally and collectively agreed and by the execution are bound to the mutual obligations and to the performance and accomplishment of the described tasks. SECTION 2. CONTRACT PERIOD This contract and agreement shall commence on May 1, 2003, and shall terminate on April 30, 2005, unless otherwise specifically provided by the terms of this contract. SECTION 3. CONTRACTOR PERFORMANCE The Contractor shall conduct, in a satisfactory manner as determined by the Office, a community development program, referred to as CDBG, in anon-entitlement area under Title I of the Housing and Community Development Act of 1974, as amended (42 U.S.C. Sec. 5301 et seq.}, referred to as the Act. The Contractor shall perform all activities in accordance with the terms of the Performance Statement, referred to as Exhibit A; the Budget, referred to as Exhibit B; the Project Implementation Schedule, referred to as Exhibit C; the Applicable Laws and Regulations, referred to as Exhibit D; the Certifications, referred to as Exhibit E; the assurances, certifications, and all other statements made by the Contractor in its application for the project funded under this contract; and with all other terms, provisions, and requirements set forth in this contract. SECTION 4. OFFICE OBLIGATIONS A. Measure of Liability In consideration of full and satisfactory performance of the activities referred to in Section 3 of this contract, the Office shall be liable for actual and reasonable costs incurred by the Contractor during the contract period for performances rendered under this contract by the Contractor, subject to the limitations set forth in this Section 4. 1. It is expressly understood and agreed by the parties that the Office's obligations under this Section 4 are contingent upon the actual receipt of adequate state or federal funds to meet Office's liabilities under this contract. If adequate funds are not available to make payments under this contract, Office shall notify the Contractor in writing within a reasonable time after such fact is determined. Office shall terminate this contract and will not be liable for failure to make payments to the Contractor under this contract. 2. The Office shall not be liable to the Contractor for any costs incurred by the Contractor, or any portion thereof, which has been paid to the Contractor or is subject to payment to the Contractor, Page 1 of 12 or has been reimbursed to the Contractor or is subject to reimbursement to the Contractor by any source other than the Office or the Contractor. 3. The Office shall not be liable to the Contractor for any costs incurred by the Contractor which are not allowable costs, as set forth in Section 6 (A} of this contract. 4. The Office shall not be liable to the Contractor for any costs incurred by the Contractor or for any performances rendered by the Contractor which are not strictly in accordance with the terms of this contract, including the terms of Exhibit A, Exhibit B, Exhibit C, Exhibit D, and Exhibit E of this contract. 5. The Office shall not be liable to the Contractor for any costs incurred by the Contractor in the performance of this contract which have not been billed to the Office by the Contractor within sixty (60) days following termination of this contract unless otherwise provided for in the Certificate of Expenditures referred to in Section 8 (C) of this contract. 6. The Office shall not be liable for costs incurred or performances rendered by the Contractor before commencement of this contract or after termination of this contract, except as may be specifically set forth in Exhibit B, Budget, of this contract. 7. The Office shall not be liable for costs incurred and reserved on the Certificate of Expenditures if such costs are not billed to the Office within ninety days after the contract's termination date. Audit funds reserved on the Certificate of Expenditures eligible for reimbursement under the provisions of Section 19 of this contract shall be billed to the Office within twelve months after the end of the Contractor's fiscal year that follows the termination date of this contract. The Office shall deobligate all reserved funds not requested under this subsection. B. Excess Payments The Contractor shat( refund to the Office any sum of money which has been paid to the Contractor by the Office, which the Office determines has resulted in overpayment to the Contractor, or which the Office determines has not been spent by the Contractor strictly in accordance with the terms of this contract. Such refund shall be made by the Contractor to the Office within thirty (30) working days after such refund is requested by the Office. C. Limit of Liabilit Notwithstanding any other provision of this contract, the total of all payments and other obligations incurred by the Office under this contract shall not exceed the sum of Eighty-three Thousand Seven Hundred Sixty-six and No/Dollars ($83,766}. SECTION 5. METHOD OF PAYMENT A. The Contractor shall submit to the Office at its offices in Travis County, Texas, a properly completed Request far Advance or Reimbursement Form 270, as specified by the Office, as often as actually needed. The Office shall determine the reasonableness of each amount requested and shall not make disbursement of any such payment until the Office has reviewed and approved such Request. B. The Contractor's requests for advance shall be limited to the minimum amounts needed for effective operation of programs under this contract, and shall be timed as closely as possible to be in accord with actual cash requirements. The Contractor shall establish procedures to minimize the time elapsing between the transfer of funds from the Office to the Contractor and shall ensure that such funds are disbursed as soon as administratively possible. Page 2 of 12 C. Notwithstanding the provisions of Section 5 (A) of this contract, it is expressly understood and agreed by the parties that payments under this contract are contingent upon the Contractor's full and satisfactory performance of its obligations under this contract. D. It is expressly understood and agreed by the parties that any right or remedy provided for in this Section 5 or in any other provision of this contract shat{ not preclude the exercise of any other right or remedy under this contract or under any provision of law, nor shall any action taken in the exercise of any right or remedy be deemed a waiver of any other rights or remedies. Failure to exercise any right or remedy shall not constitute a waiver of the right to exercise that or any other right or remedy at any time. SECTION 6. UNIFORM ADMINISTRATIVE REQUIREMENTS. COST PRINCIPLES, AND PROGRAM INCOME A. Except as specifically modified by law or the provisions of this contract, the Contractor shall comply with the Regulations and, for matters not addressed therein, with 24 C.F.R. Part 85, "Administrative Requirements for Grants and Cooperative Agreements to State, Local and Federally Recognized Indian Tribal Governments" (referred to as the "Common Rule") as modified by the rules promulgated by the Office of the Governor under the Uniform Grant and Contract Management Act (TEX. GOVT. CODE ANN. Chapter 783; referred to as "UGCMS."), in performing this contract. The allowability of costs incurred for performances rendered shall be determined in accordance with OMB Circular A-87, as supplemented by UGCMS and this contract. B. The Contractor shall comply with the requirements set forth in Section 570.489(e) of the Regulations to account for program income related to activities financed in whole or in part with funds provided under this contract. 1. The Contractor shall maintain records of the receipt, accrual, and disposition of all program income in the same manner as required for all other funds under this contract, and the Contractor shall provide reports of program income to the Office with each form submitted by the Contractor in accordance with Section 5 of this contract, and at the termination of this contract. 2. Program income earned by the Contractor during the period of this contract shall be retained by the Contractor and utilized by the Contractor to fund performances specified in this contract, in the manner specified, prior to requesting additional funds from the Office. 3. At least sixty (60) days prior to the termination of this contract, the Contractor shall submit a plan to the Office for its approval which specifies the manner in which the Contractor proposes to use any unexpended program income earned under this contract to continue the performance specified in this contract in the manner specified. Any program income earned by the Contractor from this contract, prior to the establishment and approval of a Revolving Loan Fund plan by the Contractor must be returned to the Office. In the event the Office does not approve the plan submitted by the Contractor, the Contractor shalt return such program income to the Office within thirty (30) working days after receipt of the Office's notification of.disapproval. SECTION 7. RETENTION AND ACCESSIBILITY OF RECORDS A. The Contractor shall maintain fiscal records and supporting documentation for all expenditures of funds made under this contract in a manner which conforms to OMB Circular A-87, Section 570.490 of the Regulations, and this contract. Such records must include data on the racial, ethnic, and gender characteristics of persons who are applicants for, participants in, or beneficiaries of the funds provided under this contract. The Contractor shall retain such records, and any supporting documentation, for the greater of three years from closeout of this contract or the period required by other applicable laws and regulations as described in the Regulations. Page 3 of 12 B. The Contractor shall give the United States Department of Housing and Urban Development, the Inspector General, the General Accounting Office, the Auditor of the State of Texas, and the Office, or any of their duly authorized representatives, access to and the right to examine all books, accounts, records, reports, files, and other papers, things, or property belonging to or in use by the Contractor pertaining to this contract. Such rights to access shall continue as tong as the records are retained by the Contractor. The Contractor agrees to maintain such records in an accessible location and to provide citizens reasonable access to such records consistent with the Texas Public Information Act. C. The Contractor shalC include the substance of this Section 7 in all subcontracts. SECTION 8. REPORTING REQUIREMENTS A. The Contractor shall submit to the Office such reports on the operation and performance of this contract as may be required by the Office including but not limited to the reports specified in this Section 8. B. The Contractor shall submit to the Office no later than the twentieth {20th) day of the month after the end of each calendar quarter of the contract period specified in Section 2 a Quarterly Progress Report of the progress, in narrative form, of all construction and nonconstruction activities by budget categories performed pursuant to Exhibit A, Performance Statement, and of the expenditures and obligations of funds by budget category made pursuant to Exhibit B, Budget, of this contract. The Quarterly Progress Report shall be in a format prescribed by the Office and shall include al- such activities, expenditures, and obligations made or performed under this contract during the previous quarter. C. The Contractor shall submit a Certificate of Expenditures to the Office no later than sixty (60} days after the contract termination date or at the conclusion of all contract activities as determined by the Office. The Certificate of Expenditures shall be in a format prescribed by the Office and shall include a final Project Completion Report of all activities performed under this contract. D. In addition to the limitations on liability otherwise specified in this contract, it is expressly understood and agreed by the parties that if the Contractor fails to submit to the Office in a timely and satisfactory manner any report required by this contract, the Office may, at its sole option and in its sole discretion, withhold any or all payments otherwise due or requested by the Contractor. If the Office withholds such payments, it shall notify the Contractor in writing of its decision and the reasons therefore. Payments withheld pursuant to this paragraph may be held by the Office until such time as the delinquent obligations for which funds are withheld are fulfilled by the Contractor. SECTION 9. MONITORING The Office reserves the right to perform periodic on-site monitoring of the Contractor's compliance with the terms and conditions of this contract, and of the adequacy and timeliness of the Contractor's performances under this contract. After each monitoring visit, the Office shall provide the Contractor with a written report of the monitor's findings. If the monitoring reports notes deficiencies in the Contractor's performances under the terms of this contract, the monitoring report shall include requirements for the timely correction of such deficiencies by the Contractor. Failure by the Contractor to take action specified in the monitoring report may be cause for suspension or termination of this contract, as provided in Sections 17 and 18 of this contract. SECTION 10. INDEPENDENT CONTRACTOR It is expressly understood and agreed by the parties that the Office is contracting with the Contractor as an Independent Contractor, and that the Contractor, as such, agrees to the extent allowed by law to hold the Office harmless and to indemnify the Office from and against any and all claims, demands, and causes of action of every kind and character which may be asserted by any third party occun-ing Page4of12 or in any way incident to, arising out of, or in connection with the services to be performed by the Contractor under this contract. SECTION 11. SUBCONTRACTS A. Except for subcontracts to which the federal labor standards requirements apply, the Contractor may subcontract for performances described in this contract without obtaining the Office's prior written approval. The Contractor shall only subcontract for performances described in this contract to which the federal labor standards requirements apply after the Contractor has submitted a Subcontractor Eligibility form, as specified by the Office, for each such proposed subcontract, and the Contractor has obtained the Office's prior written approval, based on the information submitted, of the Contractor's intent to enter into such proposed subcontract. The Contractor, in subcontracting for any performances described in this contract, expressly understands that in entering into such subcontracts, the Office is in noway liable to the Contractor's subcontractor(s). B. In no event shall any provision of this Section 11, specifically the requirement that the Contractor obtain the Office's prior written approval of a subcontractor's eligibility, be construed as relieving the Contractor of the responsibility for ensuring that the performances rendered under all subcontracts are rendered so as to comply with all of the terms of this contract, as if such performances rendered were rendered by the Contractor. The Office's approval under Section 11 does not constitute adoption, ratification, or acceptance of the Contractor's or subcontractor's performance. The Office maintains the right to insist upon the Contractor's full compliance with the terms of this contract, and by the act of approval under Section 11, the Office does not waive any right of action which may exist or which may subsequently accrue to the Office under this contract. C. The Contractor shall comply with Section 85.36 of the Common Rule, this contract and all applicable federal, state and local laws, regulations, and ordinances for making procurements under this contract. D. The Office shall maintain an escrow retainage in the amount of five percent (5%) of each construction or rehabilitation subcontract entered into by the Contractor until the Office determines that the Federal labor standards requirements applicable to each such subcontract have been satisfied. SECTION 12. CONFLICT OF INTEREST A. The Contractor shall ensure that no employee, officer, or agent of the Contractor shall participate in the selection, or in the award or administration of a subcontract supported by funds provided if a conflict of interest, real or apparent, would be involved. Such conflict of interest would arise when: 1) The employee, officer, or agent; 2} any member of his or her immediate family; 3) his or her partner; or, 4) any organization which employs, or is about to employ any of the above, has a financial or other interest in the firm or person selected to perform the subcontract. The Contractor shall comply with Chapter 171, Local Government Code. B. In all cases not governed by Subsection (A) of this Section, no persons specified in subsection (C) of this Section who exercise or have exercised any functions or responsibilities with respect to the activities assisted under this contract or any other CDBG contract or who are in a position to participate in a decision making process or gain inside information with regard to such activities, may obtain a financial interest or benefit from the activity, or have an interest or benefit from the activity, or have any interest in any contract, subcontract or agreement with respect thereto, or the proceeds thereunder, either for themselves or those with whom they have family or business ties during their tenure or for one year thereafter. Page 5 of 12 C. The conflict of interest provisions of Subsection (B) apply to any person who is an employee, agent, consultant, officer, or elected official or appointed official of the Contractor or of a subcontractor of the Contractor. D. The Contractor shall include the substance of this section in all subcontracts. SECTION 13. NONDISCRIMINATION AND SECTARIAN ACTIVITY A. The Contractor shall ensure that no person shall on the ground of race, color, national origin, religion, sex, age, or handicap be excluded from participation in, be denied the benefits of, or be subjected to discrimination under or be denied access to any program or activity funded in whole or in part with funds made available under this contract. B. None of the performances rendered by the Contractor under this contract shall involve, and no portion of the funds received by the Contractor under this contract, shall be used in support of any sectarian or religious activity, nor shall any facilities used in the performance of this contract be used for sectarian instruction or as a place of religious worship. The Contractor shall comply with the regulations promulgated by the U.S. Department of Housing and Urban Development at 24 C.F.R. Sec. 570.200(]}. SECTION 14. LEGAL AUTHORITY A. The Contractor assures and guarantees that the Contractor possesses the legal authority to enter into this contract, receive funds authorized by this contract, and to perform the services the Contractor has obligated itself to perform. B. The person or persons signing and executing this contract on behalf of the Contractor, or representing themselves as signing and executing this contract on behalf of the Contractor, do hereby warrant and guarantee that he, she or they have been duly authorized by the Contractor to execute this contract on behalf of the Contractor and to validly and legally bind the Contractor to all terms, performances, and provisions set forth. C. The Office shall have the right to suspend or terminate this contract if there is a dispute as to the legal authority of either the Contractor or the person signing this contract to enter into this contract or to render performances. The Contractor is liable to the Office for any money it has received from the Office for performance of the provisions of this contract, if the Office has suspended or terminated this contract for reasons enumerated in this Section 14. SECTION 15. LITIGATION AND CLAIMS The Contractor shall give the Office immediate notice in writing of 1) any action, including any proceeding before an administrative agency, filed against the Contractor arising out the performance of any subcontract; and 2) any claim against the Contractor, the cost and expense of which the Contractor may be entitled to be reimbursed by the Office. Except as otherwise directed by the Office, the Contractor shall furnish immediately to the Office copies of all pertinent papers received by the Contractor with respect to such action or claim. SECTION 16. CHANGES AND AMENDMENTS A. Except as specifically provided otherwise in this contract, any alterations, additions, or deletions to the terms of this contract shall be by amendment in writing and executed by both parties to this contract. B. It is understood and agreed by the parties that performances under this contract must be rendered in accordance with the Act, the Regulations, the assurances and certifications made to the Office by Page 6 of 12 the Contractor, and the assurances and certifications made to the United States Department of Housing and Urban Development by the State of Texas with regard to the operation of the Texas Community Development Program. Based on these considerations, and in order to ensure the legal and effective performance of this contract by both parties, it is agreed by the parties that the performances under this contract are amended by the provisions of the TCDP Protect Implementation Manual and any amendments thereto and may further be amended in the following manner: The Office may from time to time during the period of performance of this contract issue policy directives which serve to establish, interpret, or clarify performance requirements under this contract. Such policy directives shall be promulgated by the Director of the TCDP in the form of TCDP issuances, shall have the effect of qualifying the terms of this contract and shall be binding upon the Contractor, as if written herein, provided however that the policy directives and any amendments to the Manual shall not alter the terms of this contract so as to release the Office of any obligation specified in Section 4 of this contract to reimburse costs incurred by the Contractor prior to the effective date of the amendments or policy directives. C. Any alterations, additions, or deletions to the terms of this contract which are required by changes in Federal or State law or regulations are automatically incorporated into this contract without written amendment, and shall become effective on the date designated by such law or regulation. D. Notwithstanding Subsection A of this Section 16, the Contractor may make transfers of funds between or among budget categories of Exhibit B, Budget, without requiring an amendment to this contract, or otherwise requiring the Office's prior written approval provided that: 1. The cumulative dollar amount of all transfers among direct budget categories is equal to or less than five percent (5%) of the total amount of this contract as specified in Section 4 (C); 2. The transfer will not change the scope or objective of the projects funded under this contract; and 3. The Contractor submits a budget revision report to the Office, on a form specified by the Office, simultaneously with the submission of the Contractor's first request for payment following any such transfers made in accordance with this Subsection D. SECTION 17. SUSPENSION Notwithstanding the provisions of TEX. GOVT. CODE ANN. Chapter 2251, in the event the Contractor fails to comply with any term of this contract, the Office may, upon written notification to the Contractor, suspend this contract in whole or in part and withhold further payments to the Contractor, and prohibit the Contractor from incurring additional obligations of funds under this contract. SECTION 1 S. TERMINATION A. The Office shall have the right to terminate this contract, in whole or in part, at any time before the date of completion specified in Section 2 of this contract whenever the Office determines that the Contractor has failed to comply with any term of this contract. The Office shall notify the Contractor in writing prior to the thirtieth (30th} day preceding the date of termination of such determination; the reasons for such termination; the. effective date of such termination; and in the case of partial termination, the portion of the contract to be terminated. B. Either of the parties to this contract shall have the right to terminate this contract, in whole or in part, when both parties agree that the continuation of the activities funded under this contract would not produce beneficial results commensurate with the further expenditure of funds; provided that both parties agree, in writing, upon the termination conditions, including the effective date of such termination; and in the case of partial termination, the portion of the contract to be terminated. Page 7 of 12 C. Upon termination or receipt of notice to terminate, whichever occurs first, the Contractor shall cancel, withdraw, or otherwise terminate any outstanding orders or subcontracts related to the performance of this contract or the part of this contract to be terminated, and shall cease to incur costs thereunder. The Office shall not be liable to the Contractor or to the Contractor's creditors for costs incurred after termination of this contract. D. Notwithstanding any exercise by the Office of its right of suspension under Section 17 of this contract, or of early termination pursuant to this Section 18, the Contractor shall not be relieved of any liability to the Office for damages due to the Office by virtue of any breach of this contract by the Contractor. The Office may withhold payments to the Contractor until such time as the exact amount of damages due to the Office from the Contractor is agreed upon or is otherwise determined. SECTION 19. AUDIT A. The Contractor shall arrange for the performance of an annual financial and compliance audit of funds received and performances rendered under this contract, subject to the following conditions and limitations: 1. (a}Audit Required-Federal Awards. The Contractors expending $300,000 or more in Federal financial assistance for any fiscal year ending on or after June 30, 1997, shall have a single audit conducted in accordance with the Office's supplemental audit guide, the Single Audit Act Amendments of 1996, 31 U.S.C. 7501, and OMB Circular No. A-133 -Revised June 30, 1997, "Audits of States, Local Governments, and Non-Profit Organizations." For purposes of this Section 19, "Federal financial assistance" means assistance provided by a Federal agency in the form of grants, contracts, loans, loan guarantees, property, cooperative agreements, interest subsidies, insurance or direct appropriations, but does not include direct federal cash assistance to individuals. The term includes awards of Federal.financial assistance received directly from Federal agencies, or indirectly through other units of State and local government. (b) Audit Required-State Awards. The Contractors that expended $300,000 or more in State Awards for any fiscal year ending on or after June 30, 1997, shall have a single or program specific audit conducted for that year in accordance with provisions of the Texas Single Audit Circular. For purposes of this Section 19, "State Award" means state financial or cost reimbursement contracts received directly from state awarding agencies or indirectly from pass- through entities under a federal block grant. State award does not mean state financial assistance and state cost-reimbursement contracts received directly or indirectly under the terms of other federal awards. State awards do not include procurement contracts, under grants or contracts, used to buy goods or services from vendors. State awards also do not include federal awards as defined by OMB Circular A-133. 2. Notwithstanding Section 4(a)(5} and Section 4(a)(6), the Contractor shall utilize funds budgeted under this contract to pay for that portion of the cost of such audit services properly allocable to the activities funded by the Office under this contract, provided however that the Office shall not make payment for the cost of such audit services until the Office has received a satisfactory audit report, as determined by the Office, from the Contractor; 3. The Contractor shall submit two (2) copies of the report of such audit to the Office within thirty (30) days after the completion of the audit, but no later than nine (9) months after the end of the audit period. The Contractor shall ensure that the audit report is made available for public inspection within thirty (30} days after completion of the audit. Audits performed under Subsection A of this Section 19 are subject to review and resolution by the Office or its authorized representative. Failure by the Contractor to submit a completed single audit package as described in the audit requirements by the required due date could affect funding for current contracts and eligibility for future funding. Page 8 of 12 4. Notwithstanding the requirements in paragraphs "A 1 through 3" of this Section 19, the Contractor shall submit within 60 days of its fiscal year end an Audit Certification Form (ACF) or a similar statement. The ACF or statement will include information indicating if the Contractor has or has not met the $300,000 expenditure threshold that will require a Single Audit Report in accordance with the Uniform Grant management Standards, Subpart C-Post Award Requirements. Failure by the Contractor to submit an ACF or a similar statement or failure to submit a completed single audit package as described in the audit requirements by the required due date could affect funding for current contracts and eligibility for future funding. B. Notwithstanding Subsection A of this Section 19, the Office reserves the right to conduct an annual financial and compliance review of funds received and performances rendered under this contract. The Contractor agrees to permit the Office or its authorized representative to audit the Contractor's records and to obtain any documents, materials, or information necessary to facilitate such review. C. The Contractor understands and agrees that it shall be liable to the Office for any costs disallowed pursuant to financial and compliance audit(s) of funds received under this contract. The Contractor further understands and agrees that reimbursement to the Office of such disallowed costs shall be paid by the Contractor from funds which were not provided or otherwise made available to the Contractor under this contract. D. The Contractor shall take such action to facilitate the performance of such audit or audits conducted pursuant to this Section 19 as the Office may require of the Contractor. E. The Contractor shall procure audit services through an open, competitive process at least once every four years. The auditor shall retain working papers and reports for a minimum of three years after the date of issuance of the auditor's report to the auditee. Audit working papers shalt be made available upon request to the Office at the completion of the audit, as a part of a quality review, to resolve audit findings, or to carry out oversight responsibilities consistent with the purposes of this part. Access to working papers includes the right to obtain copies of working papers, as is reasonable and necessary. SECTION 20. ENVIRONMENTAL CLEARANCE REQUIREMENTS A. The Contractor understands and agrees that by the execution of this contract the Contractor shall assume the responsibilities for environmental review, decision making, and other action which would otherwise apply to the Office under Section 5304(f) of the Act, in accordance with and to the extent specified in 24 C.F.R. Part 58. In accordance with Section 58.77(b) of such regulations, the Contractor further understands and agrees that the Contractor shall handle inquiries and complaints from persons and agencies seeking redress in relation to environmental reviews covered by approved certifications. B. Funds provided under this contract may be obligated and expended before the actions specified in this Section occur only for the following eligible activities: 1. The payment of reasonable planning and administrative costs related to the project; 2. Environmental studies, including environmental clearance activities required by this Section; and 3. The payment or reimbursement of reasonable project engineering and design costs incurred for this project. C. The Contractor shall submit to the Office a letter which cites the appropriate subsection of 24 C.F.R. 58.34 (a) by which the activities or projects funded under this contract are exempt from the environmental review requirements of 24 C.F.R. Part 58 and the National Environmental Policy Act of Page 9 of 12 1969. The Contractor shall comply with all of the applicable environmental requirements specified in Exhibit D of this contract. The Contractor shall document its compliance with other requirements in its environmental review fife. SECTION 21. CITIZEN PARTICIPATION REQUIREMENTS A. The Contractor shall provide for and encourage citizen participation, particularly by low and moderate income persons who reside in slum or blighted areas and areas in which the funds provided under this contract are used, in accordance with Section 570.486 of the Regulations and this contract; B. The Contractor shall hold a public hearing concerning any activities proposed to be added, deleted, or substantially changed, as determined by the Office, from the activities specified in Exhibit A, Performance Statement, of this contract; C. Prior to the termination of this contract, the Contractor shall hold a public hearing to review its performance under this contract; D. For each public hearing scheduled and conducted by the Contractor under this section, the Contractor shall comply with the following requirements: 1. Notice of each hearing shall be published in the non-legal section of a newspaper having general circulation in the Contractor's jurisdiction at least seventy-two (72) hours prior to each scheduled hearing. The published notice shall include the date, time, and location of each hearing and the topics to be considered at each hearing. The published notice shall be printed in both English and Spanish, if appropriate. The Office shall accept articles published in such newspapers which satisfy the content and timing requirements of this subsection. In addition, the Contractor shall prominently post such notices in public buildings and distributed to interested community groups. 2. If any substantial changes are being requested concerning the activities included in this contract, the public hearings shall be held after 5 p.m. on a weekday or on a Saturday or Sunday. The hearings must be conducted at a location convenient to potential or actual beneficiaries, with accommodation for the handicapped. 3. When a significant number of non-English speaking residents can reasonably be expected to participate in a public hearing, the Contractor shall provide an interpreter to accommodate the needs of the non-English speaking residents. E. Notwithstanding the provisions of Section 7 of this contract, the Contractor shall retain documentation of the public hearing notices, a list of the attendees at each hearing, and minutes of each hearing held in accordance with this section for a period of three (3) years after the termination of this contract. The Contractor shall make such records available to the public in accordance with TEX. GOVT. CODE ANN. Chapter 552. F. Complaint Procedures. The Contractor shall maintain written citizen complaint procedures that provide a timely written response to complaints and grievances. Such procedures shalt comply with the Office's requirements. The Contractor shall ensure that its citizens are aware of the location and hours at which they may obtain a copy of the written procedures and the address and phone number for submitting complaints. SECTION 22. SPECIAL CONDITIONS A. The Office shall not release any funds for any costs incurred by the Contractor under this contract until the Office has received a copy of the Contractor's previous fiscal year audit report or certification from the Contractor that its fiscal control and fund accounting procedures are adequate to assure the Page 10 of 12 proper disbursal of and accounting for funds provided under this contract. The Office shalt specify the content and form of such certification. B. The Office shall not be liable to the Contractor for any costs incurred by the Contractor under this contract until the Office receives a properly completed Depository/Authorized Signators Form, as specified by the Office, from the Contractor. C. The Contractor shall not advertise or solicit bids for construction or rehabilitation of a project assisted with funds provided under this contract until the Contractor has received the applicable prevailing wage rates from the Office. D. In accordance with Section 18 of this contract, this contract shall terminate six (6) months after the commencement date specified in Section 2 unless activities funded under this contract have begun by such date. SECTION 23. DEBARMENT By signing this contract, the Contractor certifies that it will not award any funds provided under this contract to any party which is debarred, suspended or otherwise excluded from or ineligible for participation in federal assistance programs under Executive Order 12549 and 24 CFR Part 24. The Contractor shall receive the certification provided by the Office from each proposed subcontractor under this contract and its principals. SECTION. 24. POLITICAL AID AND LEGISLATIVE INFLUENCE PROHIBITED A. None of the funds provided under this contract shall be used for influencing the outcome of any election, or the passage or defeat of any legislative measure. This prohibition shall not be construed to prevent any official or employee of the Contractor from furnishing to any member of its governing body upon request, or to any other local or state official or employee or to any citizen information in the hands of the employee or official not considered under law to be confidential information. Any action taken against an employee or official for supplying such information shall subject the person initiating the action to immediate dismissal from employment. B. No funds provided under this contract may be used directly or indirectly to hire employees or in any other way fund or support candidates for the legislative, executive, or judicial branches of government of the Contractor, the State of Texas, or the government of the United States. SECTION 25. ORAL AND WRITTEN AGREEMENTS A. All oral and written agreements between the parties to this contract relating to the subject matter of this'contract that were made prior to the execution of this contract have been reduced to writing and are contained in this contract. B. The attachments enumerated and denominated below are hereby made a part of this contract, and constitute promised performances by the Contractor in accordance with Section 3 of this contract: 1. Exhibit A, Performance Statement, 2 Pages 2. Exhibit B, Budget, 2 Pages 3. Exhibit C, Project Implementation Schedule, 1 Page 4. Exhibit D, Applicable Laws and Regulations, 3 Pages 5. Exhibit E, Certifications, 2 Pages Page 11 of 12 SECTION 26. VENUE For purposes of litigation pursuant to this contract, venue shall lie in Travis County, Texas. WITNESS OUR HANDS EFFECTIVE May 1, 2003. ,.~- - .._ u ,,, Pat Tinley County Judge Kerr County Approved and accepted on behalf of the Office of Rural Community Affairs. Robt. m Tessen, MS, Executive Director Offi of ur I Community Affairs This contract is not effective unless signed by the Executive Director of the Office of Rural Community Affairs or by the Executive Director's authorized designee. Congratulations on all your hard work and commitment in achieving this success! I look forward to the contributions that this oppor~~, will Provide to the folks in yourcommunity. R . J. `Sam" ssen, MS Executive Director OFFICE OF RURAL COMMUNITY AFFAIRS Page 12 of 12 EXHIBIT A PERFORMANCE STATEMENT Kerr County Contractor shall utilize Program Year 1998 deobligated Community Development funds to carry out the following activities in the target area identified in its 2003 Disaster Relief Fund application. The Contractor shall ensure that the amount of funds expended for each activity described does not exceed the amount specified for such activity in Exhibit B, Budget. Contractor shall utilize Disaster Relief (DR) funds as the twenty-five percent (25%) match toward a grant from the Federal Emergency Management Agency (FEMA) for street activities. In addition, DR funds shall be utilized as the twenty-five percent (25%) match requirement by the Natural Resources Conservation Service (NRCS) for clearance and demolition activities. Street Improvements Contractor shall make repairs to street and drainage infrastructure damaged during July 2002 flooding and identified and approved by FEMA. Construction shall include: replace guard rails, asphalt and rip-rap, rebase roads, reshape ditches, repair concrete footings and stabilize erosion and restore approaches and surfaces where bridges and roadways were washed out. Construction shall take place at the following locations. Wallace Creek Road west of State Highway 16 Lane Valley Road approximately 2.5 miles south of State Highway 27 Sutherland Road at Center Point River Road Verde Creek Road east of Ranch Road 689 at Verde Creek Silver Creek Road near intersection of Witt Road Elm Pass II Kensing Road north of IH-10 Spanish Oak Lane west of Stonleigh Road Wilson Creek Road at Wilson Creek Witt Road south of Ranch Road 480 Spur 100 near end of road Hermann Sons Road at Guadalupe River Walk bridge at Flat Rock Road at 3 Road Creek These activities shall benefit two thousand seven hundred seventy-three (2,773} persons, of which one thousand fifteen (1,015} or thirty-seven percent (37%) are of low to moderate income. Flood and Drainage Improvements Contractor shall address July 2002 damage flooding by performing erosion repairs, drainage improvements and debris removal from water ways. The project sites identified by NRCS will be repaired with CMP pipe, box culverts, concrete matting and fill material. Construction activities shall occur at the following locations. Turner Lane near Center Point Road Hermann Sons Bridge at the Guadalupe River Center Point River Road Center Point Road at Bowlin Page 1 of 2 These activities shall benefit two thousand seven hundred seventy-three (2,773) persons, of which one thousand fifteen (1,015) or thirty-seven percent (37%) are of low to moderate income. Engineering Contractor shall ensure that the amount of the Office funds expended for all eligible project-related engineering services, including preliminary and final design plans and specifications, all interim and final inspections, and all special services does not exceed the amount specified for engineering in Exhibit B, Budget. Page 2 of 2 LINE CATEGORIES 1 a. Water Facilities 1 b. Sewer Facilities 2. Solid Waste Disposal Facilities 3. Other Public Utilities (Gas} 4. Street Improvements 5. Flood and Drainage Facilities 6. Neighborhood Facilities/ Community Centers 7. Senior Centers 8. Centers for the Handicapped/ Sheltered Workshops 9. Parks, Playgrounds, and Other Recreational Facilities 10. Fire Protection Facilities and Equipment 11. Parking Facilities 12. Pedestrian Malls and Walkways 13. Specially Authorized Assistance to Privately Owned Utilities 14. Specially Authorized Public Facilities and Improvements 15. Public Services (LIMITED TO 15% OF REQUEST} 16. Interim Assistance EXHIBIT B BUDGET Kerr County CONTRACT FUNDS $ 36,567 $ 38,750 Page 1 of 2 OTHER FUNDS $109,701 (FEMA) $116,250 (NRCS) TOTAL $146,268 $155,000 CONTRACT OTHER LINE CATEGORIES FUNDS FUNDS TOTAL 17. Rehabilitation of Private $ $ $ Properties (Housing} 17a. Rehabilitation of Private $ $ $ Properties (Water Service) 17b. Rehabilitation of Private $ $ $ Properties (Sewer Service) 18. Rehabilitation of Public $ $ $ Residential Structures 19. Public Housing Modernization $ $ $ 20. Clearance Demolition Activities $ $ $ 21. Historic Preservation $ $ $ 22. Removal of Architectural Barriers $ $ $ 23. Code Enforcement $ $ $ 24. Acquisition $ $ $ 25. Relocation Payments & Assistance $ $ $ 26. Economic Development Loan $ $ $ 27. Economic Devel. {nterest Subsidy $ $ $ 28. Economic Devel. Loan Guarantee $ $ $ 29. Special Activities by Local Devel $ $ $ Corporations, Etc. 30. Engineering/Architectural Serv. $ 875 $ 13,000 $ 13,875 (Total for all construction accounts) (NRCS) 31. Planning & Urban Env. Design $ $ $ (NOT TO EXCEED 16%) 32. General Administration $ 7,574 $ 3,351 $ 10,925 FEMA TOTALS $ 83,766 $242,302 $326,068 Page2of2 EXHIBIT C R(?JEC~ IMPLEMENTATIOI`I P _ _ ..~rv SCHEC~LE May ti , Zao3 EXHIBIT D THE APPLICABLE LAWS AND REGULATIONS The Contractor shall comply with the Act and Regulations specified in Section 3 of this contract and with the OMB Circular and federal regulations specified in Section 6 of this contract; Cash Management Improvement Act regulations (31 C.F.R. Part 205); and with all other federal, state, and local laws and regulations applicable to the activities and performances rendered by the Contractor under this contract including but not limited to the laws, and the regulations promulgated thereunder specified in Section I through VI of this Exhibit D. I. CIVIL RIGHTS Title VI of the Civil Rights Act of 1964, (42 U.S.C. Section 2000d et.seq.); 24 C.F.R. Part I, "Nondiscrimination in Federally Assisted Programs of the Department of Housing and Urban Development -Effectuation of Title VI of the Civil Rights Act of 1964"; Title VIII of the Civil Rights Act of 1968, "The Fair Housing Act of 1968" (42 U.S.C. Sec 3601 et seq.), as amended; Executive Order 11063, as amended by Executive Order 12259, and 24 C. F.R. Part 107, "Nondiscrimination and Equal Opportunity in Housing under Executive Order 11063". The failure or refusal of the Contractor to comply with the requirements of Executive Order 11063 or 24 C.F.R. Part 107 shall be a proper basis for the imposition of sanctions specified in 24 C.F.R. 107.60; The Age Discrimination Act of 1975 (42 U.S.C. Sec. 6101 et seq.}; Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. Sec. 794.) and "Nondiscrimination Based on Handicap in Federally-Assisted Programs and Activities of the Department of Housing and Urban Development", 24 C.F.R. Part 8. By signing this contract, the Contractor understands and agrees that the activities funded shall be operated in accordance with 24 C.F.R. Part 8; and the Architectural Barriers Act of 1968 (42 U.S.C. Sec. 4151 et. seq.}, including the use of a telecommunications device for deaf persons (TDDs) or equally effective communication system. II. LABOR STANDARDS The Davis-Bacon Act, as amended (40 U.S.C. Secs. 276a - 276a-5); The Contract Work Hours & Safety Standards Act (40 U.S.C. 327 et.seq.); The Copeland "Anti-Kickback" Act (18 U.S.C. Sec. 874). Ili. EMPLOYMENT OPPORTUNITIES Section 3 of the Housing and Urban Development Act of 1968 {12 U.S.C. Sec.1701 u}. IV. LEAD-BASED PAINT Section 302 of the Lead-Based Paint Poisoning Prevention Act (42 U.S.C. Sec. 4831(b}} and the procedures established by the Office thereunder. Page 1 of 3 V. ENVIRONMENTAL LAW AND AUTHORITIES Environmental Review Procedures for Recipients assuming HUD Environmental Responsibilities, 24 CFR Part 58, as amended. In accordance with the provisions of law cited in §58.1(b), the responsible entity must assume the environmental responsibilities for projects under programs cited in §58.1(b), and in doing so must comply with the provisions of the National Environmental Policy Act of 1969, as amended and the Council on Environmental Quality regulations contained in 40 CFR parts 1500 through 1508. This includes responsibility for compliance with the applicable provisions and requirements of the Federal laws and authorities specified in §58.5 [below]. The responsible entity must certify that it has complied with the requirements that would apply to HUD under these laws and authorities and must consider the criteria, standards, policies and regulations of these laws and authorities. (a) Historic Properties (1} The National Historic Preservation Act of 1966 as amended (16 U.S.C. 470 et. seq.), particularly sections 106 and 110 (16 U.S.C. 470 and 470h-2), except as provided in §58.17 for Section 17 projects. (2) Executive Order 11593, Protection and Enhancement of the Cultural Environment, May 13, 1971 (36 FR 8921), 3 CFR 1971-1975 Comp., p. 559, particularly section 2(c). (3) Federal historic preservation regulations as follows: (i) 36 CFR part 800 with respect to HUD programs other than Urban Development Action Grants (UDAG} and (ii) 36 CFR part 801 with respect to UDAG. (4) The Reservoir Salvage Act of 1960 as amended by the Archeological and Historic Preservation Act of 1974 (16 U.S.C. 469 et. seq.}, particularly section 3 (16 U.S.C. 469a-1). (b} Floodplain management and wetland protection (1) Executive Order 11988, Floodplain Management, May 24, 1977 (42 FR 26951), 3 CFR, 1977 Comp., p. 117, as interpreted in HUD regulations at 24 CFR part 55, particularly section 2(a) of the order (For an explanation of the relationship between the decision-making process in 24 CFR part 55 and this part, see §55.10 of this subtitle A.) (2) Executive Order 11990, Protection of Wetlands, May 24,1977 (42 FR 26961), 3 CFR, 1977 Comp., p. 121 particularly sections 2 and 5. (c) Coastal Zone Management (1) The Coastal Zone Management Act of 1972 (16 U.S.C. 1451 et.seq.), as amended, particularly sections 307(c) and (d) (16 U.S.C. 1456(c) and (d)). (d) Sole source aquifers (1) The Safe Drinking Water Act of 1974 (42 U.S.C. 201, 300(f) et.seq., and 21 U.S.C. 349) as amended; particularly section 1424(e)(42 U.S.C. 300h-3(e}. (2) Sole Source Aquifers (Environmental Protection Agency-40 CFR part 149.) Page 2 of 3 (e) Endangered species (1) The Endangered Species Act of 1973 (16 U.S.C. 1531 et.seq.) as amended, particularly section 7 (16 U.S.C. 1536} (f} Wild and scenic rivers (1) The Wild and Scenic Rivers Act of 1968 (16 U.S.C. 1271 et.seq.) as amended, particularly sections 7(b) and (c) (16 U.S.C. 1278(b) and (c)). (g} Air quality (1) The Clean Air Act (42 U.S.C. 7401 et.seq.) as amended, particularly sections 176(c) and (d) (42 U.S.C. 7506(c} and (d)). (2) Determining Conformity of Federal Actions to State or Federal Implementation Plans (Environmental Protection Agency-40 CFR parts 6, 51, and 93}. (h) Farmland protection (1) Farmland Protection Policy Act of 1981 (7 U.S.C. 4201 et.seq.) particularly sections 1540(b) and 1541 (7 U.S.C. 4201{b) and 4202). (2) Farmland Protection Policy (Department of Agriculture-7 CFR part 658}. (i) HUD environmental standards (1) Applicable criteria and standards specified in HUD environmental regulations (24 CFR part 51 )(other than the runway clear zone and clear zone notification requirement in 24 CFR 51.303(a)(3) (2) HUD Notice 79-33, Policy Guidance to Address the Problems Posed by Toxic Chemicals and Radioactive Materials, September 10, 1979}. (j) Environmental iustice (1) Executive Order 12898 of February 11, 1994 --- Federal Actions to Address Environmental Justice in Minority Populations and Low-Income Populations, (59 FR 7629), 3 CFR, 1994 Comp. p. 859. (k} Other requirements See 24 CFR Part 58.6. VI. ACQUISITION/RELOCATION The Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (42 U.S.C. Sec. 4601 et. seq.), 24 C.F.R. Part 42, and 24 C.F.R. Section 570.606. Page 3 of 3 CERTIFICATION REGARDING LOBBYING FOR CONTRACTS, GRANTS, LOANS, AND COOPERATIVE AGREEMENTS THE UNDERSIGNED Kerr County CERTIFIES, TO THE BEST OF ITS KNOWLEDGE AND BELIEF, THAT: (1) NO FEDERAL APPROPRIATED FUNDS HAVE BEEN PAID OR WILL BE PAID, BY OR ON BEHALF OF THE UNDERSIGNED, TO ANY PERSON FOR INFLUENCING OR ATTEMPTING TO INFLUENCE AN OFFICER OR EMPLOYEE OF AN AGENCY, A MEMBER OF CONGRESS, AN OFFICER OR EMPLOYEE OF CONGRESS, OR AN EMPLOYEE OF A MEMBER OF CONGRESS IN CONNECTION WITH THE AWARDING OF ANY FEDERAL CONTRACT, THE MAKING OF ANY FEDERAL GRANT, THE MAKING OF ANY FEDERAL LOAN, THE ENTERING INTO OF ANY COOPERATIVE AGREEMENT, AND THE EXTENSION, CONTINUATION, RENEWAL, AMENDMENT, OR MODIFICATION OF ANY FEDERAL CONTRACT, GRANT, LOAN, OR COOPERATIVE AGREEMENT. (2) IF ANY FUNDS OTHER THAN FEDERAL APPROPRIATED FUNDS HAVE BEEN PAID OR WILL BE PAID TO ANY PERSON FOR INFLUENCING OR ATTEMPTING TO INFLUENCE AN OFFICER OR EMPLOYEE OF ANY AGENCY, A MEMBER OF CONGRESS, AN OFFICER OR EMPLOYEE OF CONGRESS, OR AN EMPLOYEE OF A MEMBER OF CONGRESS IN CONNECTION WITH THIS FEDERAL CONTRACT, GRANT, LOAN, OR COOPERATIVE AGREEMENT, THE UNDERSIGNED SHALL COMPLETE AND SUBMIT STANDARD FORM - LLL, "DISCLOSURE FORM TO REPORT LOBBYING", IN ACCORDANCE WITH ITS INSTRUCTIONS. (3) THE UNDERSIGNED SHALL REQUIRE THAT THE LANGUAGE OF THIS CERTIFICATION BE INCLUDED IN THE AWARD DOCUMENTS FOR ALL SUBAWARDS AT ALL TIERS (INCLUDING SUBCONTRACTS, SUBGRANTS, AND CONTRACTS UNDER GRANTS, LOANS, AND COOPERATIVE AGREEMENTS) AND THAT ALL SUBRECIPIENTS SHALL CERTIFY AND DISCLOSE ACCORDINGLY. THIS CERTIFICATION IS A MATERIAL REPRESENTATION OF FACT WHICH RELIANCE WAS PLACED WHEN THIS TRANSACTION WAS MADE OR ENTERED INTO. SUBMISSION OF THIS CERTIFICATION IS A PREREQUISITE FOR MAKING OR ENTERING INTO THIS TRANSACTION IMPOSED BY SECTION 1352, TITLE 31, U.S. CODE. ANY PERSON WHO FAILS TO FILE THE REQUIRED CERTIFICATION SHALL BE SUBJECT TO A CIVIL PENALTY OF NOT LESS THAN $10,000 AND NOT MORE THAN $100,000 FOR EACH SUCH FAILURE. _._ ... SIGNED: !r"Y ~ ..~"~ ~ ~,..,,__ DATE: July 14, 2003 NAME ~- ~~ "~~ ~~ ``s County Judge TITLE (MAYOR/JUDGE) Page 2 of 2 ATTACHMENT 3-E INSTRUCTIONS FOR COMPLETION OF REQUEST FOR PAYMENT FORM The following information needs to be complete. Xerox conies of. this form will not be honored. This form replaces BOTH of the following forms. ~ Request Summary Form (TCDP/01384, 2 pages) ~ Request for Advance or Reimbursement (TCDP Forrn 270.) PLEASE COMPLETE ALL THE FOLLOWING SECTIONS! FAILURE TO COMPLETE ALL SECTIONS WILL RESULT IN A DELAY IN PAYMENT. Name of Contractor. Type the name of the locality requesting payment This should be the same as Line 1, Section 14; and d, Section 20 of the State of Texas Purchase Voucher. Request #. This should be next in numerical order after the last request Contract Number. This should be the six digit number assigned to the locality's contrail. This should be the same as e, Section 20 of the State of Texas Purchase Voucher. Contract Period: This is the total contract period assigned to the contract including any approved contract extensions. Period Covered by This Report List the beginning and ending date for the period of time in which the costs were incurred. This period of time does not necessarily have to start up after the period of time in your last request. These periods may overlap or leave gaps from previous payment requests. This period should fall within the contract period except for any audit costs that were reserved on the Certficate of Completion. This period should coincide with the service delivery dates in Section 19 of the State of Texas Purchase Voucher. The next section should be completed using the shaded listing in the middle of the form. This section replaces the two page request summary form. List each TCDP line item number and name in Column A regardless if there is any activity on this request- Column B should reflect the current TCDP budget including any amendments and budget modifications. The total of Column B should always equal the total TCDP budget of the contract Column C ~ should reflect this requests activity by line item. If there is not any activity leave the space blank. The total of Column C should equal Box B located below the listing of line items on the Request for Payment form and Section 13 and Section 23 of the State of Texas Purchase Voucher. Column D should reflect the total of all prior requests by line item. The total of Column D should equal Box A located below the listing of line items. Column E should equal Column B less Column C less Column D for all line items including the totals. The total of column E should also equal the TCDP balance of aH line items added together. 3-26 Box A should equal the total of Column D. Box B should equal the total of Column C. Box C should equal Box A plus Box B. Local Match Amount Spent to date should equal any local funds expended to date for this contract Certficadon: Enter the name and the tide of the individual previousy authorized to sign the Request for Advance or Reimbursement -Form 270. It must contain an original authorized signature which is different from the original authorized signature used on the State of Texas Purchase Voucher. Please include the date signed and a telephone number, where this individual can be reached. You may note anything you wish to in the Remarks section. Please DO NOT sign in the fast section for the ORCA Accounting Department Apprrnral. 3-27 Contract Number OFFICE OF RURAL COMMUNITY AFFAIRS COMMUNITY DEVELOPMENT BLOCK GRANT Contract Period: REQUEST FOR PAYMENT From TO Name of Contractor Period Covered by this Report: Request p From 70 Column A Column 8 Column C• Column D Celumn E NUMBFA AND NAME OF BU L1N ~I EE u5T BELO BUDGET R EST T R TOTALS Using the following list enter in Column A the line items that are applicable to the contract budget. Economic Development contracts DO NOT use this form. la. Water Facflitiec 11. Parkin Facilities 19. Public Nausing Modernfaatfoa w AMaedable Nw Nousirtg lb. Sewer Facilities 12. Pedestrian Malls and Walkways 20. Clearance Demolltbn Aethltha 2. Solid Waste Disposal Facilities 13. Specially Authwizad Aasistanu to 21. Nistorie Preaenatlon 3. OtMr Public Utilities Privately Owned Utilities 22. Removal of ArcAiteetural Barden 4. Street Improvements 14. Specially Authwlzed Public Facllitlet and Improvements 23. Code EnlweemelK 5. Flood and Drainage Facilities 15. Public Services (Umited to 15g(r of Request) 24. Acquisition 6. Neighborhood Facilities/Community Center 16. Interim Assistance 25. Relocation Payments and Asslstanu 7. Senior Center 17. RehablliUUon of Prlrate Properties 30. EnginteringlArchllectural Serrieea 8. Centers for the Handicapped/Sheltered Workshops 17a. Rehabilitation of Private Properties (YValer) 31. Planning and Urban Emlronmental Design 9. Parks, Playgrounds aM Other Recreational Facilities 17b. Rehabilitaton of Private Properties (Sewer) 32. General Administntlon 10. Fire Protection Facilities and Equipment 18. Rehabilitation of Public Residential Structures TOTAL PRIOR REQUESTS Box A Note Boy 4 5nnult] e~ua~ tola~ nl Cnwmn 0 aoore AMOUNT NOW REQUESTED Box B Note Bo. B snoula a ual total of Cowmn C anove TOTAL Box C Note Boy C snoula eauai Boa M Bo. B LOCAL MATCH AMOUNT SPENT TO DATE: CERTIFICATION: I certify that to the Dest of my knowledge and belief the dat above are correct and that all outlays were made Signature o1 Authorized Certifying Olticial DaT[ in accordance with the terms of the contract and that oavment is due and has not been oreriously drawn Typed or printed Name and Title TaNpaena (Mae CaMI Ma,asar ALL EXPENDITURES RELATED TO TNIS CONTRACT MUST BE CONSISTENT WITN THE UNIFORM GRANT AND CONTRACT STANDARDS DEVELOPED UNDER THE DIRECTIVE Oi UNIFORM GRANT AND CONTRACT MANAGEMENT ACT OF 1981, TEXAS CIVIL STATUTES. ARTICLE 4413 (32G). REMARKS: Approval of ORCA • Accounting Department Date of ORCA Accounting Approval ATTACHMENT 3-F INSTRUCTIONS FOR COMPLETION OF STATE OF TEXAS PURCHASE VOUCHER The following information needs th be complete. erox conies of this form will not be honored. The numbers on this page coincide with the number typed on the sample form. Only complete the sections described in these instructions. All other sections not mentioned here should be left blank Section 9: Payee Identification Number -List the 14~igit Vendor I.D. number issued by the State Comptroller's Office. This number is extremely important Failure to insert this number or the entry of an erroneous one will resuR in the delay of the voucher. If you do not Imow what your Vendor I.D. number is or the one you have does not consist of 14 digits, please contact the Accounting Department at ORCA at (512) 123/4567 .Please refer to the Community Development Program. Section 13: Total Document Amount -Enter the total amount you are requesting. This amount is also reflected in the total in Column C and Box B of the Request for Payment form. Section 14: Locality's Address -Type the name and address of the locality requesting payment as follows: Line 1: Locality Name -Acronyms cannot be used. The official name of the locality must be spelled out as shown on the articles of incorporation, charter, or contract. Any change from what has been established will lead th confusion and delay in receiving payment. Ljne 2: Street Address or P.O. Box -Please note this is the address used to mail the warrants and/or notifications. Line 3: City, State and Zip Code Section 18: This is the section where the state fiscal year (AY), Comptroller object code (COBJ) and amount requested (Amount) are shown. (a) State fiscal year (AY) -The state fiscal year begins September 1 and ends August 31. AY -Enter 94 for services rendered between 9/1/93 and 8/31/94 AY -Enter 95 for services rendered between 911194 and 8/31/95 AY -Enter 96 for services rendered between 9/1195 and 8/31/96 AY -Enter 97 for-services rendered between 9/1/96 and 8/31/97 NOTE: tf the service dates. start. before September 3 and .end .after Septembec:l, the amount i~rora#ion is very. rmporfanL :Failure to prorate wifi r!esuft `in a;:delay.:a .processing: Please note that if you:are prorating a request; for example.:beiween two state:fiscal years:{AY), you will'be:using:two sections af'Section 18 {see Sample Pusrhase?Voucher) These. two sections must equal:the:totatamount requested in Section 13:and Sec6ion.23 3-29 (b) Enter the Comptroller object code (COBJ) which appropriately reflects the locality's agency classfication. 7611 -City 7612 -County 7621 -Council of Government, Regional Planning Commission, Development Council (c) Enter the amount requested which corresponds with the amount expended during the state fiscal year shown in cortesponding AY (a). Section 19: Service or Delivery Dates -List the beginning and ending date for the period of time in which the costs were incun-ed. This period of time does not necessarily have to start up after the period of time in your last request These periods may overlap or leave gaps from previous payment requests. This period should coincide with the period covered by this report at the top of the Request for Payment Form. Section 20: Description of Goods or Services - (d) Enter the locality riame as it appears in Line 1 of Section 14 of this form. (e) Enter the contract number assigned to the locality's contract This should be the same as the contract number on the top of the Request for Payment Forth. (f) Local Certification: Enter the name and the title of the individual authorized to sign this form. It must contain an original authorized signature which is different from the original authorized signature used on the Request for Payment Form. Section 23: Enter the total amount requested (see Section 13). Section 24: Locality Contact Name -This is the person who will be contacted concerning problems with the request This person will also be the person who will be contacted for notfication of direct deposit This does not have to be someone who has signature authority on the contract Please be sure to include the phone number where the contact person can be reached. 3-30 STATE OF TEXAS PURCHASE VOUCHER Page t Archive reference numtxr 2. Agenq number 3. Agenuy name s Currant aocumem numtxr 357 OFFICE OF RURAL COMMUNITY AFFAIRS 5. Effsewe date 6. Order document Oats 7. Due date 6. Doc Agency 9. Payee idenMrptwn number (Must be U digits) 10. PDT 11 PCC 12. Repursiuort number 73. Doament amount 1234567890C'000 51,000.00 1! Payee nartte I addross 1 S. GSC ordgr number 17. AGENCY USE City Of ABS S A *~r p L g ' L°"°"°mb°r P.O. Box 123 ABS, Texas 12345 Ref Doc SFX M TC Indez PCA AY COBJ AOBJ Amount R 001 96 7611 $1, 000.00 sl=x 001 APPN Fund NACU80 Grant number Gnnt year/phase Protett number Prated Contratt number Mulapurpose cods SuD-Fund ~a~ Invoice number rnpuon Ref Doc SFX M TC Indez PCA AY COBJ A08J /lrrtounl R sFx 002 97 7611 $1 500.0 042 APPN Fund NACUBO Grant number Grant year/phase Protett number Prged Gontrott number Mulbpurpoae code Sub-Fund Phase Invoice number srnption Rei poc SFX M TC Indez PCA AY COBJ AOBJ Arttount R sFx 003 003 APPN Fund NACUBO Grant number Grant yeanpnase Protect number Protett Convect numtxr Mutapurpoae code Sub•Fund Phase Invoice number srnpbon 19 SER/DEL DATE 20. DESCRIPTION OF GOODS OR SERVICES 21. QUANTITY 22. UNIT PRICE 23. AMOUNT Advance/reimbursement of service to assist low-income and moderate- income areas within the Community Development Block Grant Program rendered in accordance with an agreement between the Office of Rural Community Affairs and Ci tv of ABS as funded through the Department of Housing and Urban Development (HUD). 07/01/93 thru 712456 10 / 31 / 9 3 Contract No. is on file and available for inspection. LOCAL CERTIFICATION I cemy loaf the above semces wsro rendered or goods roceivetl: that they correspond in every particular way with the conaatt under wNCh they wero procuratl; that the rnvace is true and unpaid: and Nal the claim was prosente0 to the State within die applicable 6miUhons perwd. Name (Type or Prmt an0 Spn) True 24. Locality Contact name Phone IAroa code and numtxrt 25. Entered by City of ABS, City Secretary 512/123-4567 26. I approve this voucher for payment. The above goods or services correspond in every particular with the contract under which they were purchased. The invoice far the goods or services is correct. This payment complies with the General Appropriations Act. sl~n Phone (Nee code and number) Date Approved here 819n Pnone IArea code and number) Date Approved here STATE OF TEXAS PURCHASE VOUCHER Pepe of 1. ArcAiw rokranp nunbM . Agency rxzrWer .Agency nano 4. OoraarNnt nwnber 357 OFFICE OF RURAL COMMUNITY AFFAIRS s. Etlective Gle a. Order doeunleM dale T. Dl» date a. Doc Agency 9. Payw idMdflcaton number (MuN be 14 dig14) 10. POT 11. PCC 12. ReplMilion number 13. Oonarlent amaxlt 11. Payw name / aldroee 7S. GSC Order ManWr f 7. A NCY USE ew num er Ref Da SFX M MWez AY A Amount SFX 001 001 APPN Fund NACU80 Grant marlWr Grant yearlpflaw Project raallber Contract nlxrlber Muaigxpoee code SutrFund Phaw Ref Doc SFX M TC Index AY Amaall R SFX 002 002 APPN Fund NACUBO Grant rarMar Grant yw/pnew PtojeG ntwnWr Project Contact numWr MuNipwpose code Sub•Fund Phew Ref Doc SFX M TC Mldsz AY A Artaunl R sFx 003 003 APPN Fund NACU80 Grant rwmbsr Grant yeadphaw Project numbs Project Contract number Multipurpow code Sub-Fund Phew Invo~rw scrpaon 19. SER/DEl DATE Z0. DESCRIPTION OF GOODS OR SERVICES 21.OUANTITY 22. UNIT PRICE 23. AMOUNT Advance/reimbursement of service to assist low-income and moderate- income areas within the Community Development Block Grant Program rendered in accordance with an agreement between the Once of Rural Community Affairs and as funded through the Department of Housing and Urban Developrrtent (HUD). Contract No. is on file and available for inspection. LOCAL CERTIFICATION I urtiy that the above wrvicse were rendered or goods reaiwd; Mat nxy corrospond in every particuta way wiM the conVact under which they wsro procured; that Ula invoice ie tue and unpaid; and Mat Ms daim was prewnled b the SUte within lhs applicable Fmilatione perad. Name (Type a Pnnl and Sign) Tilt 24. Locality ontact Warne Phone (Area code end number) 5. ntered by 26. I approve this voucher for payment. The above goods or services correspond in every particular with the contract under which they were purchased. The invoice for the Dods or services is correct. This pa ent complies with the General Appropriations Act. llQn Phone (Area code and number) Oate Approved here sign Phone (Mee code ono number) Dale Approved here Contract Number OFFICE OF RURAL COMMUNITY AFFAIRS COMMUNITY DEVELOPMENT BLOCK GRANT Contract Period: REQUEST FOR PAYMENT From TO Name at Contractor Period Covered by this Report: Requtst N From TO Column A Column B Column C Column D Column E NUM t M S[E UfT lUDOlT R EST R [fTf TOTALS Using the following list enter in Column A the line items that are applicable to the contract budget. Economic Development contracts DO NOT use this form. la. Water iadRtiea 11. ParWnt iadllUes 19. Public Nousin: Modsmfudoe tx Aflordable New Housin f lb. Sewer FaelliUes 12. Pedestrian Malta aM Walkways 20. CMarattce Wmelition AeUrlties Z. Solid Wasb Oispoal Facilitin 13. Specially Authorised Assistance to 21. Historic PreserraUon 3. Other PuWie UUlitles Prirably Owned UtiNties 22. Remotral d Architecteral Barriers 4. Street Improvements 14. Spedally Author@ed Public FaeiNtip and Improvements 23. Cade Enlorcement S. Flood and Drainap Fadlitlea 15. Public Services (Limited to 15'x of Request) 24. Acquisition 6. Nei fhtrorhoed Facllltles/Community Centers 16. Interim Assistance 25. Relocation Peymen4 and Assistance 7. Senior CeMen 17. Rehabilitation of Prirale Properties 30. En=Inwrin=/Arldritel:turai Servltea 8. Centers for the Handiapped/Shattered Workshops 17a. Rehabilitation of Private Properties (Water) 31. Plannin=and Urban Eavlroemetttal Desi=tt 9. Parks, Playgrounds and Other Rxreatlonal Fxilities 17b. Rahabilitation of Private Properties (Sewer) 32. General Adminlttration 10. Fire Protection Facilltles and Equipment 18. Rehabilitation of Public Residentlal Structures TOTAL PRIOR REQUESTS Box A Note Boa A Shouitl a ual total of Column D aDOVe AMOUNT NOW REQUESTED Box B~ Nile Bo. B shoulC a ual lotat o1 Column C anove TOTAL Box C Note Bov C shoulC eaual Bo. A. Boa B LOCAL MATCH AMOUNT SPENT TO DATE: I -~ CERTIFICATION: I certify Ihal to the best of my knowledge and belief the data abort are correct and that sll outlays were made Signature of Authmi:ed Certitp ng Official DATE: in accordance with the terms of the contract and that oavment is due and has not been oreriously drawn Typed or printed Name and Title r.l.oNen• cAr•• c•a•1 Mwnl,•r ALL ExPENDITURES RELATED TO THIS CONTRACT MUST BE CONSISTENT WITH THE UNIFORM GRANT AND CONTRACT STANDARDS DEVELOPED UNDER THE DIRECTIVE OF UNIFORM GRANT AND CONTRACT MANAGEMENT ACT OF 1981. TE%AS CIVIL STATUTES. ARTICLE 4413 (32G). REMARKS: Approval of ORCA • Accounting Department Date of ORCA Accounting Approval Office of Rural Community Affairs (ORCA) Audit Certification Form Subrecipient: Fiscal Year Ending: We have exceeded the federal or state expenditure threshold of $300,000. We have or will contract with (CPA Firm) to complete our Single Audit or Program Specific Audit. We anticipate completion of the audit by and will submit the audit report within nine (9) months after the end of the audited fiscal year. We did not exceed the $300,000 federal or state expenditure threshold required for a Single Audit or a Program Specific Audit to be performed this fiscal year. (Fill out schedule below) Federal/State Expenditure Disclosure Must be filled out if less than $300,000 of federal or state expenditures was expended: Pass-through Program Name & Contract Federal Grantor Grantor CFDA Number Number Expenditures Total Federal Expenditures for this Fiscal Year $ State Funds Pass-through Contract State Grantor Grantor (if any) Program Name Number Expenditures Total Stafe Expenditures for this Fiscal Year $ Printed Name Title Authorized Signature Phone Number Date Failure to submit this or a similar statement or failure to submit a completed single audit package as described in the audit requirements by the required due date could affect funding on current grants and eligibility for future grants. Submit this form to ORCA within 60 days after the end of your fiscal year to: ORCA Compliance and Audit Unit P. O. Box 12877 Austin, TX 78711-2877 512-936-6776 (fax) (800) 544-2042 Office of Rural Community Affairs (ORCA) Single Audit Report Submission Checklist Subrecipient: FYE: / / ORCA is distributing this checklist to improve the quality and completeness of audit reports. Please have your CPA complete and sign this checklist. Submit the completed checklist along with the required audit reports to ORCA's Compliance & Audit Unit within nine (9) months after the end of your fiscal year. For questions call (512) 936-7892 or (512) 936-7882 or (800) 544-2042. To comply with OMB Circular A-133 and meet ORCA requirements, the following checked items are submitted: Two copies of the audit report. Is a management letter issued in conjunction with the audit report? ( YES or NOS If yes, two copies of the management letter, response and planned corrective action on all findings and recommendations noted in the mane ement letter. Mark N/A if no mane ement letter issued Is audit report submitted more than nine (9) months after the end of the audited fiscal year? ( YES_ or NOS If yes, response and planned corrective action for the delinquent submittal. (Mark N/A if submitted within nine 9 months OpinionlReport on Organization's Financial Statements in accordance with Government Auditing Standards. SOP 98-3 General Purpose or Basic Financial Statements of the Organization. (SOP 98-3) Notes to the General Purpose or Basic Financial Statements of the Organization. (SOP 98-3) Opinion/Report on Schedule of Expenditures of Federal Awards. (SOP 98-3) (may combine with Financial Statement O inion A Schedule of Expenditures of Federal Awards, including TDHCA's award numbers, the Federal Agencies, the Pass-Through Agencies, the CFDA numbers and the total expenditures for each individual Federal ro ram b allocation, if a licable . OMB A-133, Sub art C, Sec .310 b Notes to the Schedule of Federal Awards, which describe significant accounting policies used in preparing the schedule. Report on Compliance and on Internal Control Over Financial Reporting Based on an Audit of Financial Statements Performed in Accordance With Government Auditin Standards. OMB A-133, Sec .505 b Report on Compliance With Requirements Applicable to Each Major Program and Internal Control Over Com liance in Accordance with OMB Circular A-133. OMB A-133, Sec .505 c Schedule of Findings and Questioned Costs. (OMB A-133, Sec .505 (d)) Summary of auditor's results; Current Audit Findings, Reportable Conditions and Planned Corrective Action; Prior Audit Findings, Reportable Conditions and Planned Corrective Action. All reports signed and dated by the CPA. Signature of CPA Signature of Subrecipient Audit Contact Name and Title of CPA (please print or type) Name/Title of Audit Contact (please print or type) Office of Rural Community Affairs (ORCA) Audit Requirements Based upon revisions to OMB Circular A-133 (6/30/1997) and Uniform Grant Management Standards State of Texas Single Audit Circular (November 2000) (UGMS), subrecipients expending $300,000 or more in total Federal or State awards (from ORCA and other funding sources) during their fiscal year shall obtain either an annual single audit or an annual program specific audit (OMB A-133 Subpart B Sec. 200 and UGMS). subrecipients may have a program specific audit in accordance with OMB Circular A-133 or UGMS if they expended funds for only one Federal (as listed in the Catalog of Federal Domestic Assistance) or one State program. If funds were spent for more than one Federal or State program, a single audit is required. The audit shall be conducted by a Certified Public Accountant (CPA) who is licensed by the Texas State Board of Public Accountancy. The CPA shall meet all of the general standards concerning qualifications, independence, due professional care and quality control as required by Government Auditing Standards, 1994 Revision, Chapter 3, including the requirements for continuing professional education and external peer reviews. Auditor selection should adhere to federal and state procurement requirements. The independent auditor's report should include all the relevant items listed on the Single Audit Report Submission Checklist (other side). Additional guidance on the conduct and reporting of these audits is contained in the latest issuance of the following publications: • Government Auditing Standards issued by the Comptroller General of the United States, 1994 • OMB Circular A-133, revised 6!30/1997 • OMB Circular A-133 Compliance Supplement • AICPA's Audit Guides for State & Local Governmental Units or Non-for-Profit Organizations • AICPA's Audit Risk Alerts "State and Local Governmental Developments" • AICPA's Audit Risk Alerts "Not-for-Profit Organizations Industry Developments" • State of Texas Uniform Grant Management Standards All subrecipients must submit the provided Audit Certification Form which indicates whether you are subject to a single/program audit. subrecipients expending less than $300,000 in Federal or State funds are not required to have an audit for that year and maylnot charge any audit costs to Federal or State awards (OMB A-133 Subpart B Sec. 230(b)(2); UGMS Subpart B Sec 230(b)(2)). The audited time period is the subrecipient's fiscal year, and not ORCA's funding period. subrecipients receiving federal awards or state awards from ORCA who are not required to have an audit shall certify in writing to the agency. The grantee or subgrantee's chief executive officer or chief financial officer shall submit the certification within 60 days of the end of the grantee's/subgrantee's fiscal year. (UGMS Subpart-C- Financial Administration- 26(d)) subrecipients should submit the following items within the required timeframe: Due within 60 Days of the subrecipient's fiscal year end: (required for all subrecipients) • Completed Audit Certification Form (next page) Due within 9 months after the end of the audited fiscal vear: • Single Audit Report Submission Checklist completed and signed by the independent CPA (other side); • 2 copies of the entire audit report issued by the CPA; • 2 copies of any management letter issued in conjunction with the audit report; and • 2 copies of management's response and planned corrective action on all findings, recommendations, and questioned costs contained in the audit report and management letter. If the subrecipient did not exceed the $300,000 expenditure threshold, records must still be kept available for review or audit by ORCA staff (OMB A-133 Subpart B Sec. 200(d); UGMS -Section IV. State of Texas Audit Circular- Subpart BSec. 200(d)). If additional information is needed concerning the audit requirements, call (512) 936-7892 or 936-7882 or (800) 544-2042.