CDBG 201 Training: Building Better Communities

1. Community Development Block Grant CDBG 201 Training Program Day 2 Building Better Communities One Project at a Time

2. Day Two Agenda 8:30 Registration 9:00 Planning Grant Administration 9:30 Exercise #1 Planning Grant Review of Administration Forms 10:30 Break 10:45Construction Grant Process 11:15 Step 1: Determination of Project Scope & Eligibility 11:45 Step 2: Verification of National Objective 12:15 Lunch 1:15 Step 3: Initiate FEEPS Activities 1:30 Financial 2:00 Engineering 2:15 Break 2:30 Environmental 3:15 Break 3:30 Environmental (Continued) 4:00 Class Dismissal

3. Planning Grant Administration Easing Into the World of Administration

4. Planning Grant Administration Steps Affiliated with Administrating a CDBG Planning Grant Execution of Planning Grant Agreement Project Kick-Off Meeting Project File Organization Execution of Professional Service Agreements Project Meetings and Updates Process Payment #1 Submit Semi-Annual Report(s) Submittal of Plan to OCRA for Review and Approval Adoption of Plan at Public Meeting Process Payment #2 Submit Phase 1 Close-Out and Desktop Monitoring Materials Submit Phase 2 Close-Out Documentation Maintain File for Period of No Less than 5 Years

5. Step 1: Execution of Planning Grant Agreement • The Community and Grant Administrator will be notified by OCRA via email approximately 60 daysafter the planning grant request was submitted regarding its award • The award process consists of three (3) separate emails: • Email One:Letter of Award • Email Two:W-9 Form • To be executed & returned via email • Electronic Deposit Form • To be executed & returned via email • Email Three:Grant Agreement • To be executed & returned via email • Requires an electronic signature • Must have Adobe PDF Reader and a State Bidder ID #

6. Step 2: Project Kick-Off Meeting • As the Grant Administrator, it is your responsibility to make sure that everyone (town council, clerk-treasurer, operators, engineers, attorney, etc.) has a clear understanding of the project goals / objectives and timeline. • DO NOT ASSUME THAT, SINCE YOU REVIEWED THIS AT THE PUBLIC HEARING STAGE, THEY WILL REMEMBER. • With that, it is good practice to call a meeting upon Grant Award to get all applicable parties together to discuss: • Professional Contract Execution • Scope of Project (goals / objectives and alternatives to be considered) • Milestones • Payment Process • Review / Approval Process • Final Plan Technical Requirements

7. Step 3: Project File Organization • Although the documentation associated with a planning grant is far less extensive than that affiliated with a construction grant, you still will need to make sure your files are organized. • Suggested file set-up includes: • Grant Application (completed grant application) • Grant Award (grant award letter, W-9, ETF, grant agreement) • Professional Procurement(procurement documentation) • Professional Contracts (copy of each professional contract) • Financial Management (required financial forms, invoices, drawdowns, disbursements, semi-annual reports) • Grant Modifications(copies of scope changes / time extensions, if applicable) • Completed Study (completed plan, meeting minutes, approval letter from OCRA, adoption resolution, etc.) • Grant Close-Out (Phase 1 & 2 close-out documentation)

8. Step 4: Execution of Professional Service Agreements • Professional Service Agreements can be executed upon Notice of Grant Award. • Professional Service Agreements must: • Clearly Define Project Scope • Be “Lump-Sum” or have a “Not to Exceed Clause” • Provide a Project Timetable • Contain a Copy of the Federal Third Party Provisions • Be Executed at a Public Meeting • The Grantee has one (1) year to complete the project. The plan must be completed by the 9th month and submitted to OCRA for review / approval. This should provide sufficient time for the Grantee to then officially adopt the plan, draw the remaining grant funds and submit the close-out documentation prior to the completion date.

9. Step 5: Project Meetings and Updates Although it is the responsibility of the consultant completing the plan to arrange meetings / updates with the community, the Grant Administrator should suggest that periodic review meetings be conducted with the applicable community representatives and general public. These meetings are a good way to involve the general population that will ultimately benefit from the recommended improvements. These meetings areover and above the required Public Meeting to take place once the plan/study has been officially approved by OCRA.

10. Step 6: Process Payment #1 • Planning grants are limited to two (2) drawdownsper the duration of the project. • The first drawdown cannot exceed more than 60% of the executed contract amount. • This information needs to be communicated with the consultant and community chief financial officer up front. • Once the consultant has reached the 60% study completion mark, they can submit an invoice to the Grantee, which must be approved at a public meeting. • Once approved, a drawdown can be processed. • Drawdowns can be electronically submitted to the person listed on the claim form • Expect funds to be electronically deposited within 35 days of the request • Once funds are deposited, the community has 5 business days to disburse the funds

11. Step 7: Submit Semi-Annual Report(s) • Upon Grant Award, each Grantee is required to submit Semi-Annual Reports to OCRA which simply provide an update on the project’s status. • Semi-Annual Reports are Due: • Recording Period January 1st to June 30thare due by July 31st • Recording Period July 1st to December 30thare due by January 31st • During the planning grant phase, Grantees should not need to submit any more than two (2) semi-annual reports. The exception to this rule would be if a time extension modification was filed and approved.

12. Step 8: Submittal of Plan to OCRA for Review and Approval • No later than the 9th month after grant award, the consultant should: • Review the plan with the Grantee and verify that it meets all of OCRA’s technical requirements • Make requested changes / additions • Submit the plan / study electronically via the Google Form to OCRA for review • Grant Services will log the plan into the system and forward the plan to the Grantee’s Community Liaison for review / approval • If the Community Liaison has questions and/or needs further documentation to complete the plan, they will work with the consultant to obtain the necessary clarification. • Once approved, OCRA will notify the community.

13. Important Plan Elements As the Grant Writer / Administrator you will need to understand the plan and what needs to be accomplished to alleviate the situation the community is experiencing. The things that the Grant Writer / Administrator should be able to discern from the plan include (but are not limited to): • Clear Description of Project Elements • Map Indicating Precise Location of Proposed Project Elements • Detailed Cost Estimate of Proposed Project Elements • Documentation of Substantiating Project Need • All OCRA Technical Requirements Have Been Met

14. Step 9: Adoption of Plan at Public Meeting • Once the community has obtained OCRA’s approval of the plan / study, the Grantee will then need to conduct a public meeting to present the plan to the general public. • Before the meeting: • The meeting notice will need to be advertised in the local newspaper no less than 10 days prior to the meeting. • Make sure the hearing occurs on the 11th day or after • ALWAYS check that the ad was published on the date specified. • The meeting notice needs to be placed in the legal advertising section and only needs to run one (1) time. • Check the (Four Factor Analysis / Language Access Plan) data on OCRA’s website to see if the notice needs to be published in any other language aside from English. • At the meeting: • The consultant will present the plan and its findings. • Be sure to obtain a sign-in sheet and take minutes at the meeting. • Once the plan is presented, the Grantee will then officially adopt the plan via RESOLUTION.

15. Step 10: Process Payment #2 • Once the public meeting has been conducted and the plan has been officially approved by the Grantee, the consultant can submit their final invoice. • Upon approval of the invoice by the Grantee, the Grant Administrator will prepare the final draw request (typically the remaining 40%). • The draw request can be emailed to the person listed on the claim form prior to the GRANT EXPIRATION date • The federal funds will then be electronically deposited into the Grantee’s account within 35 days • Once the funds are deposited, the Grantee has five (5) working days to disburse the funds. • Prior to submitting the final claim, the Grant Administrator must submit the: • Proof of publication of the public meeting • Minutes of the public meeting • Sign-in sheet • Adoption resolution

16. Step 11: Submit Phase 1 Close-Out and Desktop Monitoring Materials After the final federal draw is received and ALL funds (federal & local) have been disbursed, the Grant Administrator will need to complete and submit the Phase 1 Close-Out documentation. Need to be Included with Close-Out Form: • All executed professional contracts with third party provisions attached • All drawdown requests • All deposit notices • All project invoices • Both federal & local • Alldisbursement payments • Copies of checks • All completed financial management forms: • Federal cash control register • Contract obligation form • Contractor expenditure form • Local match expenditure form • Property inventory form

17. Step 12: Submit Phase 2 Close-Out Documentation After Grant Services receives and approves the Phase 1 Close-Out documentation, along with the applicable desktop monitoring materials, Grant Services will request that Phase 2 Close-Out Documentation be submitted. Once received and approved, Grant Services will issue a letter to the Grantee indicating that the project is administratively closed and that no further reporting is necessary.

18. Step 13: Maintain File for Period of No Less than 5 Years Although OCRA may be finished with the project, the paperwork affiliated with the grant request and administration is subject to audit by the Indiana State Board of Accounts. The Grantee must maintain copies of all of the paperwork for no less than five (5) yearsafter the project has been administratively closed by OCRA.

19. Exercise #1 Complete Required Planning Grant Paperwork

20. 15 Minute Break Just changed my Facebook name to ‘No one’; so when I see stupid posts, I can click and it will say ‘No one likes this’.

21. Construction Grants The Road to Progress

22. Purpose of Construction Grant • Construction grants are for the purpose of implementing corrective capital improvements • to solve an identified & PLANNED • community development need. • Construction Projects Should: • Address a well documented public need • Be equally supported by the public at large • Improve the quality of life for the project beneficiaries • The Application Process Is Extremely Competitive

23. Construction Grant Available Funding AMOUNT OF GRANT REQUEST & LOCAL MATCH

24. Wastewater/Drinking Water Grant Amounts

25. Construction Grant Application Steps Determine Project Scope & Eligibility – Month 1 Verify National Objective – Month 1 through 6 Initiate FEEPS Activities – Month 1 through 6+ Conduct 1st Public Hearing – Month 6 Submit Proposal to OCRA – Month 7 Conduct OCRA Site Visit – Month 8 Finalize FEEPS Activities – Month 10 Conduct 2nd Public Hearing – Month 11 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)

26. Welcome to Culver

27. Step 1 Determine Project Scope & Eligibility Construction Grant Application Process

28. Step 1: Determine Project Scope & Eligibility Excerpts from Preliminary Engineering Report (PER) conducted in 2014 CHAPTER 6 PROPOSED PROJECT The proposed project consists of replacing approximately 15,680 feet of 6” thru 8” water distribution mains, constructing a new water treatment plant and clear well, replacing approximately 271 new water meters, installing a new portable back-up generator and constructing a new 150,000 gallon elevated water storage tank. Proposed Improvements Maps are presented in Appendix G. Estimated project costs and a project schedule are provided on the following pages.

29. Step 1: Determine Project Scope & Eligibility 2014 PER Appendix G Project Elements

30. Step 1: Determine Project Scope & Eligibility 2014 PER Appendix G Project Elements

31. Step 1: Determine Project Scope & Eligibility 2014 PER Appendix G Project Elements

32. Step 1: Determine Project Scope & Eligibility 2014 PER Project Budget

33. Step 1: Determine Project Scope & Eligibility • Do you understand the scope? • What additional information would you like to see to help clarify the project scope? • Do you feel the community has adequate information to pursue funding via the CDBG Construction Grant program or should the community apply for a CDBG Planning Grant? • Per the CDBG guidelines, is the scope considered to be an eligible activity? • Are all elements of the scope eligible for funding under the State’s CDBG program? • What CDBG grant program would this project be categorized as? • How much grant funding does this project qualify for? • Does the project meet a National Objective?

34. Step 2 Verify National Objective (If Necessary, Initiate Income Survey) Construction Grant Application Process

35. Step 2: Verify National Objective Benefit to Low & Moderate Income Persons Elimination or Prevention of a Slum / Blight Urgent Need Area Basis Area Wide Spot Basis Limited Clientele Housing What National Objective Should It Meet? _________________________________________ Job Creation / Retention

36. Step 2: Verify National Objective Define the Project Boundaries & Beneficiaries Information Specific to Culver All Water Utility Customers Are Located Within the Corporate Limits There are a Total of 876 Water Utility Customers (763 Residential / 113 Commercial) According to 2010 US Census Culver has a Low/Mod Population Of 35.9% and MOE of 12.23 Obtain a Universal Listing of Project Beneficiaries

37. Step 2: Verify National Objective / Initiate Income Survey Two Methods of Surveys 1. Census (100% Survey of Service Area) 2. Sampling (Random Sample of Service Area) What Method Should We Utilize? _________________________________________

38. Step 2: Verify National Objective / Initiate Income Survey https://www.surveymonkey.com/mp/sample-size-calculator/

39. Income Survey Steps 1. Select the Survey Type 2. Develop a Questionnaire 3. Conduct the Survey 4. Determine / Analyze Results 5. Document Your Results

40. Select Survey Type A. Mail Survey B. Door to Door Survey C. Telephone Note: • Once the random sample is identified, any type of contact procedure is acceptable and if one procedure is unsuccessful, you can use another procedure

41. Developing Questionnaire Income Information Demographic Information

42. Developing Questionnaire

43. Developing Questionnaire At least 51% of the residents benefiting fromthe CDBGprogram must live in households earning 80% or less than the area's MedianFamily Income as determined by HUD. The Median Family Income Thresholds Change Every Year (Check OCRA’s Website for Most Current Numbers Prior to Stating Any Income Survey!!!)

44. Conducting the Survey • Give advance notice of survey – BE SURE IT IS NOT PREJUDICIAL • Do not bias the results • Interviewer must follow process • Survey etiquette must be followed • Turn surveys over to tabulator • Each survey needs to be reviewed and edited for completeness and accuracy

45. Determine/Analyze the Results • Add numbers for all data • Tabulate the responses and calculate estimated LMI % • Compare family sizes and percentages of LMI and Non-LMI responder families • Compare to existing Census data (if Census was under 40% you will need a justification statement for the change) • If using an income survey, you must include a letter from the CEO explaining why the Income Survey was used instead of Census • Explanation must be related to economic conditions in the community • Analyze non-respondents

46. Documenting the Results Written Report explaining ALL aspects of the income survey process from start to finish. Must have attached certification!! 2018

47. Step 2: Verify National Objective / Initiate Income Survey Does the Community Meet the National Objective? _________________________________________ What Is the Community’s Low / Mod Percentage? _________________________________________ How Much Grant Funding Can the Community Obtain? _________________________________________

48. Step 2: Verify National Objective / Initiate Income Survey How Much Grant Funding Can the Community Obtain? • Per the Preliminary Engineering Report (PER) the project cost is over $1,000,000 • Per the completion of the Income Survey the Low/Mod Percentage is 57.6% • Based upon the current water rate ordinance obtained from the Clerk-Treasurer, the residential water utility rate for 4,000 gallons is $18.47 • $ _________________________

49. Lunch Consider Light Lunch With Lots of Caffeine Afternoon Session is Action Packed !!

50. Step 3 Initiate FEEPS Activities Construction Grant Application Process