New York State Small Cities Community Development Block Grant CDBG

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New York State Small CitiesCommunity Development
Block Grant (CDBG)

• Grant Administration Application Workshop
• October 2007

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Welcome

• New York State Office for Small Cities (OFSC), a
  public benefit corporation, is a subsidiary of
  the New York State
• Housing Trust Fund Corporation
• Eliot Spitzer, Governor
• Deborah VanAmerongen, Chairperson
• Joseph Rabito, President
• The Office for Small Cities is a member of the
  team at the
• NYS Division of Housing and Community Renewal

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New York State Small CitiesCommunity Development
Block Grant (CDBG)

• Grant Administration Application Workshop
• October 2007

www.nysmallcities.com
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• 2007 CDBG Small Cities Competitive Round
• (September, 19, 2007 )
• of applications 175
• Total Request 73,722,124
• of awards 67
• Total amount awarded 28,955,742
• Leveraged 48,316,209
• Project/Activity () Award 07 00-06
  (aver.)
• Housing Rehabilitation (25) 10,060,100 34.8 37.
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• Homeownership ( 5 ) 2,635,500 9.1 10.4
• Public Water Sewer (20) 8,587,120 29.7 21.0
  
• Comprehensive ( 7 ) 4,192,514 14.5 15.6
• Microenterprise ( 6 ) 1,780,500 6.2 8.2

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OFFICE FOR SMALL CITIESNYS HOUSING TRUST FUND
CORPORATION 2007 SMALL CITIES CDBG PLANNING
TECHNICAL ASSISTANCE PROGRAM NOTICE OF FUNDING
AVAILABLILTY The New York State Housing Trust
Fund Corporations Office for Small Cities (OFSC)
announces the availability of approximately
500,000 in CDBG funding for the Planning
Technical Assistance Program. Eligible
non-entitlement cities, towns, villages, and
counties in New York State are invited to submit
an application for up to 25,000. The Planning
Technical Assistance Program provides an
opportunity for communities to obtain funding for
the development of a Community Development Plan
that identifies its needs and establishes
implementation steps to address those needs
within the framework of specific community
development goals and objectives. Application
Deadline December 10, 2007, 400PM www.nysmall
cities.com [phone]
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New York State Small CitiesCommunity Development
Block Grant (CDBG)

• Grant Administration Workshop
• October 2007

www.nysmallcities.com
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Grant AdministrationOverview

• Process, deadlines, expectations
• Use current forms
• Identify responsibilities contacts (who
  does what?)

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Getting Started

• Execute grant agreement
• Set up for transfer of funds
• Accounts
• Separate non-interest bearing account
• Program Income in interest bearing account
• No co-mingling
• Separation of duties
• Authorized signatures
• Grantee oversight/control

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Getting Started

• Access to Grant Administration Manual
• Grant Administration staff responsibilities
• Chief Elected Officials role
• Consultants
• Sub recipients
• File Maintenance
• Records and documentation
• Monitoring

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Release of Funds

• Environmental Review Record
• SEQRA vs. NEPA
• Start as soon as possible
• When can you incur costs?

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Release of Funds

• Preparing forms
• Lead agency status
• NEPA Classification and SEQRA Classification
• Statutory Checklist
• Environmental Assessment
• Request for Release of Funds
• To Publish or Not to Publish?

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Environmental Review Process
Determine NEPA Review Format and Classify the
Project Activities (Exempt, Categorically
Excluded, Activities that are neither Exempt or
Categorically Excluded Other)
Designate a Certifying Officer (Complete Exhibit
2-1)
Establish an Environmental Review Record (ERR)
(Refer to Exhibit 2-2)
Exempt 58.34(a) or Categorically Excluded
58.34(b)
Categorically Excluded 58.35(a)
Requires Environmental Assessment 58.36 or
58.35(c)
Document Determination of Status in ERR.
(Complete Forms 2-3 and 2-4)
Complete Statutory Checklist (58.5) (Form 2-5)
And Document Requirements (58.6)
Document Classification in the ERR. 58.34(b)
(Complete Forms 2-3 and 2-4)
Complete Statutory Checklist (58.5) and (58.6)
(Form 2-5) and Document Requirements
Prepare the Environmental Assessment Checklist
(Form 2-6) and Document Requirements (58.40)
   
Complete Statutory Checklist (58.6) (Form 2-5)
and Document Requirements
No Compliance Actions Required Project Exempt
(58.34 (a)(12) Document Determination
Compliance Actions Required Comply with
Action(s) Required and Secure Evidence of 58.5
Compliance as necessary.
No compliance action is required and no further
environmental action is necessary unless 58.6
requirements apply.
Finding of No Significant Impact (FONSI)
Finding of Significant Impact (FOSI)
Environmental Impact Statement Required (58.37)
Contact your OFSC Developer
Publish Concurrent or Combined FONSI-NOI/RROF (58
.43, 58.45, 58.46, 58.70) 15-Day Public Comment
Period 58.45(a) 58.45 (c) (Refer to Exhibits
2-8 and 2-9)
Proceed with Request for Funds and Project
Execution 58.34(b) 58.35(b)
Publish NOI/RROF (58.22 and 58.70) 7-Day Public
Comment Period 58.45(b) (Refer to Exhibit 2-7)
After Comment Period, Submit a RROF and
Certification Form (Form 1-3) and all other
required materials (58.71) to your OFSC Developer
Initiate Project Upon Receipt of OFSC Approval of
the RROF after the 15-Day Objection Period
END OF PROCESS
END OF PROCESS
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Financial Management

• Municipal control
• Financial paper trail
• Payments
• Checks and checkbook
• Bank statements
• Timeliness 5,000 - 5 Day Rule

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Request for Funds

• Signatures
• Administration vs. Program Delivery
• Fax or email by 200 PM
• 5-10 business days - check with bank
• Multiple requests

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Request for Funds

• Schedule B (SAMPLE)
• 2007 Awarded Budget Projected Accomplishments
• Project Number 999CO999-07
• Community C/T/V County Type
  Awarded Amount
• Anytown Village Anycounty Comprehensive
  595,000
• Award Budget
• Funding Source Amount
• Bank
  50,000
• CDBG 595,000
• Local 1,000,000
• NYS DOT 10,000,000
• Private
  100,000
• Projected Totaling Funding 11,745,000

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Request for Funds

• Activity Budget Detail
• Activities Projected
  Use Amount
• V of Anytown Waterline
• Engineering
  30,000
• Waterline
  300,000
• Program Delivery
  5,000
• V of Anytown HsgR SU
• Rehab New
  Construction (SU) 200,000
• V of Anytown HsgR SU Prog.Del.
• Program Delivery
  40,000
• V of Anytown Administration
• Grant
  Administration 20,000
• Total Budget 595,000

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Request for Funds

• Supporting Documentation
• Invoices
• Purchase Orders
• Closing estimates
• List of expenses

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Financial Reporting

• Federal Assistance Expenditure Form
• Due annually
• Due 60 days after fiscal end date
• Audit
• Single Audit Act (OMB circular A-133)
• Over 500,000 in Federal funds
• Due 9 months after fiscal end date

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Regulatory Compliance

• Labor Standards
• Fair Housing
• Procurement
• Conflict of Interest
• Lead Based Paint

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Labor Standards

• NYS Labor Standards Requirements
• Required for any public work undertaken by a
  Department of Jurisdiction
• Must obtain State wage rates prior to bidding the
  contract
• Federal Labor Standards Requirements
  (Davis-Bacon)
• Construction using over 2,000 in Federal Funds
• Exception Housing projects with fewer than 8
  units

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Labor Standards

• NYS Wage Rates vs. Federal Wage Rates
• Obtain both prior to bidding
• Must use the higher of the two wage rates for
  every job classification

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Labor Standards

• Getting wage determinations
• State wage rates request from the NYS Department
  of Labor
• Federal wage rates
• Request from OFSC
• Obtain from DOL, but submit to OFSC
• Mixed-use
• Facades
• Commercial and Residential Rehabilitation

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Labor Standards

• Submit bid packages prior to letting the contract
• Davis-Bacon Requirements
• State and Federal wage rates
• Bonding Requirements
• Contract Provisions

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Labor Standards

• Project Site Requirements
• Sign
• OSHA
• Wage Rates
• Compliance Activities
• Designate Labor Standards Compliance Officer
• Verify contractor eligibility
• Obtain and review payroll weekly
• Conduct jobsite interviews

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Fair Housing

• Evaluate housing needs
• Procedures to prevent discrimination
• Promotion of Fair Housing
• Fair Housing Officer

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Procurement

• Consultant vs. Sub recipient
• Construction vs. Professional Services
• Fair and Open Process
• Advertise and provide sufficient response time
• Solicit firms
• MBE/WBE
• Obtain list from ESDC
• Can assist firms in getting listed
• Ensure an adequate number of bids

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Procurement

• Required contract provisions
• Supporting documentation

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Conflict of Interest

• Conflicts
• Procurement
• Assistance
• Appearance of Conflict Conflict
• Waivers
• Open process

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Lead Based Paint
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Reporting Outcomes

• Performance Measurement Requirements
• Effective October 1, 2006
• Demonstrate the impact of the CDBG program at the
  federal, state, and local levels
• Required additional data

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Reporting Outcomes

• Accomplishments and Beneficiaries
• National Objective
• Report annually to demonstrate compliance

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Reporting Outcomes

• Beneficiary Data Requirements
• Income documentation
• Race/ethnicity and income for all activity types
• Jobs
• Full Time and Part Time
• Full time equivalents (FTE)
• Seasonal
• Business Reporting All economic development and
  Microenterprise activities, including facades
• Data Universal Numbering (DUNs)
• Leverage HOME funds for ALL housing projects

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Reporting Outcomes

• Annual Performance Report (Form 3-1)
• Reporting period - January 1-December 31
• Schedule B shows proposed accomplishments
• Submit a beneficiary page for each activity
• Multi-Family vs. Single-Family Rehabilitation
• Jobs Creation Activities vs. Assisting LMI
  Businesses

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Reporting Status

• Semi-Annual Project Status Report (Form 3-2)
• Due July 15 of each year
• Describe project status and any impediments to
  the project

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Monitoring

• Local Responsibilities
• Sub recipient monitoring
• Consultant oversight
• Project monitoring
• OFSC Onsite monitoring
• Process
• Results findings, concerns and recommendations

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Grant Closeout

• Project completed
• Project monitored
• Findings resolved
• Concerns addressed
• Final Performance Report
• Accomplishment Goals Met (Schedule B)

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Grant Closeout

• FAE submitted and approved
• Submit Closeout Forms
• Conditional Certificate of Completion
• Audit is required
• Certificate of Completion
• All requirements have been met and audit has been
  received or was not required

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• New York State Office for Small Cities
• 4 Empire State Plaza, Suite 600
• Albany, NY 12223-1401
• [phone]
• www.nysmallcities.com
• www.dhcr.state.ny.us