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Federal Register / Vol. 86, No. 117 / Tuesday, June 22, 2021 / Notices
pursue remedies based on performance consistent with subpart O of the CDBG
regulations including corrective and remedial actions in 24 CFR 570.910, 570.911, and 570.913 or under subpart I of the CDBG regulations at 24 CFR part 570 in accordance with the waiver and alternative requirement in V.A.20.
V.A.1.a. Certification of financial controls and procurement processes, and adequate procedures for proper grant management. The Appropriations Act requires that the Secretary certify, in advance of signing a grant agreement, that the grantee has in place proficient financial controls and procurement processes and has established adequate procedures to prevent any duplication of benefits as defined by section 312 of Stafford Act, 42 U.S.C. 5155, to ensure timely expenditure of funds, maintain a comprehensive website regarding all disaster recovery activities assisted with these funds, and detect and prevent waste, fraud, and abuse of funds.
Sections V.A.1.a. and VI.1.k. of the August 30, 2019 CDBGMIT Federal Register notice 84 FR 4584445 and 45869 required CDBGMIT grantees to provide submissions that offer evidence that its controls, processes, and procedures are proficient and adequate, and a related certification from the grantee to the Secretary. To enable the Secretary to make this certification, HUD will rely on the grantees submissions and certifications to the Secretary previously provided for the grantees CDBGMIT grant, provided, however, that HUDs approval will be conditioned on the requirement that the grantee must update its previous submissions to reflect any material changes.
If this CDBGDR grant is to be administered by an agency that does not administer a grantees CDBGMIT grant, the administering agency for this CDBGDR grant must submit the documentation for the certification of financial controls and procurement processes, and adequate procedures for proper grant management as described in Sections V.A.1.a. of the August 30, 2019 CDBGMIT Federal Register notice 84 FR 4584445.
Grantees must submit the required information within 60 days of the applicability date of this notice.
V.A.1.b. Implementation plan and capacity assessment. CDBGDR funds typically require grantees to adopt new roles and responsibilities within their organization and to establish new working relationships with other entities external to the organization. The use of CDBGDR funds for electrical power system improvements presents unique risks for grantees, requiring
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enhanced levels of technical expertise and close coordination among multiple agencies of the grantee, federal agencies, public utilities, local governments, and other stakeholders. Before signing a grant agreement, HUD requires each grantee to demonstrate that it has sufficient capacity to manage these funds and the associated risks.
Evidence of grantee management capacity must be provided through the grantees implementation plan and capacity assessment submitted with the grantees action plan. These submissions must meet the criteria in 1 and 2 below. A grantee has sufficient management capacity if it submits documentation showing that each of the following criteria are satisfied:
1 Timely information on applications. A grantee has adequate procedures to enable applicants to determine the status of their applications for CDBGDR assistance, at all phases, if its procedures indicate methods for communication i.e., website, telephone, case managers, letters, etc., ensure the accessibility and privacy of individualized information for all applicants, indicate the frequency of applicant status updates, and identify which personnel or unit is responsible for informing applicants of the status of CDBGDR applications.
2 Implementation plan. To enable HUD to assess risk as described in 2
CFR 200.206, the grantee must submit an implementation plan to the Department. The plan must describe the grantees capacity to carry out electrical power system improvement activities, how it will address any capacity gaps, and how agency staff of the grantee that administers other CDBGDR funds and CDBGMIT funds will work with other agencies of the grantee that administer the Federal Emergency Management Agency FEMA funded mitigation and public assistance funds and other Federally funded activities that support electrical power system improvements.
Additionally, grantees must identify any management and operational reforms that have been or will be implemented by the grantee or its planned subrecipients, subgrantees, and any other agencies of the grantee that will carry out a portion of the grant, in order to improve operational efficiency, accountability, and the outcomes associated with the use of CDBGDR
funds for electrical power system improvements. HUD will determine a plan is adequate to reduce risk if, at a minimum, it adequately addresses a through f below:
a Capacity assessment. The grantee has assessed its capacity to carry out
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electrical power system improvement activities and has developed a timeline with milestones describing when and how the grantee will address all capacity gaps that are identified. The assessment must include a list of any open CDBGDR or CDBGMIT findings by HUD or its Office of the Inspector General and an update on the corrective actions undertaken to address each finding. HUD may include additional requirements in the grantees grant conditions to prevent similar findings for this grant.
b Staffing. The plan shows that the grantee has accurately assessed staff capacity and identified adequate personnel who have documented experience in the timely development and implementation of electrical power system improvements, including in particular, the distribution, substation, and communication components of the system; staff that are responsible for procurement and contract management, including compliance with the regulations implementing Section 3 of the Housing and Urban Development Act of 1968 24 CFR part 75 Section 3;
staff with experience and capacity in compliance with fair housing and environmental requirements; and personnel responsible for monitoring, quality assurance, and proper financial management. The grantees staffing plan may include the procurement of external consulting services with expertise in the development and implementation of electrical power system improvements. An adequate plan must also describe the grantees internal audit function and the extent to which the internal audit function has been enhanced to account for the technical and specialized nature of the electrical power system improvements to be funded, including responsible audit staff reporting independently to the chief elected official or executive officer or governing board of the designated administering entity. To help complete this staffing exercise, grantees may choose to use the Staffing Analysis Worksheet available on the HUD Exchange at https
www.hudexchange.info/programs/cdbgdr/toolkits/program-launch/capacity.
c Internal and interagency coordination. The plan describes how the grantee will ensure effective communication and coordination between different departments and divisions within the grantees organizational structure and other grantee agencies and governmental entities involved in the design and implementation of electrical power system improvement planning and projects; agencies or divisions
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