2008 Applicants Presentation Workshop Compliance Agenda Prohibited Conflict of Interest DCA-13...
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Transcript of 2008 Applicants Presentation Workshop Compliance Agenda Prohibited Conflict of Interest DCA-13...
2008 Applicants Presentation Workshop Compliance Agenda
Prohibited Conflict of Interest
DCA-13 Disclosure Report Requirement
Procurement of Professional Services
Federal Labor Standards Considerations
Property Acquisition Requirements
Equal Opportunity Requirements
Page 2 Presentation name | date
• Documentation of Benefit▪ Limited Clientele Projects▪ Area Benefit▪ Acceptable Survey Methodology
• Qualified Local Government Status
• Environmental Review Requirements▪ Form DCA-9 (new)▪ Section 106▪ Historic Preservation Division Presentation
Page 3 Presentation name | date
Prohibited Conflict of Interest
• No Contracting Interest• No Personal Benefit
▪ Elected Officials and Family Members• Only if:
▪ Public Disclosure▪ Abstain from any votes and discussion▪ Attorney Opinion on State and Local Laws▪ Include in Application
Page 4 Presentation name | date
• Review Appendix F and DCA-10
• It is an Exception to the regulation and not a Waiver of the regulation
Page 5 Presentation name | date
DCA-13 Disclosure Report Requirement
• Financial benefit, not a COI Disclosure• HUD Reform Act• If total HUD assistance exceeds $200,000• Disclosure of all persons or contractors with a
financial interest• All consultants, developers or contractors involved in
the application or implementation must be identified• Disclosure of all sources of project funding• DCA-13 form (4 pages)
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Procurement StandardsProfessional Services
Grant Writers
Grant Administrators
Architects and Engineers
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Professional Services Procurement
• HUD Regulation 24 CFR Part 85 (Common Administrative Requirements)
• http://www.access.gpo.gov/ecfr/
• 2008 CDBG Applicants’ Manual• Page 24
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Professional Services Procurement
• Competitive Negotiation• Requires RFP or RFQ (architects or
engineers only)• Applicable if CDBG/CHIP funds are to
finance activity• Remember CDBG/CHIP can not pay for
grant application cost (Pre-agreement Costs)
• Not Applicable to agreements with RDC
Page 9 Presentation name | date
Professional Services Procurement
Pre-award or post award selection?
Page 10 Presentation name | date
Professional Services Procurement Free, Open and Equitable Competition
• Solicit from known providers
• Publicize RFP or RFQ
• Evaluate proposals received
• Negotiate with more than one
• Document process and reasons for selection
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Request for Proposals or Qualifications
• Identify Scope of Work…what you want and when you need it
• List evaluation factors, how you will apply them and their relative importance
• Reminder: Price does not have to be a factor using the RFQ (Architects and Engineers) but must be for RFP (Grant Administrators)
Page 12 Presentation name | date
Request for Proposals or Qualifications
• Price can be negotiated
• Geographic location (proximity) can not be the deciding factor. If it is a factor respondents must be given an opportunity to explain how they propose to provide the requested service despite their location
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Request for Proposals or Qualifications
Example• Evaluation Factor: CDBG Experience• Criteria: Number of (CDBG) Grants Funded• Score:
10 points 10 or more grants5 points 5 to 9 grants1 point less than 50 points none
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RFP/RFQ Solicitation
• Send directly to “known providers”
• Standard: 7 or more for Grant Administrators10 or more for Engineers or Architects
• Documentation of process and letters sent
• Be sure to provide submittal deadline30 day minimum
Page 15 Presentation name | date
Publicize RFP/RFQ
• Local paper, legal section is acceptable
• Regional city paper is preferable
• Clearly state what is being requested
• Provide deadline for proposals/qualification statements30 days minimum
Page 16 Presentation name | date
Evaluation of Proposals or Qualification Statements
• Committee review
• File memorandum explaining final choice
• Notify unsuccessful applicants
• Award Contract for Service to successful professional
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Other Considerations
• Contract price can not be a percentage of construction cost
• If you are requesting both grant management and architectural/ engineering services the Advertisement and Solicitation must be clear in the solicitation that the same firm does not have to provide both services
Page 18 Presentation name | date
Other Considerations
• Unsuccessful grant applicants from previous years can use same engineer or architect if:Must be for previous application cycleFollowed acceptable procurement processApplication must be for same (improved!!)
project
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Professional Services Procurement
• Failure to comply may result in DCA disallowing the use of CDBG/CHIP funds to pay for the professional activity
Page 20 Presentation name | date
Federal Labor Standards
• Applicable to any construction contract over $2000, supported in whole or in part by CDBG or CHIP
• Exempt:▪ Rehabilitation or Construction of six (6) or less
housing units per contract using CDBG and eight (8) or less using CHIP/HOME funds.
Page 21 Presentation name | date
Federal Labor Standards
• Four Key Laws
• Davis Bacon Minimum Pay▪ Prevailing Wage Rate Determination
• Over-time pay▪ 1.5 times rate of pay for over 40 hrs per week
• Copeland Anti-kickback
• Health and Safety Standards
Page 22 Presentation name | date
Federal Labor Standards
• Construction Cost Impact▪ Wages may be higher than normal for your area
• Administrative Burden may effect cost▪ Obtaining correct wage rate determination▪ Contract requirements▪ Reviewing required weekly payroll reports▪ Job Site Interviews▪ Solving compliance problems▪ Final Wage Report
Page 23 Presentation name | date
Acquisition of Property
• Applicable Law: Uniform Real Property Acquisition and Relocation Assistance Policies Act of 1970 (URA)
• Applicable Regulation▪ 49 CFR Part 24 (DOT)
Page 24 Presentation name | date
Acquisition of Property
• Applicability▪ Purchase of land for building▪ Rights-of Way (ROW) for Streets▪ Permanent Easements for water, sewer,
drainage, etc.▪ All acquisitions for CDBG Project
• Regardless of Source of Funds
–i.e. Local funds
Page 25 Presentation name | date
Acquisition of Property
• Basic Requirements▪ Preliminary Notice of Intent to Acquire and
URA Protections Provided to Owner▪ Amount Paid Must be Based on Appraised
Value ▪ Donations Acceptable But Only With Waiver▪ Owner Must be Offered Fair Market Value▪ Written Purchase Offer
Page 26 Presentation name | date
Acquisition of Property
• Indicate ownership status of property needed for project
• # of parcels and estimated cost
• Indicators of Readiness to proceed
• Don’t get Owners to Donate just prior to submittal of Application.
Page 27 Presentation name | date
BREAK
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Equal Opportunity
• Applicable Civil Rights Laws and Regulations▪ Section 109 of the Housing and Community
Development Act of 1974▪ Section 504 and the Americans with
Disabilities Act (ADA)▪ Fair Housing Law▪ Ethnic and Racial Reporting Requirements
Page 29 Presentation name | date
Equal Opportunity
• Section 109▪ Can not discriminate in CDBG or CHIP
Programs on basis of:• Race• Ethnicity• Sex• Age• Family Status• Disability
▪ HUD/FHEO can investigate complaints
Page 30 Presentation name | date
Section109
• Choice of Beneficiaries and Target Areas must be equitable▪ DCA-6 (Benefit) asks for number of minority
and non-minority beneficiaries▪ Final Report asks for race and ethnic data in
addition to LMI status
Page 31 Presentation name | date
ADA and Section 504
• Public Hearing locations must be accessible
• Public Building must be accessible
• Public Information must be accessible (TDD and GA Relay Service)
Page 32 Presentation name | date
Fair Housing
• Affirmatively Further Fair Housing Certification
• Public Information and Education is an eligible activity
Page 33 Presentation name | date
Documentation of Benefit
• Number of people to benefit (Proposed Accomplishments) are recorded on DCA-2 and DCA-6.
• Establishes basis for eligibility▪ 70% Rule▪ 100% for Housing
• Must be accurate as possible
• Reasonable
• Verifyable
Page 34 Presentation name | date
Documentation of BenefitTwo Methods
• Direct count based on client records▪ Housing▪ Job Creation▪ Limited Clientele for Buildings for Community
Service • Health Centers, Senior Centers, etc.
• Area income survey▪ Public Utility and other Area Benefit projects
Page 35 Presentation name | date
Limited Clientele Benefit(Direct Count)
• Useful for Building Projects and Housing• Benefit is limited to persons attending program or
whose home is rehabilitated
• Information needed to determine LMI and Racial/Ethnicity status must be based on records
• “Double Counting” problem▪ People not “Service Encounters”, etc.
Page 36 Presentation name | date
Limited Clientele Benefit(Direct Count)
• May want to show existing and proposed numbers
• May want to break-out numbers by program in facility
• Example: Senior Center▪ People benefiting from on-site meals▪ Home delivery of meals▪ Attending daily programs
Page 37 Presentation name | date
Limited Clientele Benefit
• Some people can be assumed to be LMI▪ Only need a count of the # of people▪ Assumed LMI:
• Elderly• Severely Disabled• Homeless• Battered or Abused Men, Women or Children• Migrant Workers• Persons living with AIDS• Illiterate
Page 38 Presentation name | date
Limited Clientele Benefit
• If clients are not on this list (i.e. Health facility, etc.) the documentation of the number of persons to benefit must include family size and income data
Page 39 Presentation name | date
Documentation of BenefitArea Surveys
• Area Benefit▪ Water and sewer▪ Streets, drainage or sidewalks, etc
• Count everyone in area to benefit▪ All residents on street▪ Separate areas…one very low income area
can not qualify a non-low and moderate income area even if overall benefit exceeds 70% minimum
Page 40 Presentation name | date
Documentation of BenefitArea Surveys
• Accurate in done properly
• 100% vs. Sample Survey
• Guidebook is available (Appendix C)
• Two Important Considerations▪ Who to Survey or Selecting the “Sample”▪ How to Survey or Implementation
Considerations
Page 41 Presentation name | date
Documentation of BenefitArea Surveys
• Prefer 100% survey for a small area
• Large area may require a sample survey▪ Water Storage Facility▪ Treatment Facility
• The goal of a sample survey is to be able to make an accurate inference about a population based on a survey of a smaller or sample group
• Can be accurate if done properly
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Documentation of BenefitArea Surveys
• Sample Standards▪ Must be large enough based on population to be
sampled▪ Table B (Page 9 of Guide) gives required
minimum sample size based on population or “universe”
▪ Example:• 100 to 115 residents requires a sample of at least
90 residents• 651 to 1200 requires a minimum sample of 300.
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Documentation of BenefitArea Surveys
• Must be a systematic and random selection of families to be survey so that each family has an equal change of being selected
• Going door to door until you accumulate enough surveys to meet the minimum sample size is not random.
• Guide provides more information of random selection methods
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Documentation of BenefitSample Selection Example
• 500 families in neighborhood▪ Minimum sample required is 250▪ 250/500=1/2 or every other family must be
survey▪ Make a random start and go to every other
house (Systematic)▪ Must have a systematic replacement rule▪ Example: If after 3 attempts (all times) no one is
home, always go to the neighbor on right.
Page 45 Presentation name | date
Documentation of BenefitArea Surveys: Implementation
• Acceptable Survey Form Must Ask▪ # Family Members▪ Gross Family Income▪ Racial data for final benefit form
• Avoid “leading” questions which may bias respondent• Test the Survey• Publicity• Go at all hours and days of week
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DCA Form 6
• Reports # of people to benefit as well as # who are low and moderate-income and # of minorities
• Must describe how the information was determined
Page 47 Presentation name | date
Who is a low and moderate income person?
• “A member of a family having an annual gross family income equal to or less that the Section 8 lower income limit, adjusted for family size”.
Page 48 Presentation name | date
DCA Form 6
• For surveys must include:▪ How sample was chosen▪ # of families in area▪ # of families surveyed▪ # of persons in families surveyed▪ # of LMI families surveyed▪ How the survey was conducted (Who and When)▪ Copy of a survey form used
• Prior to funding decisions we may ask for copies of all surveys completed
• Must keep all information for DCA review
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Qualified Local Government Status
• Comprehensive Plan Status
• Required DCA Reports
• Service Delivery Strategy
• Solid Waste Planning
• We also check with Ga. Depart. of Audits
• Check your status at DCA web site
• We check during application reviews
Page 50 Presentation name | date
Environmental Review Requirements for CDBG/CHIP Applications
• Obligation of CDBG/CHIP Recipients:▪ Comply with environmental and historic
preservation laws (Big List)▪ Assess and evaluate environmental effects▪ Minimize and mitigate any adverse effects▪ Public Notification▪ Do Not Obligate Funds Until E.R. Release of Funds
• Recipients’ Workshop Training
Page 51 Presentation name | date
Environmental Review Requirements for CDBG/CHIP Applications
• As you plan your project consider:▪ Neighborhood impacts▪ Historic Preservation
• Demolition
• Reuse and Rehabilitation of Historic Resources
• New building in a Historic Neighborhood
▪ Memorandum of Understanding
Page 52 Presentation name | date
Environmental Review Requirements for CDBG/CHIP Applications
• Form DCA-9 Environmental Review Information▪ Floodplain and Wetland▪ Cultural and Historic Resources
• Archaeological• Building and Structure Information
• Environmental Grant Special Conditions▪ Information from DCA-9▪ DNR/HPD Comments
Page 53 Presentation name | date
HUD cross-cutting toolkits (Financial Management, Labor Relations and Environmental requirements) on its website
• http://www.hud.gov/offices/cpd/communitydevelopment/toolkit/index.cfm
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Historic Presentation Division
• Presentation by Michelle Volkema
Page 55 Presentation name | date
Compliance Requirements
Questions?
Rick Huber (404) 679-3174
Pam Truitt (404) 679-5240
Page 56 Presentation name | date
Good Luck