Community Development Block GrantOverview Training Program

CDBG 101

Agenda8:15 Registration9:00 Welcome & Overview9:20 What is CDBG?9:25 Who Can Apply?9:30 Eligible Activities9:50 National Objective

10:15 Break10:30 Exercise #1 11:00 OCRA Programs / Community Liaisons11:15 Planning Grant Application11:45 Lunch12:30 Construction Grant Application1:15 Break1:30 Exercise #22:00 Planning Grant Administration2:15 Construction Grant Administration2:45 Break3:00 Exercise #33:15 CDBG 101 Review3:30 Pros and Cons of Grant Administration3:50 Preview of CDBG 201, 301 and 401

4:00 Class Dismissal

Introductions

Shannon McLeodPriority Project Resources, Inc.531 Sycamore TraceGreensburg, IN 47240

Phone: (812) 663-7385Mobile: (317) 695-4434

Email: Shannon@pprgrant.com

Certified Since 1992

Workshop Overview

Provide a basic overview of the

federal regulatory requirements

affiliated with the

Writing and Administration of a CDBG Grant

via the

Indiana Office of Community and Rural Affairs

(OCRA)

What Is CDBG?

Stands For: Community Development Block Grant (CDBG)

Type of Funds: Federal Funds

Come From: US Housing & Urban Development (HUD)

Given To: State Governments & Entitlement Communities

Used For: Community Related Projects that Better the Quality of Lifeand Help Stabilize or Improve the Community’s OverallEconomic Condition

How are CDBG Funds Disbursed?

United States Department of Housing & Urban Development

HUD

Entitlements State Governments

Entitlement Communities

• Entitlement Communities are communities that have a population of50,000 or more.

• These communities obtain their CDBG funds direct from HUD; and areineligible for funds from the state.

Entitlement CommunitiesThere are 21 Entitlement Communities & 2 Entitlement Counties within the State of Indiana. They are as follows:

City of Anderson City of Gary City of Michigan City

City of Bloomington City of Goshen City of Mishawaka

City of Columbus City of Hammond City of Muncie

City of East Chicago City of Indianapolis City of New Albany

City of Elkhart City of Kokomo City of South Bend

City of Evansville City of Lafayette City of Terre Haute

City of Ft. Wayne City of LaPorte City of West Lafayette

Hamilton County and Lake County

Indianapolis virtually makes up the entire portion of Marion County; known as MarionCounty/Indianapolis UniGov. However, there are a few communities within Marion County, suchas Speedway, Lawrence, Beech Grove, and Southport, that are not part of UniGov and thereforewould be eligible for CDBG assistance.

State CDBG Program

• HUD gives the State of Indiana around $28 million dollars annually todisburse to non-entitlement communities .

• The amount of funding the State receives is contingent upon:

1. The Federal Budget (congressional appropriations);

2. Indiana’s Consolidated Plan (needs assessment); and

3. Indiana’s Overall Financial Management of the CDBG funds.

The HUD funds are divided up between two (2) state agencies; so as each canimplement their approved grant programs.

State CDBG Program

The Indiana Office of Community

and Rural Affairs (OCRA) receives approximately 90% of

the allocated funds.

Whereas, the Indiana Housing and

Community Development Authority (IHCDA)

gets approximately 10% of the allocated funding.

OCRA CDBG Program

Program Maximum Grant Amount

Planning Up to $50,000

Wastewater Drinking Water (WDW) Up to $700,000

Stormwater Improvements Program (SIP) Up to $600,000

Public Facilities Program (PFP) Up to $500,000

Blight Clearance Program (BCP) currently on hold

Main Street Revitalization Program (MSRP) Up to $600,000

Programs and funding amounts for each are reviewed on an annual basis.Recommendations for how the funds should be disbursed is determined via publiccomment and the development of each year’s Method of Distribution and AnnualAction Plan.

Grant Applicants

Who Can Apply for OCRA’s CDBG funds?

Non-Entitlement Cities

Incorporated Towns

Non-Entitlement Counties

EligibleGrant

Applicants

Grant Applicants

Can a Not-for-Profit or a Sub-Unit of the Municipalityapply for a CDBG Grant?

They would need to partner with one (1) of the eligible grant applicants

and enter into a Sub-Recipient Relationship/Agreement

Sub-RecipientsA sub-recipient is a registered 501(c) Not-for-Profit entity or sub-unit of the local municipality that carries out a CDBG activity onbehalf of the Grantee.

Examples include:• Fire department• Library boards• Regional water or sewer districts

Other non-profit organizations:• Senior centers• Community centers• Social service center• Health care center

Sub-Recipients

At the application stage the sub-recipient must provide thefollowing information:

• DUNS number;

• A copy of their IRS 501(c) status letter;

• Certificate of Existence from the Secretary of State’s Office;

• Website for the Secretary of State’s office is: www.in.gov/sos; and

Sub-Recipients

• Must have an subrecipient agreement with the Grantee(effective for 5 years or more);

• May not collateralize CDBG-funded improvements orequipment;

• The Lien and Restrictive Covenant Agreement for facilitiesprojects must be recorded at the County Recorder’s Office;and

• Five-year “change of use” rule agreement with the Grantee.

Sub-Recipients

Facts About Sub-Recipients:

1. More Work for Grant Administrator (2 Entity Communication)

2. More Legal Documentation / Agreements

3. Longer Reporting Period (Approximately 5 Years After Grant

Close-Out)

Grant Fundability

Fundability = Eligible Activity + National Objective

Eligible ActivitiesWhat types of projects will OCRA fund as per Section 105(a) of the HCDA(Housing Community Development Act)? The State of Indiana considers thefollowing list to be eligible activities:

Eligible Activities

Public Improvements (Wastewater, Drinking Water, Storm, etc.)

Public Facilities (Day Care, Fire Stations, Community Centers, etc.)

Acquisition of Real Property

Clearance or Demolition of Blighted Properties (currently on hold)

Removal of Existing Architectural Barriers for ADA Compliance

Relocation Assistance Due to Displacement

Planning Activities

Historic Preservation (Limited to Exterior & Code Violations)

Environmental Reviews

Ineligible Activities

Ineligible Activities

Buildings for the Conduct of Government (except removal of architectural barriers)

Political Activities

General Governmental Expenses

Operating & Maintenance Expenses

New Housing

Lobbying Efforts

Furnishings and Personal Property

Maintenance / Rehabilitation

Land Acquisition that is not directly tied to a national objective

What types of projects will OCRA NOT fund as per Section 105(a) of theHCDA (Housing Community Development Act)?

Combination of Eligible & Ineligible Activities

Your project may include eligible and ineligible activities, but basic programrequirements must be followed.

1. Environmental Review Procedures;

2. Establishment of the CDBG only area is clear;

3. CDBG cost limited to only the CDBG activity;

4. Costs must be separated and accounted for; and

5. Fees for use of the facilities must be affordable for LMI persons.

National Objective

1. Benefit to Low and Moderate Income Persons (70% of CDBG funds)

2. Prevention or Elimination of Slum and Blighted Conditions

3. Urgent Need

There are three (3) National Objectives per 24 CFR 570.489.

AdministratorsNeed to Know

National Objective #1Benefit to Low and Moderate Income Persons

• Low income = 50 % of county median family income

• Moderate income = 80% of county median family income

• The Median family Income thresholds change every year

• Family = Related by blood, marriage or adoption

Four (4) Attainment Methods

1. Area Benefit

2. Benefit to Limited Clientele

3. Housing (IHCDA)

4. Job Creation / Retention (Program Has Been Suspended In

Indiana)

Benefit to Low and Moderate Income Persons

1: Area Benefit to Low Moderate Income Persons

• The area must be at least 51% LMI per the Census Data or Income Survey;

• Project activities must benefit ALL residents in the project area;

• Project area must be primarily residential; and

• Example projects include: water treatment plant, community center, etc.

Administrator Ask These Questions

1. What is the coverage area of the funded improvements?

2. Who is served?

3. Where do they live (corporate boundaries, district boundaries, etc.)

Methods of Income SurveysCensus (100% survey of service area)

Sampling (random sample of survey area)

1. Select the Survey Type

2. Developing a Questionnaire

3. Conducting the Survey

4. Determine / Analyze Results

5. Documenting Your Results

2: Limited Clientele to Low Moderate Income Persons

• Specific group of individuals to be served – not area wide;

• Document that at least 51% or more of the clientele families are LMI;

• Income Eligibility Requirements Limit activity to LMI persons (day care,public services, etc.);

• Location and nature of activity primarily serves LMI persons(community/youth center for public housing complex);

• Example projects include: senior centers, daycare centers, etc.

Eight (8) Presumed Limited Clientele Groups

1. Abused Children

2. Battered Spouses

3. Elderly (62 and older)

4. Severely Disabled Adults

5. Homeless Persons

6. Illiterate Adults

7. Persons Living with AIDS

8. Migrant Farm Workers

Other Limited Clientele Examples

Removal of Materials and Architectural Barriers to Improve Accessibility /Mobility of Elderly and Severely Disabled Adults by assisting:

• Reconstruction of Public Facilities;

• Rehabilitation of Privately Owned Nonresidential Buildings; or

• Rehabilitation of Common Area of Residential Structure with More ThanOne Dwelling Unit

3: Housing

• Provides or Improves Permanent Residential Structures for LMI persons;

• Only LMI test that must be met by EACH household

• Units must meet the following requirements:

a. Single Family Structuresb. Two or More Unites At Least 51% occupied by LMIc. Rental housing must be occupied by LMI at affordable rates

OCRA does not provide funds for these projects Visit IHCDA at www.in.gov/ihcda

4: Job Creation / Retention

• Create Jobs: At Least 51% of the Jobs Must Employ LMI persons, computed on full-time equivalent basis;

• Retain Jobs: Document jobs lost without CDBG assistance, at least 51% of whichmust be LMI based on who they are held by or reasonable turnover of jobs over 2years;

• Training: Available to LMI persons-business provides training for unskilled and firstconsideration for LMI persons

General Rule: Each assisted for-profit business considered a separate activity exceptfor public facilities or improvements that benefit more than one (1) business (withsome exceptions).

Currently, OCRA does not offer any grant funding for Job Creation / Retention

National Objective #2Prevention or Elimination of Slums or Blight Areas

Definition of slums or blights: “Something that impairs growth, withershopes and ambitions, or impedes progress or prosperity.” - Webster

Prevention or Elimination of Slums or Blight

Two (2) Obtainment Methods:

1. Area Basis: clearly eliminating objectively determinable

signs of slums or blight in a defined area.

2. Spot Basis: strictly limited to eliminating specific

instances of blight outside such an area and is a single

property.

Prevention or Elimination of Slums or Blight

Area/Spot must be officially delineated by the local government and must meet a definition of slum, blighted, deteriorated or deteriorating area under state or local law.

To Qualify as a Slum/Blighted the Area Basis must meet the following

provisions:

At least 25% of properties in area experience two (2) or more of the followingconditions:

• Physical deterioration of building or improvements;

• Abandonment of properties;

• Chronic high turnover or vacancy rates in commercial or industrialbuildings;

• Significant declines in property values or abnormally low propertyvalues;

• Known or suspected environmental contamination; or

• Area public improvements are deteriorated

Required Documentation for Area Basis Slum/Blighted:

• Define the boundaries of the delineated area;

• Identify all building and public improvement conditions demonstrating blight;

• Describe activity addressing the condition that led to blight in area; and

• Review and redetermination every 10 years that area is qualified.

Example Activities designed to address slum blight on an Area Basisinclude:

a. Renovation and reuse of abandoned historic buildings;

b. Commercial revitalization through façade improvements.

Criteria (24 CFR 570.483(c)(2)) for Spot Basis :

• Activity takes place outside slum or blighted area

• Activity limited to:

1. Acquisition;

2. Clearance;

3. Relocation;

4. Historic preservation; or

5. Rehabilitation of a building (only to eliminate detrimental conditions to public health/safety)

Example Activities designed to address slum blight on an Spot Basisinclude:

a. Purchase of Abandoned Building in Downtown Area

b. Renovation of Old Community Theatre

• Need must pose a serious and immediate threat tocommunity health and welfare;

• The need must be of recent origin or recentlyurgent (within past 18 months);

• Community must be unable to finance activity onits own;

• Other funding sources must not be available tocarry out the activity; and

• “Unforeseeable Event”

National Objective #3 Urgent Need

Since rarely utilized, OCRA does not have current funding earmarked for Urgent Need Projects. However, communities should contact OCRA if there feel they may

meet the above criteria.

Required documentation for Urgent Need:

• Description of the nature and seriousness of the condition;

• Evidence that the activity meets the designated urgent need;

• Date activity certified as serious or urgent; and

• Other financial resources not available (local, state, federal)

National Objective

Benefit to Low & Moderate Income Persons

Elimination or Prevention of a Slum / Blight

Urgent Need

Area Wide

Limited Clientele

Housing

Job Creation / Retention

Area Basis

Spot Basis

Know the 3 National Objectives and their Sub-Categories

15 Minute Break

“Excuse me waiter, this coffee tastes like mud.”“Yes, it is fresh ground.”

DetermineApplicantEligibility

National Objective

OCRA CDBG Program

Planning Grants

Construction Grants

OCRA CDBG Program

Program Maximum Grant Amount

Planning Up to $50,000

Wastewater Drinking Water (WDW) Up to $700,000

Stormwater Improvements Program (SIP) Up to $600,000

Public Facilities Program (PFP) Up to $500,000

Blight Clearance Program (BCP) Program Currently On Hold

Main Street Revitalization Program (MSRP) Up to $600,000

Community Liaisons

www.ocra.in.gov | One North Capitol, Suite 600, Indianapolis, IN 46204 | 1-800-824-2476

East Central (Interim)

Christmas Hudgens (317) 499-6563

SouthwestLori Buehlman Daniel(317) 439-8905

Southeast Jennifer Voris(317) 450-5078

Northwest Gerry White(317) 694-8372

North CentralJennifer Vandeburg(317) 460-4234

NortheastAndrea Kern(317) 607-4821

West Central (Interim)

Christmas Hudgens (317) 499-6563

In order to apply for a CDBG grant via OCRA, the Grantee must make sure they have anEligible Activity that meets a National Objective. In addition, the following criteriamust be met:

• Resolve any unresolved monitoring/audit findings;

• Submit any overdue grant reports or close-out documents;

• For cities and towns: two (2) open CDBG Grants at the time of application;

• For counties: three (3) open CDBG Grants at the time of application;

• An open CDBG Grant that has not received Release of Funds;

• If a community has an open CDBG Grant, the community must have an executedconstruction contract and be under construction, or a consultant under contract forplanning grants before the community may apply for an additional CDBG Grant.

Fundability = Eligible Activity + National Objective

OCRA CDBG Program

Purpose of Planning Grant

Planning grants are for the purpose of figuring out what needs to be done to solve a problem.

Completed plans should offer alternatives, cost estimates, time frames, environmental concerns

(potentially environmental assessment), land needs, projected growth, financing options,

preliminary drawings, etc.

The main goal of the plan is to provide the municipality with enough information to make

well informed, logical decisions.

Paperwork NOT Construction.

AMOUNT OF GRANT REQUEST & LOCAL MATCH

• Environmental Assessment Studies will be limited to $15,000.• Environmental Infrastructure Studies are limited as follows:

$35,000 for a study on a single utility, $45,000 for a study on two utilities, and $50,000 for a master utility study (water, wastewater, and storm water).

• Dam or Levee System Evaluations will be limited to $50,000.• Comprehensive plans are limited to $40,000. • Downtown revitalization plans are limited as follows:

Populations over 2,000 are limited to $40,000, and Populations under 2,000 are limited to $30,000

• Economic development plans are limited to $40,000. • Public facilities plans (including libraries, community centers, parks, etc.)

will be limited to $20,000.• Historic preservation plans will be limited to $20,000.

All projects will require a minimum of a 10% local match.

Planning Grant Available Funding

Types of Projects Funded Under Planning Grant

Input From Class Participants

Fundability = Eligible Activity + National Objective

Planning Grant Application Steps

1. Submit Letter of Intent to OCRA – Month 1

2. OCRA site visit – Month 2

3. Procurement of Professional Services – Month 2/3

4. Conduct public hearing – Month 3

5. Complete / Submit Planning Grant Application – Month 4

Planning Grant Applications take approximately 4 – 6 monthsto complete

OCRA accepts applications on a monthly basis

Step 1: Letter of IntentDear OCRA:

The (city, town, county) seeks to submit a planning grant application

within the next nine months. We are requesting a site visit prior to

beginning the procurement process for this project. The (city, town,

county) wishes to obtain a planning grant from the Indiana Office of

Community and Rural Affairs for (describe the proposed project).

The estimated cost of the planning project is $ (estimated cost), which

includes the following work items: (summarize the scope of work).

As the chief elected official of (city, town, county), I am signing this letter

in anticipation of receiving your assistance in developing our planning

grant application. Please contact (contact person’s name and title) at

(phone number) regarding this project.

Sincerely,

(Chief Elected Official)

Step 2: OCRA Site Visit

Once your Letter of Intent is received, your OCRACommunity Liaison will schedule a site visit with yourcommunity to discuss the overall scope of the project andexplain the planning grant process to all applicable parties.The technical requirements (such as minimal project scope,alternatives, etc.) will be discussed at this meeting. Noaction can be taken until this meeting has transpired.

This means NO procurement,NO public hearings, etc. priorto the Site Visit !!!

Step 3: Procurement

What: Procurement is a process in which goods and services aresolicited and obtained.

When: The procurement process for professional services beginsafter the OCRA site visit. Depending upon the good orservice being requested, the procurement process can takeas little as two (2) weeks up to 45-60 days.

How: There are four (4) methods of procurement: non-competitive or sole source, small purchase method,competitive negotiation, and competitive sealed bid.Which method to utilize depends on the good or servicebeing requested.

Competitive Negotiation Method

Is the Method Most Commonly Utilized During the Planning Phase

This method of procurement, commonly referred to as “Request forProposal or Request for Statement of Qualification,” is utilized to procureprofessional services, such as engineering, grant administration, financialadvisors, and attorneys.

There are two (2) types of Competitive Negotiation Solicitations:

1. Request for Proposals (RFP): Used to procure Grant Administrators,Rate Consultants, Legal Counsel, etc.; and

2. Request for Qualifications (RFQ or QBS): Used to procure Architectsand Engineers.

What is the difference between a RFP and a RFQ?

Price !!!

The cost to provide a service is a factor of consideration in a RFP.

Price is not a factor of consideration in a RFQ.The Grantee must select the architect /

engineer based upon their qualifications and then negotiate a fair price.

If terms can not be settled, then the Grantee can negotiate/settle with their second choice.

Step 4: Public Hearing

Prior to the submittal of the Planning GrantApplication to OCRA, the grant applicant(community) must conduct a public hearing.

As per State law, public hearing notices must bepublished at least 10 full days prior to themeeting date (meeting transpires on the 11th

day or after). Additionally, the notice needs to beposted in public facilities such as the town hall,post office, grocery, etc.

Prior to publishing your public hearing notice,you will also need to determine if your publichearing notice needs to be published in anyother language aside from English, per thepercentage of foreigner speaking beneficiariesresiding within the proposed project area. Checkthe (Four Factor Analysis / Language AccessPlan) data on OCRA’s website.

Step 5: Complete / Submit Application

One (1) hard copy –bearing original signature can be delivered to OCRA upon completion;

along with one (1) electronic copy.

Upon submittal, one can expect a two (2) month turn-around

for grant award notification.

Lunch

Purpose of Construction GrantConstruction grants are for the purpose of

implementing corrective capital improvements

to solve an identified & PLANNEDcommunity development need.

Construction Projects Should:

• Address a well documented public need;• Be equally supported by the public at

large; and• Ultimately, improve the quality of life for

the project beneficiaries.

Application process is extremely competitive.

AMOUNT OF GRANT REQUEST & LOCAL MATCH

Construction Grant Available Funding

ProgramMaximum

Grant AmountLocal Match Requirement

Wastewater Drinking Water (WDW) Up to $700,000 20%

Stormwater Improvements Program (SIP) Up to $600,000 10%

Public Facilities Program (PFP) Up to $500,000 10%

Blight Clearance Program (BCP) Currently on hold

Main Street Revitalization Program (MSRP)

Up to $600,000 20%

Water and Wastewater Grant Amounts

Maximum

Grant

Amounts

Rates for 4,000 gallons

User Rates

(Over $50)

User Rates

($30 to $50)

User Rates

(Under $30)

Projects over

$1 million in

total project

cost

$700,000 $600,000 $550,000

Projects under

$1 million in

total project

cost

$600,000 $550,000 $500,000

Construction Grant Application Steps

1. Determine Project Scope & Eligibility – Month 12. Initiate Income Survey (If Necessary) – Month 1 through 63. Initiate FEEPS Activities – Month 1 through 6+4. Conduct 1st Public Hearing – Month 65. Submit Construction Grant Proposal to OCRA – Month 76. Conduct OCRA Site Visit – Month 87. Finalize FEEPS Activities – Month 108. Conduct 2nd Public Hearing – Month 119. Complete / Submit Construction Grant Application – Month 12

Construction Grant Applications Take Approximately 6 - 12 Months to Complete

Currently, OCRA accepts applications twice annually(Typically in the spring & fall – Check website for exact dates)

Step 1: Project Scope & Eligibility

• Is there a clear understanding of the project scope?

• Is the project eligible under CDBG?

• Who are the project beneficiaries?

• Is there a documented need for the project?

• Who will be the project applicant?

• Will there be a sub-recipient?

Step 2: National Objective / Income Survey

• What National Objective does the project meet?

Benefit to Low & Moderate Income Persons

Elimination or Prevention of a Slum / Blight

Urgent Need

• If the project falls under the category of benefit to low & moderateIncome persons, is it Area Wide, Limited Clientele, Housing or JobCreation?

• Does the project meet the 51% or more threshold under the US CensusData?

• Has an income survey already been conducted? If so, will the report beless than four (4) years old at the time of application?

• Do you need to conduct a new income survey? If so, do you have themost current income limits issued by HUD (check OCRA website)?

Step 3: FEEPS

In order to apply for a construction grant, the Grant Applicant must certifythat they are READY TO PROCEED upon grant award. Prior to evensubmitting the grant application, the following items need to be addressed:

F = Financial The Grant Applicant must be able to prove that all project funding, over and beyond the requested CDBG grant amount, has been obtained/approved.

E = Engineering The Grant Applicant must be able to show that all preliminary engineering has been completed and that enough information has been provided so that the Grant Applicant has selected the best alternative from a design/cost stand-point to address their problem.

Step 3: FEEPS

E = Environmental The Grant Applicant must show that they haveexamined the effects of every project elementfrom an environmental stand-point and that theproject will NOT cause any negative impact uponthe environment.

P = Permits The Grant Applicant must identify any/allconstruction permits that will be necessary toimplement the project. Additionally, they must beable to certify that all construction permits can beobtained in a timely manner; e.g. within six (6) toeight (8) months from the grant award.

S = Site Control The Grant Applicant must list any/allreal property and/or easements that will

be needed to carry out the project. Alleasements and/or real property has to beunder “option” at the time of GrantApplication.

FEEPS

Financial, Engineering, Environmental, Permits, Site Control

Step 3: FEEPS

Choice Limiting Actions

• Cannot commit HUD and non-HUD funds to a proposed project prior torelease of funds authorization;

• Must oversee actions of sub-recipient;

• Choice-limiting actions will reduce or eliminate your opportunity to choosealternatives. Examples: property acquisition, leasing, demolition,rehabilitation, construction, and site improvements (including siteclearance);

• Do not take ANY action until the environmental review compliance is achieved; and

• Option agreements are allowable.

Before the Grant Application is Submitted

• Begin site control and environmental review as soon as possible;

• It could take up to 6 months to a 1 year to complete these two (2) activities;

Land Acquisition = 6 months typically

Environmental Review = 4 months typically

Financial

• How much CDBG funding can grantee obtain?

• What is the minimum local match requirement?

• Where will the local match come from: USDA RuralDevelopment, IFA State Revolving Fund, Open MarketBonding, Local Bank Loan, Cash on Hand, Fundraising,Donations, In-Kind Donations, Force Account Labor, etc.?

• Do we need the assistance of a rate consultant?

Engineering

• Are the plans complete to clearly determine the projectscope?

• Were several alternatives considered?

• Are the cost estimates current?

• Does any part of the plan need to be adjusted?

• The environmental officer should evaluate the entire project scope regardless ofWhat agency is funding each portion. This falls under the federal regulationinvolving project aggregation;

• Identify each project related activity (even the non-construction activities) andDetermine the level of review Required. There are four (4) levels of review underthe federal regulations: Exempt Activities; Categorically Excluded NOT Subject TOActivities (CENST); Categorically Excluded SUBJECT TO Activities (CEST); andEnvironmental Assessment Activities (EA);

• Regardless of the number of activities associated with the project, it is onlynecessary to complete one (1) Environmental Review. However, if the activitieshave separate classifications, the Grantee must follow the review steps listedunder the most stringent classification.

Environmental

• What construction permits and reviews will berequired?

• What is the review agency and how long will theyneed to review / approve?

• Can all permits be received within 6 to 8 months ofthe grant award?

Permits

• There are four (4) main Site Control situations a Grant Applicant mayencounter during the project development stage: Real PropertyAcquisition/Easement Compensation, Willing Buyer/Seller Transaction,Property Donation or Relocation;

• All activities affiliated with acquiring the property/easement you needfor your project are set forth by the Federal Uniform Relocation andReal Property Act (URA) of 1970;

• Do you have executed OPTION agreements on all Real Property and/or“recorded” agreements on the needed easements;

• Was the Grantee’s attorney and engineer/architect involved in the sitecontrol process?

Site Control

Step 4: Public Hearing

Prior to the submittal of the Letter of Intent(LOI) Application to OCRA, the grant applicant(community) must conduct a public hearing.

As per State law, Public hearing notices must bepublished at least 10 full days prior to themeeting date (meeting transpires on the 11th

day or after). Additionally, the notice needs tobe posted in public facilities such as the townhall, post office, grocery, etc.

Prior to publishing your public hearing notice,you will also need to determine if your publichearing notice needs to be published in anyother language aside from English, per thepercentage of foreigner speaking beneficiariesresiding within the proposed project area. Checkthe (Four Factor Analysis / Language AccessPlan) data on OCRA’s website.

Step 5: Submit Proposal

The Grant Proposal is a brief project overview (summary) thatis submitted to OCRA prior to the full application. Its purposeis to provide a snap shot of the project in the way of scope,financing, engineering, environmental, permits and sitecontrol. It serves as a guidepost for the OCRA site visit thatwill follow.

Please Note: If Your Project Will Meet the NationalObjective of Benefit to Low Mod and does not qualifyunder the Census data; your Income Survey must bestarted prior to submitting your Grant Proposal.

Step 6: OCRA Site Visit

Once your grant proposal is received, your OCRA CommunityLiaison will schedule a site visit with your community todiscuss the overall scope of the project and explain the grantand scoring process to all applicable parties.

Step 7: Finalize FEEPS Activities

• Local Financing: letter / verification from funding agencies stating approval;

• Environmental: all applicable agencies have signed off on the project;

• Site Control: all real property is under option and all easements have recorded agreements.

Before you can submit your application, ALL of the below activities must becompleted:

Step 8: Public Hearing

Prior to the submittal of the Construction GrantApplication to OCRA, the grant applicant(community) must conduct a public hearing.

As per State law, public hearing notices must bepublished at least 10 days prior to the meetingdate. Additionally, the notice needs to be postedin public facilities such as the town hall, postoffice, grocery, etc.

Prior to publishing your public hearing notice,you will also need to determine if your publichearing notice needs to be published in anyother language aside from English, per thepercentage of foreigner speaking beneficiariesresiding within the proposed project area. Checkthe (Four Factor Analysis / Language AccessPlan) data on OCRA’s website.

Step 9: Complete / Submit Application

One (1) hard copy bearing original signature must be delivered to OCRA by specified

time/date.

In addition, an electronic copy must be submitted to OCRA as well.

15 Minute Break

The reason we “nod off to sleep” is so it looks like we’re just emphatically agreeing with everything

when we’re in a boring meeting.

DetermineApplicantEligibility

National ObjectiveRequired FEEPS Steps

Application Submittal or Not

OCRA CDBG Program

Planning Grant Administration

Construction Grant Administration

Planning Grant Administration1. One (1) Year to Complete Project / Plan Should be Completed by 8th month;2. Execute Grant Agreement, W-9 Forms, Electronic Deposit Certificate;3. Execute Professional Service Agreements / make sure to attach 3rd party

provisions;4. Only can process two (2) drawdown request:

• (60%, Remaining Once Plan Approved)• Keep Copies of Invoices, Federal Deposits, Checks, etc.;

5. Submit plan to OCRA for final approval;6. Conduct Public Hearing to Present the Plan to the General Public and

the Grantee Passes a Resolution Formally Adopting the Plan at a Public Meeting;

7. Process final 40% draw request;8. Submit Phase I Close-Out, along with desktop monitoring paperwork;9. Submit Phase II Close-Out Paperwork / Administrative Close-Out Form;

and10. Box – Keep Records for a minimum of five (5) Years (Could be longer depending

upon when the Certificate of Completion for the project is issued.)

Construction Grant Administration1. Grantee has 18 Months to complete the project from time of grant

award:a. Environmental Release within two (2) months of grant

award;b. Bidding of Project within six (6) months of grant award;c. Release of Funds within eight (8) months of grant award;d. Project Completion within 18 months of grant award;

2. Submit FEEPS Review Documentation;

3. Suggest Project Kick-Off Meeting to Review Timeframe and Project Team Roles and Responsibilities;

4. Submit Execute Grant Agreement, W-9 Forms, Electronic DepositCertificate. (Grantee should obtain a Vendor and Bidding Numberthrough the State of Indiana while waiting upon grant approval. Thiswill help expedite the grant agreement execution process.);

Construction Grant Administration

5. Execute Professional Agreements (ensure 3rd party provisions are attached);

6. Set-up Grant File System;

7. Obtain Environmental Release;

8. Coordinate with Architect / Engineer regarding Bidding Process (bid specifications, advertising, wage scale);

9. Solicit Minority Contractors and Suppliers (MBE, WBE, DBE);

10. Conduct Pre-Bid Meeting;

11. Conduct Bid Opening;

12. Secure Local Financing;

Construction Grant Administration

13.Obtain OCRA Release of Funds;

14.Conduct Pre-Construction Meeting;

15.Execute Construction Contracts;

16. Start Construction;

17. Obtain Labor Release;

18. Monitor Pay Applications and Project Change Orders;

19. Monitor Certified Payroll Reports;

20. Process Funding Draw Request and Financial Recordkeeping;

21. Submit Semi-Annual Financial Reports throughout project;

Construction Grant Administration

22. Process any Grant Modifications if Need Be;

23. Conduct On-Site Employee Interviews;

24. Obtain Section 3 Reports and Requirements;

25. Organize file and Prepare for Grant Monitoring;

26. Submit Phase 1 Close-Out Documentation;

27. Grant Monitoring;

28. Submit Phase 2 Close-Out Documentation;

29. Maintain Records for a Period of NO LESS than five (5) Years after closing of Grant and Issuance of the Certificate of Completion; and

30. Submit Sub-Recipient Semi-Annual Reports (if needed)

FORM 1: Sample Request for Proposal (rev Aug 2013)FORM 2: Sample Request for Proposal Publication (rev Aug 2013)FORM 3: Proposal Evaluation (rev Aug 2013)FORM 4: Sample Letter to Short Listed Firms FORM 5: Sample Letter to Firms Not Short Listed FORM 6: Interview Evaluation and Scoring Form (rev Aug 2013)FORM 7: Sample Letter to Selected Firm FORM 8: Sample Letter to Firm(s) Not Selected FORM 9: Sample Request for Qualifications FORM 10: Sample Request for Qualifications Publication FORM 11: Statement of Qualifications Evaluation FORM 14: Interview Evaluation and Scoring Form FORM 17: Sample Invitation for Bid Publication (rev Aug 2013)FORM 18: Sample Bid Tabulation FORM 19: Cost Price Analysis FORM 20: Small Purchase Request for Quotation

Procurement

FORM 1: Certificate of Exemption (rev Sept 2013)FORM 2: Certification of Categorical Exclusion (not subject to 58.5) (rev Sept 2013)FORM 3: Certification of Categorical Exclusion (subject to 58.5) FORM 4: Statutory Worksheet Instructions for FORM 4 FORM 5: Sample Notice of Intent to Request Release of Funds (rev Dec 2015)FORM 6: Request for Release of Funds and Certification FORM 7: CDBG Environmental Review- Documentation Required by Agency (rev June 2017)FORM 8: Format II Environmental Review Record (rev Sept 2013)FORM 9: Sample Notice of Finding No Significant Impact (rev Aug 2014)FORM 10: Notice to Public of No Significant Impact on the Environment and Notice to Public of Release of Funds (rev Aug 2014)FORM 11: Notice for Early Public Review of a Proposal to Support Activity in the 100-Year Floodplain or Wetland FORM 12: Notice of Explanation of Project Located in a Floodplain or Wetland

Environmental Review

FORM 1: Acquisition File Checklist FORM 2: Property Acquisition/Relocation Questionnaire FORM 3: Initial Notice to Property OwnerFORM 4: URA Brochure: When a Public Agency Acquires Your Property FORM 4A: URA Brochure Receipt FORM 5: Property Appraisal Invitation FORM 5A: Property Appraisal Invitation Receipt FORM 6: Letter of Purchase Offer FORM 7: Waiver of Acquisition Rights with Full Donation After Appraisal FORM 8: Waiver of Acquisition Rights with Partial Donation After Appraisal FORM 9: Waiver of Acquisition Rights with Full Donation With No AppraisalFORM 10: Willing Buyer/Willing Seller Transaction Letter

Acquisition and Relocation

FORM 1: Federal Cash Control Register- Federal Fiscal Year FORM 2: Contract Obligation Control Ledger FORM 3: Contractor Expenditure Ledger FORM 4: Property Inventory Ledger FORM 5: Local Match Ledger FORM 6: Release of Funds Checklist (rev Jan 2017)FORM 6.4: Professional Service Providers (rev Aug 2016)FORM 6.6: Federal Funding Accountability (rev Jun 2014)FORM 7a: Claim Voucher Instructions FORM 7: Claim Voucher Sample FORM 7: Claim Voucher FORM 8: Program Income- Quarterly Report

Financial Management

FORM 1: Applicant/Recipient Disclosure/Update Report (rev Jan 2014)FORM 1.5: Request for Conflict of Interest ExceptionCopies of All Project Contracts• Engineer• Grant Administrator• Legal• Rate Consultant• Contractor• Sub-Contractors

Contract Development

FORM 2: Category 1 Modification Request Letter: Sample Grant Completion Extension (rev Aug 2014) FORM 3: Category 1 Modification Request Letter: Sample Request of Category 1 Other Than Time Extensions (rev Aug 2014) FORM 4: Category 2 and/or Category 3 Modification Request Budget Modification FORM 5: Category 2 and/or Category 3 Modification Sample Request (rev Aug 2014) FORM 6: Category 2 and/or Category 3- Notice of Grant Modification: Sample Public Notice FORM 7: Category 3: Grant Modification Sample Resolution

Project Modifications

FORM 1: Civil Rights/Section 3 Officer Notification (rev Aug 2014)FORM 2: Sample Fair Housing Ordinance (rev Feb 2014) FORM 3: Affirmatively Furthering Fair Housing (AFFH) CDBG File Checklist (rev Aug 2015) FORM 4: Sample Drug Free Workplace Ordinance FORM 5: Resident Employment Opportunity Data FORM 6: Certification for Business Concerns Seeking Section 3 Preference in Contracting FORM 7: Examples of Efforts to Award Contracts to Section 3 Businesses FORM 8: Section 3 Compliance Form FORM 9: Certification of Accessibility FORM 10: Community Sample Language Access Plan for Limited English Proficiency PersonsDocumentation on MBE/WBE/DBE Solicitation

Civil Rights

FORM 1: Labor Standards Officer Notification FORM 2: Initial Wage Determination Assignment Notice FORM 3: Pre-Bid Conference Sign-In Sheet FORM 4: Pre-Bid Conference Guide Acknowledgement FORM 5: Wage Determination Lock-In Notice Bid Opening Minutes and Sign-In SheetFORM 6: Contractor/Subcontractor Verification (rev Aug 2013)FORM 7: Contract Award (rev Jan 2017)FORM 8: Preconstruction Conference Acknowledgement FORM 9: Wage/Fringe Benefit Certification (rev May 2017)FORM 10: Contractor's Certification FORM 11: Subcontractor's Certification FORM 12: Notice to Start Construction (rev Aug 2013)FORM 13: Monthly Payroll Report FORM 14: Record of Employee Interview (rev May 2017)FORM 15: Final Wage Compliance Report (rev Aug 2014) FORM 16: Final Inspection/Project Completion (rev Aug 2014) FORM 17: Sample In-Kind Volunteer Labor Letter FORM 18: Persons Approved to Complete In-Kind Donation FORM 19: In-Kind Donation Tracking Sheet (rev May 2017)

Labor Standards

FORM 1: Semi-Annual ReportFORM 2: Subrecipient Semi-Annual Report

Reporting and Recordkeeping

FORM 1: Grantee Performance Report FORM 1A: Planning Grant Monitoring Checklist (rev Sep 2016)FORM 2: Financial Settlement/Expenditure Report FORM 3: Administrative Closeout FORM 4: Notification of Single Annual Audit (rev Jan 2016)FORM 5: Subrecipient Notification of Single Annual Audit (rev Jan 2016)

Closeout and Monitoring

15 Minute Break

How do you know if you should go on a cheese diet?If you need to cheddar a few pounds.

Sort the File !!!

What Is CDBG?

Entitlement Communities

Grant Applicants

Sub-Recipients

Eligible Activities

National Objective

Planning Grant Application

Construction Grant Application

FEEPS

Planning Grant Administration

Construction Grant Administration

Pros_____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

Cons_____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________