cdbg back to the basics - arizona...labor standards helpful hints 5. monitoring & closeout 6....

CDBG Back to the BasicsADOH CD&R Staff

SESSION AGENDA

1. NEW CDBG APPLICATION FORMAT

2. ELIGIBLE PROJECTS AND APPROPRIATE SERVICE AREAS

3. SHPO AND ENVIROMENTAL REVIEW

4. LABOR STANDARDS HELPFUL HINTS

5. MONITORING & CLOSEOUT

6. QUESTION AND ANSWER

CDBG Application – New Format

CDBG Application Handbook REV. 1/12/18. Available for download from https://housing.az.gov/documents-links/handbooks

Reduced to 5 forms with any required back-up supplied by applicant.

https://housing.az.gov/documents-links/handbooks


Form 1 – Checklist


Form 2 – Application Cover Sheet


Form 3 – Budget Summary


Form 4 – Activity Description / National Objective Compliance


Form 5 – Project Timeline


Application is sent electronically via the CDBG & HOME (Owner Occupied Housing Rehabilitation) Portal: https://housing.az.gov/portals/document-upload-portals

No Hard Copies of the application are sent to ADOH !!

BUT… Original signed forms to be mailed to ADOH:

CDBG Application Certifications

Disclosure Report

https://housing.az.gov/portals/document-upload-portals

Eligible Projects – Appropriate Service Area

What is the National Objective that relates to your project? Low Mod Income (LMA, LMH, LMC)?

Slum/Blight?

Urgent Need?

If LMA - Can you use the Low Mod Income Summary Data (LMISD) released by HUD and updated annually to show your Community is at least 51% Low-Mod?

YES – document your application, no further action needed

NO - Compare your project to Low-mod data for the Census Tract/Block group of your project service area.

SERVICE AREA = The SPECIFIC geographic area where the PRIMARY BENEFICIARIES of the proposed CDBG Activity reside.


Does the Service Area of your project fall within a Low-Mod Census Tract/Block Group?

YES – Document your application. No further action is necessary.

MAYBE? – Consult with your ADOH CD&R Specialist for further guidance on how to proceed.

NO – You must do a Special Income Survey


Most Low-Mod Area (LMA) projects do NOT fit nicely into a Census Tract/Block Group.

Plan ahead, many projects will require a Special Income Survey

How do I complete a Survey?

Three Phases: Preparation/Submission/Review of Survey Documentation

The Survey Process

Tabulation/Final ADOH Review and Approval

*NOTE: Completing your Survey should be easier than completing a triathlon*

Who to Survey?

How many households in the Service Area? Census Survey: Survey EVERY home in SA

Less than 50 homes

Random Sample Survey: Survey specific number of homes in SA

More than 50 homes

If over 50 homes, Census Survey is still an option

75% Response Rate is required!

Planning the Survey

Three Survey Types

Mail

Telephone

Face-to-Face (Door-to-Door)

Survey Planning

When to visit, mail, call?

Start and Completion dates?

Process for follow-up?

Tracking household responses?

ADOH Review

Submit to your Specialist: Survey Instrument/Questionnaire

Survey Cover Letter OR Survey Script

Methodology Letter

Outlines survey process to your Specialist

List of specific requirements in Handbook

Once approved, Community receives approval to start from ADOH

Administering the Survey

Be ORGANIZED! Log Responses vs. Non-Responses vs. Vacancies

Follow your established/approved process

Difficult Situations – Have Procedures in Place! Non-English Speakers

Difficult Respondents

Requiring Additional Information

Make every attempt to contact residents and obtain accurate data!

Tabulating the

Results

Recordkeeping and Validity

KEEP ALL YOUR RECORDS!!!

Can I use this survey again? “An income survey…can be used for another…activity IF the SA of the

second activity COINCIDES EXACTLY with the SA of the first”

How long is this good for if the SA is the same? “May be allowed in very limited cases where the time lapse between

activities is small (i.e.-less than a year)…[because] the same people who were sampled [may have had] changed in their socioeconomic conditions”

SHPO and Environmental ReviewDaniel Boyle

SHPO change of leadership. ADOH Working with SHPO to reduce the number of projects submitted for consultation and to improve the contents of the requests.

Reducing the number of requests will be accomplished by:

1. ADOH change to the OOHR Appendix A Form.

2. Working with ADOH and SHPO.

Improving the contents of the requests will be accomplished by:

1. Including a clear and concise scope of work.

ADOH Change to Appendix A

Revised E-HR.2 Appendix A

Examples of projects that would not require SHPO/THPO consultation

1. Waste Water Treatment Plant Improvements

To use CDBG funds to complete the following improvements:

Scope sewer lines to inspect for damage and blockages.

Purchase and replace 3 existing grinder pumps.

Purchase and replace 2 existing electrical cabinets.

Example 2

2. Sidewalk Improvements

To use CDBG funds to make the following improvements:

ADA curb cuts on existing sidewalks at two intersections not located in a historic district.

Examples of a project that would require SHPO/THPO consultation

1. Dog town Well Project

To use CDBG funds to complete the following improvements:

Connect two existing wells to a new holding tank.

Install 3000’ of new 8” mainline pipping.

Street repairs as needs where cuts are required.

ERR Content

A detailed scope of work is very important.

Indicate if activity is new or replacing the existing.

Indicated if the capacity is the same or the % of change.

Ask Questions

If you are uncertain if SHPO/THPO consultation is needed, ask your CDBG Specialist.

Submitting ERR Reminders

When you submit your ERR please make sure to:

Use the corresponding checklist and include with your ERR.

Submit the ERR with the forms in the order listed on the checklist.

All consultation letters should be in the order listed in the E-4 or E-11.

Include correct E-DD Form with ERR to make sure the correct comment periods are followed.

Helpful Hints – Labor StandardsDaniel Boyle

Labor Standards Tips

Submit Forms on time.

Review payrolls before they are sent to ADOH.

Submit week 1 payrolls and interviews for all contractors and subs.

Section 3 Required FormsStart of Project

All contracts $100,000 or more are subject to Section 3.

Section 3 Assurance Form (S3B-1) is to be submitted with bid docs or within 3 days of award.

Estimated work force breakdown (S3B-2).

Section 3 Required FormsEnd of Project

Business Utilization Report (S3R-2). Filled out by the contractor and submitted with contactors final draw.

Applicant and New Hire Employment Report (S3R-3)

Helpful Hints - Monitoring

Helpful Hints - Monitoring

HOW TO PREPARE (BEFORE MONITORING VISIT)

DAY OF MONITORING

AFTER MONITORING (WHAT’S NEXT)

How to prepare…

How to prepare…

Organize your files

Financials

Beneficiary files (OOHR)

Bid Documents

Environmental Review

Labor Standards

Day of monitoring…


Have an office, conference room or desk available for the specialist to spread-out forms and files to perform audit.


REMINDER: We aren’t there to look for something wrong or catch you doing something bad. We’re there to monitor and review everything you’ve done right and to help and make suggestions on items you could improve on. If something is wrong or incorrect, we’re there to work with you to correct it.


Once files have been reviewed, site visits take place. Show us the work you’ve done! We’re excited to see you excited!

After monitoring (What’s next?)

Helpful Hints –Close OutSamantha McDaniel

Helpful Hints – Close Out

Things You Must Know

What To Expect Administrative Close Out


Things that you must Know All funds must be spent PRIOR to contract completion date.

If you are unable to submit the Closeout Report by the deadline assigned to you then you must notify us in writing at least 30 days prior to the due date.

A Closeout report is due within sixty (60) days of EITHER the date that all funds have been expended or the date of the contract expiration.

What To Expect when you are expecting… To Close Out.

What To Expect

Once your specialist has received EITHER the final RFP or you have reached your contract end date, he or she will send you a Closeout due memo along with any needed Closeout documents.(In the Closeout document packet, there will be a closeout report due date that you must follow.)

NOTE:

These forms are also provided in section 8 of the CDBG Administration Handbook.

ADOH strongly recommends that you read the entire chapter on Closeouts as it may answer many of the questions that may come up in the Closeout process.

Administrative Close Out

Administrative Closeout

Administrative Closeout

ADOH will resolve any deficiencies in the Closeout documents.

ADOH will do an on-site monitoring.

Once all deficiencies have been met and on site monitoring is complete, ADOH will send the community an administrative closeout letter.

Communities file gets archived and the project is considered Administratively closed. (This means that the Department does not consider this contract to have any outstanding issues in regard to contract compliance.) All final reports have been received, reviewed and found acceptable and to the Housing Department’s knowledge all contract activities have been satisfactorily completed according to the terms of the contract.