Chapter 3 Environmental Review Recipient Checklist

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1 Chapter 3 Environmental Review Recipient Checklist This checklist is designed to aid the recipient in assuring that the ERR is complete. In addition to the components listed, copies of ALL information related to the Environmental Review should be maintained. The ERR is a legal document that must be available to the public. It must document the recipient s compliance with federal and state environmental laws, and may be subpoenaed. No project funds, CDBG or non-cdbg, can be obligated or expended without the proper environmental clearance completed Project identification number, name, recipient etc. Project description with map. Finding of exemption for non-construction related activities. Copy of finding of exemption, signed by the certifying officer, sent to the State (Exhibit 3C) 4. Completion of Categorical Exclusion checklist not subject to 58.5 Copy of Determination of Categorical Exclusion not subject to 58.5, signed by the certifying officer, sent to the State. (Exhibit 3E) 5. Completion of Categorical Exclusion checklist subject to 58.5 Categorical exclusion converted to exemption Determination of categorical exclusion subject to 58.5, signed by the certifying officer, sent to the State. (Exhibit 3F) Categorical exclusion not converted to exemption Determination of categorical exclusion subject to 58.5, signed by the certifying officer. (Exhibit 3F) Mail notices to interested parties Publish or post the NOI-ROF (Exhibit G) and allow 7 or 10 days for comment Send RROF (Exhibit 3H), the complete, signed checklist with attachments and documentation of publication/posting/mailing to the State ROF issued by the State 6. Completion of Environmental Assessment Checklist Checklist completed and signed by certifying officer, with determination of a FONSI (Exhibit 3J) Mail notices to interested parties. Publish or post Combined Notice (Exhibit 3K) and allow 15 or 18 days for comment

2 Send RROF (Exhibit 3H), the complete, signed checklist with attachments and documentation of publication/posting/mailing to the State ROF issued by the State 7. Housing Rehabilitation Tiered Environmental Review Finding of exemption for non-construction related activities (Exhibit 3C) Categorically excluded that cannot convert to an exemption - Checklist completed and signed by the certifying officer for the rehabilitation program, as a whole, with a determination of categorically excluded that cannot convert to an exemption. (Exhibit 3M) Mail notices to interested parties Publish or post the NOI-ROF and allow 7 or 10 days for comment (Exhibit 3N) Send RROF (Exhibit 3H), the complete, signed checklist with attachments and documentation of publication/posting/mailing to the State ROF issued by the State Site specific reviews completed for each property, signed by the certifying officer (Exhibit 3M)

3 Chapter 3 Environmental Review Environmental Review Basic Federal Requirement The policies of the National Environmental Policy Act of 1969 (NEPA) and other provisions of law, which further the purposes of such Act, shall be effectively implemented in connection with the expenditure of funds under the Housing and Community Development Act. Such other provisions of law which further the purposes of the National Environmental Policy Act of 1969 are specified in regulations issued pursuant to section 104(g) of the Housing and Community Development Act and are contained in 24 CFR part 58. The state shall assume responsibility for environmental review, decision making, and action (and shall require the assumption of these requirements by units of general local government receiving Community Development Block Grant funds from the state) as shall be specified and required in regulations at 24 CFR part 58. Source for these requirements come from the Federal statute at Section 104(g) of the Housing and Community Development Act. Rules The rules for environmental review to be performed by CDBG recipients are in 24 CFR Part 58, Exhibit 3A. As the source of environmental review rules, different sections of 58 will be referred to throughout this chapter. The index and links to all sections is found online at Resources A list of resources, both online and hard copy, is found at the end of this chapter. The regional coordinator is also available to help answer questions and assist you with the environmental review process. A complete summary of environmental regulations and requirements can be found on the HUD website at: Reasons for Environmental Review There are several reasons that HUD requires Recipients to conduct environmental reviews of federally assisted projects. These include: To avoid or mitigate environmental effects that may cause harm to humans; To avoid or mitigate any harm to the surrounding environment; To avert successful legal action to stop projects on environmental grounds; and To secure the value of public investment. VERY IMPORTANT NOTICE! No project funds, either federal or local, may be committed until the environmental review is complete. Failure to properly complete the required environmental review prior to commitment of project funds will result in severe consequences, i.e. the State being federally prohibited from providing grant funds for part of or the entire project. Grant Management Handbook (2013) 3-1

4 Chapter 3 Environmental Review According to the NEPA (40 CFR ) and Part 58, the responsible entity (RE) is required to ensure that environmental information is available before decisions are made and before actions are taken. In order to achieve this objective, Part 58 prohibits the commitment or expenditure of CDBG funds until the environmental review process have been completed and if required, receives a Release of Funds from OBDD-IFA. RE s may not spend either public or private (non-federal or other Federal funds) or execute a legally binding agreement for property acquisition, rehabilitation, conversion, repair or construction pertaining to a specific site until the environmental clearance has been achieved. The RE must avoid any and all actions that would preclude the selection of alternative choices before a final decision is made that decision being based upon an understanding of the environmental consequences and actions that can protect, restore and enhance the human environment (i.e. the natural, physical, social and economic environment). Activities that have physical impacts or which limit the choice of alternatives cannot be undertaken, even with the RE s or other project participant s own funds, prior to obtaining environmental clearance. For purposes of the environmental review process, commitment of funds includes: Commit funds through a public meeting process, or other authorization to expend funds; Execution of legally binding agreement; Expenditure of CDBG funds; Use of non-cdbg funds on actions that would have an adverse impact, e.g., demolition, dredging, filling, excavating, ground disturbing activities; and, Use of non-cdbg funds on actions that would be choice limiting e.g., acquisition of real property, leasing property, rehabilitation, demolition, construction of buildings or structures, relocating buildings or structures, conversion of land or buildings/structures. The RE is advised to begin the environmental review process as soon as possible. Recipient Responsibilities and definition of Responsible Entity (RE) Each grant recipient (RE) is responsible for carrying out its Community Development Block Grant project in accordance with 24 CFR Part 58. Due to the complexities of environmental review processes, it is not possible to include information applicable to all projects and situations in this Grant Management Handbook. 3-2 (2011) Community Development Block Grant

5 Chapter 3 Environmental Review The grant recipient is, by federal statute, the Responsible Entity (RE) which must ensure that the environmental review process is completed properly. The environmental review record is a legally binding document and if legal action is taken against the conclusions of the environmental review record, the RE will have to testify to the validity of the record in a Federal Court of Law. For situations that are not sufficiently explained in this chapter, the RE is encouraged to use the many sources of information available. They are shown throughout this chapter, as well as listed at the end. A RE must not commit or expend funds on any activity in an Oregon Community Development Block Grant project before environmental review is complete and, when applicable, a Request for Release of Funds (RROF) is submitted and Release of Funds (ROF) has been issued by the state. The type of environmental clearance is determined by the nature of the activities in the project and their potential impact on the environment. It is the RE s responsibility to conduct the environmental review and to determine the type of environmental clearance needed. State Responsibilities The state will provide general information and materials in this Grant Management Handbook, but cannot address all possible situations that may be encountered by grant recipients. The department s regional coordinators are available to answer questions and provide more detailed assistance for meeting specific requirements. The state will monitor local records to assure that the environmental review requirements have been met. To assist the RE in assuring that all required steps are successfully completed, an Environmental Review Flow Chart is attached as Exhibit 3B. A comprehensive summary of HUD requirements for completing environmental review in Oregon may be found at: Applicability of Environmental Review Procedures All activities related to a project funded with a Community Development Block Grant, including those activities that are paid for entirely with local or other funds, fall under the HUD environmental review procedures. With the use of even one federal CDBG dollar in a project, the RE (grant recipient) assumes responsibility for all the environmental regulations even for activities beyond the control of the RE. Grant Management Handbook (2013) 3-3

6 Chapter 3 Environmental Review NOTE: If a county intends to apply for CDBG funds on behalf of a water or wastewater district, or a city/county is intending to apply for CDBG funds on behalf of a non-profit entity, and the potential city/county recipient considering application from a prospective district, non-profit etc., is aware that the prospective district, non-profit etc. is about to take an action within the jurisdiction of the potential recipient that is prohibited, the potential recipient must take appropriate action to ensure the objectives and procedures of NEPA are achieved, in accordance with 58.22(a). The Potential Impact of a Project on the Environment includes the cumulative effects on the environment, which could result from the proposed project activities when added to other past, present and reasonably foreseeable future actions regardless of what agency (federal or non-federal) or person undertakes such other actions. Cumulative impacts can result from individually minor, but collectively significant, actions taking place over a period of time. Project means an activity or a group of integrally related activities designed by the recipient to accomplish, in whole or in part, a specific objective When does the Environmental Review Process Begin? The environmental review process should begin as soon as the potential recipient determines the projected use of HUD assistance (58.30(b)). Therefore, the date on which a project becomes subject to the environmental review requirements is the date the potential applicant commences with the required application process identified within the current Method of Distribution. This is generally defined as: The date the department receives a Project Notification and Intake Form (PNIF). The PNIF does not need to be processed or approved by OBDD, only received. The PNIF does not need to identify the project proponents desire to use CDBG funds for the project, it need only describe the project itself, in accordance with 24 CFR Part 58.32; or, In the absence of a PNIF it is the initial indication of the Recipients approval of a specific site for assistance under the program; or, Intent to use CDBG funds can also be triggered by OBDD s receipt of the Off-Site Infrastructure for Affordable Housing Request for Pre- Screening. From this point forward all the federal and state CDBG program requirements apply to the project. What if a project proponent already started a project? If a project proponent (non-profit, district etc.) has started a project prior to compliance with HUD environmental procedures the potential city/county CDBG grant recipient it to halt non-compliance activities and seek advice from OBDD- IFA. Non-compliance with HUD environmental procedures puts at risk proceeding with the project with Federal financial assistance. The non-hud funded portion of the project is subject to the same environmental procedures as the HUD funded portion. The applicable statutes are 24 CFR Parts: 58.2(a)(4), 58.32, 58.22, 50.2, 50.21, and (2011) Community Development Block Grant

7 Chapter 3 Environmental Review The limitation on activities pending environmental clearance applies to only the CDBG grant recipient, but also to the other project participants, such as public or private non-profit or for-profit entities and their contractors. The applicable statutes are 24 CFR Parts: and Determining Scope of Project To determine the scope of the project, the Recipient must group together and evaluate all individual activities which are related either on a geographical or functional basis, or are logical parts of the planned project. In other words, the project means an activity or group of integrally related activities, designed by the Recipient to accomplish, in whole or in part, a specific objective. The environmental review project may be different than the CDBG project. For example, if the project were construction of sewer and water lines to provide capacity for a new manufacturing plant, all three components would be included in the environmental review. For purposes of environmental review, the project includes both CDBG and non-cdbg funds. The project might span several funding years. If any portion of the project is dependent upon another portion, not funded with CDBG funds, for successful completion, it must be included in the environmental review. Federal rules related to this project aggregation are found in Access to the index to all sections of 24 CFR Part 58 is at NO Commitment of Funds Prior to Environmental Review No project funds, including local match or other sources, may be committed or expended until the applicable environmental review process has been completed and, if required, clearance is received from OBDD. This includes activities that may be Exempt or Categorically Excluded (see elsewhere in this chapter for details). It is critical that a Recipient complete all environmental review procedures and, for most project activities, receive a formal Release of Funds from the state, before signing any contracts or spending money from any source on the project. The Rules for this are found in Failure to complete the environmental review process according to HUD s CDBG requirements will result in the department being federally prohibited from funding the project. Property Acquisition/Option Agreement The RE and any of the project proponents may not enter into a legally binding commitment on a particular site before the environmental review is complete. However, an option agreement on a proposed site or property is allowable prior to the completion of the environmental review IF the option agreement is subject to a determination by the RE on the desirability of the property for the project as a result of the completion of the environmental review and the cost of the option is a nominal portion of the purchase price. The option agreement must meet the requirements of 58.22(d) and with the option, the buyer has the option to purchase but not the obligation-even if Grant Management Handbook (2013) 3-5

8 Chapter 3 Environmental Review certain conditions are met to purchase. Regulations at 24 CFR Part make it clear that a recipient, any participant in the development process (including public or private nonprofit or for profit entities) or any of their contractors may not commit HUD or non-hud funds on a project until the environmental review process has been completed and the Request for a Release of Funds (RROF) and related certification have been approved, by means of the issuance of a Release of Funds (ROF) by the state, if needed. The RE must complete the environmental review of the property pursuant to HUD regulations at 24 CFR Part 58 and receive approval of a RROF, through the issuance of a ROF by the state, before the RE provides its written determination to exercise its right to purchase the property, under the option agreement. If the environmental review requires conditions to mitigate any environmental impacts, then the RE (if it is not the Purchaser) should enter into a separate written agreement with the Purchaser to ensure that the conditions will be undertaken. This limitation does not apply if title to the project site is already held by the RE or a participant in the project prior to the grant recipient s decision to pursue CDBG funding. The date on which a project becomes subject to the environmental review requirements is generally defined as the date the department receives a Project Notification and Intake Form (PNIF). The PNIF does not need to be processed or approved by OBDD, only received. The PNIF does not need to identify the project proponents desire to use CDBG funds for the project, it need only describe the project itself, in accordance with 24 CFR Part In the absence of a PNIF it is the initial indication of the Recipients approval of a specific site for assistance under the program. From this point forward all the federal and state CDBG program requirements apply to the project. Intent to use CDBG funds can also be triggered by OBDD s receipt of the Off-Site Infrastructure for Affordable Housing Request for Pre-Screening. Community Facility grant recipients, exercising a trust deed to ensure the facility will meet the five year continued use period, are advised to not enter into the trust deed prior to the Release of Funds (ROF) being issued by the State or to ensure that the trust deed is contingent upon successful completion of the environmental review process. Certifying Officer An entity receiving CDBG funding (Responsible Entity (RE)) must designate a Certifying Officer. The Certifying Officer is attesting to the RE s compliance with HUD s environmental review procedures and will be held legally responsible for defending the environmental clearance if it is challenged. The responsibilities of the certifying officer are described in (2011) Community Development Block Grant

9 Chapter 3 Environmental Review The Certifying Officer is the RE s chief elected official. If any person other than the chief elected official is the Certifying Officer, the city council or county board must officially designate a person, such as the city manager, city administrator, city recorder and county administrator. A copy of the resolution designating someone other than the chief elected official and or the minutes from the meeting that describe the designation must be submitted to the department. A copy of this documentation must also be kept in the RE s environmental review record. Failure to document the authority of the certifying officer can be the basis for a legal objection to the Recipient s Request for Release of Funds. Consulting engineers, architects, and staff of another unit of government or persons employed by agencies providing grant administration services cannot be certifying officers. Environmental Review Record (ERR) Environmental data gathering and analysis may be done by consultants, with the exception of the historic preservation requirements which must be completed by the RE, but the RE s federal certifying officer is responsible for the accuracy and validity of the data and the conclusions drawn. The RE is required to establish and maintain an Environmental Review Record (ERR) for each project, according to The purpose of this record is to document the environmental review decision-making process and all actions taken during the course of the environmental review, regardless of the funding source of the activity. At a minimum, the ERR must include the following: Description of the project and all related activities All environmental review documents Documentation of Public Involvement/Public Notices Public comments and responses to them Written determinations and findings Verifiable source documentation and relevant data Request for Release of Funds and Certification Release of Funds issued by the state The ERR must contain copies of all paperwork associated with the environmental review including a well-organized written record of the process and determinations. ERR is a Legal Document The Environmental Review Record is a legal document that may be subpoenaed. It serves as the RE s proof of compliance with the procedural provisions of federal environmental law and as defense against such challenges to the project based on environmental grounds. Public Access to ERR The Environmental Review Record must be available for public review. In addition to the copy in the RE s office, other good places to keep copies are the public or high school library or a community center. The department encourages grant recipients to post the ERR record on their web site. Posting on the web site would be in addition to the required public participation requirements. Grant Management Handbook (2013) 3-7

10 Chapter 3 Environmental Review Levels of Environmental Review The different levels of Environmental Review that must be completed depend on the overall nature of the project. A first step in the Environment Review process will be the RE s determination of the level of review needed. Each of the levels will be discussed in this grant management handbook. The five (5) levels of review and their applicable rules are: 1. Exempt 24 CFR 58.34(a) 2. Categorical exclusions not subject to 24 CFR CFR 58.35(b) 3. Categorical exclusions subject to 24 CFR CFR 58.35(a) 4. Environmental Assessment (Finding of No Significant Impact) 24 CFR Environmental Impact Statement (Finding of Significant Impact) 24 CFR Time and Cost of Environmental Reviews The time needed to complete the Environmental Review process varies greatly and increases with the level of review. As a general guideline, the RE may use the following: 1. Exemptions: one hour or less 2. Categorical exclusions not subject to 58.5: one hour or less 3. Categorical exclusions subject to 58.5: days or less 4. Environmental Assessments: days or less 5. Environmental Impact Statements: 1½ to 2 years, sometimes more. After completion and submittal of a Finding of Exemption form, the RE may use grants funds for environmental review tasks as defined in the Method of Distribution and the grant recipient s contract. Effect of Changes to Projects ERR Amendments Any changes in a project after the initial environmental review process is completed must also be assessed for their impact on the environment. Some changes, such as a new location of a project activity or an increase in the size of a facility, may trigger a different level of review, or an amendment to the current ERR. Requirements of 24 CFR 58.6 Regardless of the level of environmental review required, 58.6 will apply to all CDBG-funded projects. This rule addresses compliance with the Flood Disaster Protection Act of 1973, Runway Clear Zones, and the Coastal Barrier Improvement Act of (Note: there are no Coastal Barrier Resources in Oregon; this should not be confused with Oregon s Coastal Zone Management Program). 1 st - Level of Review: Exempt Activities Certain activities are, by their nature, highly unlikely to have any direct impact on the environment. Accordingly, these activities are exempt from 24 CFR Part Exempt activities as listed in 58.34(a) include: Environmental studies, plans and strategies Information and financial services 3-8 (2011) Community Development Block Grant

11 Chapter 3 Environmental Review Administrative and management expenses, including sub-granting funds Public services without any physical changes Inspections and testing of properties for hazards or defects Purchase of insurance Purchase of tools Engineering or design costs Technical assistance and training Payment of principal and interest on HUD loans Assistance for temporary or permanent improvements that do not alter environmental conditions and are limited to protection, repair, or restoration activities necessary only to control or arrest the effects from disasters or imminent threats to public safety including those resulting from physical deterioration Temporary test wells are exempt under 58.34(a)(5) under inspections and testing of properties for hazards or defects Common Exempt Activities CDBG projects typically include one or more of the following exempt activities: Grant administration Engineering and architectural services Economic Development and Housing Rehabilitation Program Management Sub-grants to non-profits Preparation of the environmental review record Legal/Audit services Planning activities in Technical Assistance and Preliminary Engineering Public Works projects Remember that, in addition to federal monies, the use of local and other funds in the project must also be covered in the review. Finding of Exemption An RE must document in writing its determination that an activity or project is exempt. This is done by completing a Finding of Exemption from Environmental Review Requirements (Exhibit 3C). The finding identifies each exempt activity. After completion, this document must be signed by the RE s certifying officer, filed in the Environmental Review Record, and submitted to OBDD The finding must be dated prior to the RE (recipient) committing any funds to these project costs whether paid for with CDBG or other funds. This would include contracting with another agency to complete the environmental review or any other work. Activities that are determined to be exempt are not required to undergo an environmental assessment, public notice or comment period. Grant Management Handbook (2013) 3-9

12 Chapter 3 Environmental Review Projects that are Entirely Exempt If the project consists solely of Exempt activities, no other actions described in this chapter, including the Request for Release of Funds, need be taken. Most Recipients, however, have projects that include both exempt and nonexempt activities. These Recipients must complete other environmental clearance actions in addition to the Finding of Exemption. Summary of Actions for Exempt Activities 2 nd Level of Review: Categorically Excluded Activities Not Subject to 58.5 The following is a summary of the steps necessary for projects with Environmentally Exempt activities: 1. Prepare a Finding of Exemption (Exhibit 3C) 2. Have it signed and dated by the RE s Certifying Officer 3. Place the Finding of Exemption in the ERR 4. Send a copy of the Finding of Exemption to OBDD 5. Proceed with contracting; expenses can now be incurred for exempt activities Categorical Exclusion refers to activities that normally would not alter any conditions that would require an Environmental Assessment or Environmental Impact Statement except in extraordinary circumstances. This is described in While these activities may not be subject to all NEPA procedural requirements, the RE must present evidence that the project activities meet the environmental requirements contained in other related laws, regulations or Executive Orders. Evidence is documented through the completion of the appropriate Statutory Checklist discussed within this handbook. Activities determined to be Categorically Excluded under 58.35(b) require compliance with regulations at 58.6 only and are considered Exempt from the National Environmental Policy Act of 1969 (NEPA) and other related laws. Refer to Exhibit 3E for a copy of the Determination of Categorical Exclusion (not subject to 58.5) checklist. Such activities include: Tenant-based rental assistance Supportive services including, but not limited to, health care, housing services, permanent housing placement, day care, nutritional services, short-term payments for rent/mortgage/utility costs, and assistance in gaining access to local, State, and Federal government benefits and services Operating costs including maintenance, security, operation, utilities, furnishings, equipment, supplies, staff training and recruitment and other incidental costs Economic development activities, including but not limited to, equipment purchase, inventory financing, interest subsidy, operating expenses and similar costs not associated with construction or expansion of existing operations. (For Economic Development Revolving Loan Fund projects, please see Chapter 9 for more guidance.) Activities that assist homebuyers to purchase existing dwelling units or 3-10 (2011) Community Development Block Grant

13 Chapter 3 Environmental Review dwelling units under construction, including closing costs and down payment assistance, interest buy-downs, and similar activities that result in the transfer of title Affordable housing pre-development costs including legal, consulting, developer and other costs related to obtaining site options, project financing, administrative costs and fees for loan commitments, zoning approvals, and other related activities which do not have a physical impact Approval of supplemental assistance (including insurance or guarantee) to a project previously approved under 58.5(b) of this part, if the approval is made by the same Recipient that conducted the environmental review on the original project and re-evaluation of the environmental findings is not required under Summary of Actions for Categorical Exclusions Not Subject to 58.5 Activities Guide to Completing Statutory Checklists The following is a summary of the steps necessary for projects with activities that meet the requirements for Categorical Exclusions not subject to 58.5: 1. Prepare a Determination of Categorical Exclusion (Not subject to 58.5) (Exhibit 3E) 2. Have it signed and dated by the RE s Certifying Officer 3. Place the Determination of Categorical Exclusion in the ERR 4. Send a copy of the Determination of Categorical Exclusion to OBDD. 5. Proceed with contracting; expenses can now be incurred for categorically excluded activities not subject to 58.5 As an aide to completing the Statutory Checklist, a Statutory Review Worksheet is included as Exhibit 3D. This lists each of the factors that must be evaluated, the applicable statute, regulation or Executive Order, and websites containing additional information and/or the legal reference. This is for informational purposes only and is not meant to replace the mandatory Statutory Checklist. There is space provided on each Statutory Checklist to document compliance with the applicable law, regulation or Executive Order and to indicate the source of information and references that support each finding. The RE must take the necessary action to obtain clearance for each of the regulatory areas listed. A condition or source must be cited and a copy attached to the checklist for each item. Sources may be a report, phone contact, previous environmental review, field observation, or general knowledge of the area. Notes, correspondence and all source documents (e.g., approval letters, permits) must be attached to the Checklist. When the Statutory Checklist has been accurately completed, it must be signed by the RE s Certifying Officer. This must be done prior to the public review period. 3 rd Level of Review: Categorical Exclusions Subject to 58.5 Activities and projects that consist solely of the kinds of activities listed in 24 CFR 58.35(a) are categorically excluded from NEPA review because they do not individually or collectively have a significant impact on the environment. However, compliance with other applicable federal environmental laws listed in 58.5 is required for activities designated under this part. Such activities include: Grant Management Handbook (2013) 3-11

14 Chapter 3 Environmental Review Acquisition, repair, improvement, reconstruction, or rehabilitation of public facilities and improvements (other than buildings) when they are in place and will be retained for the same use without change in size or capacity of more than 20 percent (e.g., replacement of water or sewer lines, reconstruction of curbs and sidewalks, repaving of streets) Special projects directed to the removal of material and architectural barriers that restrict the mobility of and accessibility to elderly and handicapped persons Rehabilitation of buildings and improvements when the following conditions are met: in the case of multifamily residential buildings, (a) unit density is not changed more than 20 percent, (b) the project does not involve changes in land use from residential to non-residential, and (c) the estimated cost of rehabilitation is less than 75 percent of the total estimated cost of replacement after rehabilitation; in the case of non-residential structures, including commercial, industrial, and public buildings, (a) the facilities and improvements are in place and will not be changed in size or capacity by more than 20 percent, and (b) the activity does not involve a change in land use, such as from non-residential to residential, commercial to industrial, or from one industrial use to another An individual action on one- to four-family dwelling units or an individual action on a project of five or more units on scattered sites when the sites are more than 2,000 feet apart and there are not more than four housing units on any one site Acquisition (including leasing) or disposition of, or equity loans on an existing structure, or acquisition (including leasing) of vacant land provided that the structure or land acquired, financed, or disposed of will be retained for the same use Combinations of the above activities If Not Every Activity is Exempt or Excluded An entire project may be Categorically Excluded if it consists solely of one or more of the activities listed in However, if the project has even one activity that is neither Exempt nor Categorically Excluded, the project cannot be classified as Categorically Excluded. Summary of Actions for Categorically Excluded Activities subject to 58.5 Step1 General Information Letter - Mail a general letter to interested parties (HUD, ODFW, DHS, etc) about the ER and the funded project. Include a project description, map of the project location etc. This is a very general letter and requests any information within 10 days of their receipt of the letter. Certified mail return receipt works best to document this. The same letter must be mailed to everyone. The mailing list and copies of all the letters must be included in the ERR. Step 2 Complete 8-step Process - Complete the 8-step environmental review process for project area that includes a floodplain or wetland, while completing the statutory checklist, if required (2011) Community Development Block Grant

15 Chapter 3 Environmental Review Step 3 SHPO/THPO Consultation - The RE must complete the SHPO/THPO letters and allow them 30 days, to respond. Refer to Exhibit 3L for additional information. Prepare the THPO letters in accordance with the HUD template included as Exhibit 3Q. All correspondence with SHPO/THPO must be included in the ERR and only the RE s certifying officer can initiate communications and negotiate with THPO. The THPO letters must be on the RE s letterhead and be signed by the RE s certifying officer. Here are a few items which require particular attention: If there will be an adverse effect the RE must notify the Advisory Council on Historic Preservation and give them an opportunity to enter into consultation. The RE is responsible for ensuring that the mitigation measures required by the Memorandum of Agreement (MOA) are satisfactorily carried out. The MOA, if required, must be executed PRIOR to the decision point for the project and prior to the dissemination of the NOI-RROF. A representative of the grant recipient (retained consultant) can initiate communications and negotiate with SHPO if the consultant clearly states in writing that they are initiating consultation on behalf of the responsible entity (RE) (the grant recipient). The THPO/SHPO negotiations must be complete before the statutory checklist can be considered complete, signed by the RE s certifying officer and made available for public comment. Step 4 Statutory Checklist - Complete the statutory checklist Exhibit 3F, referring to the specialized environmental review topic area information of this GMH for assistance. The responses received from the above 3 steps must be incorporated into the ER and any necessary mitigation actions must also be included in the ER. Provide the project name, description and location from the application and a map showing the location of the project that are detailed enough to enable readers to easily locate the project The complete checklist will include a project description, map showing the location, statement of who has been involved in the ER process (recipient staff, consultants, other agencies etc.), a summary of the existing environmental conditions and any mitigation actions that must be undertaken, the environmental statutory checklist, documentation supporting each conclusion on the statutory checklist, a brief analysis of alternatives that were considered (no action versus the selected Grant Management Handbook (2013) 3-13

16 Chapter 3 Environmental Review alternative), any research documents supporting the conclusions on the statutory checklist, copies of all communication s s, phone logs/notes, letters, etc. pertaining to the ER, any official letters, community requests for information, environmental objections/comments, record of site visits and meetings including a list of attendees, a complete list of the participants in the ER, the completed NOI-RROF, evidence of publishing/posting. Step 5 Converting to an Exemption - If the completed checklist shows that the answer to each question is A the entire project is categorically excluded and can be converted to exempt. In this rare event, OBDD-IFA must issue written confirmation that the project can be converted to exempt. In order to obtain OBDD-IFA review, everything must be provided to OBDD-IFA for review. If the Statutory Checklist shows that compliance with each area is achieved without adverse effects on the protected resource, the project converts to Exempt under (a)(12). This usually means that you answered A in all areas showing the project is In Compliance with all regulations or that B was required. In such cases, the project may still be converted to an Exemption if the consultation does not result in required actions. For example, consultation with the State Historic Preservation Office (SHPO) is required if houses more than 50 years old will be rehabilitated. When the result of the consultation is a SHPO statement that no historically significant structures will be affected, the project (overall rehabilitation program) is Categorically Excluded from further review. If the project may be converted to Exempt, the only necessary action is to complete the Determination of Categorical Exclusion (subject to 58.5) Checklist and mark the appropriate box indicating that the activity/project can convert to exempt, have the RE s certifying officer sign and date the form and send a copy to OBDD, and place it in the Environmental Review Record along with the Statutory Checklist and any other relevant documentation. When this has been done, OBDD will notify the Recipient that they may begin the contracting process and that they are eligible to incur project costs. Step 6 - Project that cannot convert to exempt - If the project cannot be converted to exempt, there is at least one item on the statutory checklist is a B, and is still categorically excluded. The RE s certifying officer needs to review the ERR and sign the document. Step 7 ERR Public Dissemination - The ERR can now be made public. The NOI-RROF can be prepared and published (Exhibit 3G). The NOI-RROF cannot be published until the ERR has been signed by the RE s certifying officer. In accordance with Exhibit 3I, if the NOI-RROF is published the public has 7 days (not including the date of publication) to provide comment back to the RE regarding the technical integrity of the ER record. Any comments received must be incorporated into the ER document along with any responses by the RE and any mitigating actions. If the notice is posted the first public 3-14 (2011) Community Development Block Grant

17 Chapter 3 Environmental Review comment period is 10 days. Step 8 Incorporate Public Comment into ERR and prepare RROF - The RE must address and resolve any comments received before preparing a Request for Release of Funds (Exhibit 3H). Once the public comments are properly incorporated into the ERR, the RE can prepare the RROF and mail the RROF and the completed ERR to OBDD-IFA. The submission must include either the affidavit of publication and copy of what was published or a certification of posting which includes: identification of the locations the notice was posted, the dates it was posted, who posted it, and a copy of what was posted, which must be signed and dated by an official of the grant recipient. Step 9 OBDD receipt of complete ERR and RROF - Once OBDD-IFA receives the complete ERR and the completed RROF the public has 15 days (not including the date it was received by OBDD-IFA) to submit comments to the state about the procedures used by the RE in completing the ER record. A complete ERR contains all documents referenced in Step 4 above. Step 10 ROF Issuance - If OBDD-IFA receives public comment, it must be addressed. Based upon the public comment received, OBDD-IFA will issue a ROF, if applicable. Extraordinary Circumstances If the Recipient determines that a Categorically Excluded activity or project has the potential for an environmentally significant impact because of extraordinary circumstances or conditions at, or affecting, the location of the activity or project, an Environmental Assessment or an Environmental Impact Statement must be prepared. The regional coordinator should be consulted in such situations. NOI-RROF Public Notice For a Categorically Excluded project that cannot convert to Exempt, the RE must disseminate a Notice of Intent to Request the Release of Funds (NOI-RROF). A sample is attached as Exhibit 3G. The RE may add language to the Notice but must not delete any of the boilerplate language. The NOI-RROF informs the public that the RE intends to draw down funds for their CDBG project. It invites interested parties to comment on the content of the Environmental Review Record. This is not meant as an opportunity to comment on the validity of the project. Public Notice Timing There are very strict timelines for publication of environmental notices and it is vital that they are followed precisely. Exhibit 3I contains a table of the required posting and publishing requirements, as well as a chart for the RE to do their own calculations. The length of the public comment period must be calculated from 12:01 AM on the first day after publication or posting through 11:59 PM on the last day. If the last day of the comment period falls on a Saturday, Sunday or holiday, comments should be accepted through the following business day. If desired, the Grant Management Handbook (2013) 3-15

18 Chapter 3 Environmental Review Recipient may extend the comment period for any reason. Any written public comments received as result of these notices must be included in the Environmental Review Record. NOI-RROF Public Dissemination Methods The comment period for a NOI-RROF is seven (7) days if published and ten (10) days if posted. Assure that the dates shown on the NOI-RROF are accurate. There are three ways the NOI-RROF can be disseminated: publishing, posting and mailing. At a minimum the RE must publish or post the NOI-RROF and mail copies to interested persons. In addition to the minimum requirements it is also recommended that the RE made the ERR available in other formats such as posting on the RE s website etc. Publishing All newspaper notices must be published in a newspaper of general circulation in the affected community. This is usually the Recipient s Newspaper of Record. Documentation of publication is to be included in the ERR and must consist of an affidavit of publication and a copy of the notice. The required public review period for a published notice is seven (7) calendar days. Posting If the required notices are not published, they must be prominently displayed in public buildings (such as the local Post Office) and within the project area or in accordance with procedures established as part of the local citizen participation process. The required time for posted notices is ten (10) days. Copies of the notice, as well as the time, date and location of posting must be included in the ERR. Mailing Notices must be mailed to interested parties, but this does not substitute for publishing or posting. At a minimum, notices must be sent to: Individuals and groups known to be interested in the activities, (ODFW, US Fish and Wildlife Service, SHPO, etc; To the local news media; To the appropriate tribal, local, State and Federal agencies; and To the Regional Office of the Environmental Protection Agency and to the HUD Oregon Field Office: U.S. EPA, Region Sixth Avenue Seattle, WA US Dept. of Housing and Urban Development 400 SW Sixth Avenue Portland, OR (2011) Community Development Block Grant

19 Chapter 3 Environmental Review Public Comment Received by RE If any legitimate issues about the project are raised during this review period, the RE must respond to them and document this in the ERR. Comments may make it necessary to make modifications, if appropriate, in response to the objections. This must be done before the RE completes and submits the RROF to OBDD. Request for Release of Funds (RROF) A Request for Release of Funds and Certification (RROF) (Exhibit 3H) along with the complete ERR must be submitted to OBDD to certify completion of the NEPA environmental review. It must be approved through the issuance of a Release of Funds by the state before any funds, whether federal or local, are committed to the project. If comments were received during the local public comment period, the issues must be addressed and resolved prior to submitting the RROF to the state. In addition to the RROF, there are other documents that must be submitted to OBDD prior to a Release of Funds notice being issued. These include: 1. Determination of Categorical Exclusion (subject to 58.5) checklist signed by the RE s Certifying Officer 2. ALL source documents supporting the finding of Categorical Exclusion, 3. Documentation of publishing or posting and mailing 4. Evidence that any comments received were addressed and resolved Public Comment Received by OBDD Release of Funds (ROF) OBDD will accept objections to its Release of Funds only if they are based on one of the following: A. The certification was not executed by the Certifying Officer B. The Recipient omitted a necessary procedural step or failed to make a required decision or finding C. The Recipient committed funds or incurred costs before approval of a ROF D. Another Federal or State agency submitted a written finding that the project is unsatisfactory from the standpoint of environmental quality. When OBDD receives the RROF (accompanied by other required documentation listed above), they will review the submissions. If complete and accurate, a 15-day public review period begins the day after receipt of the RROF by the department. The same timing guidelines described in this chapter. Please also refer to Exhibit 3I. This review period is intended to permit public comment on the Recipient s certification, particularly in the areas of the review process and/or findings. When the comment period is complete, and if no issues were raised, and the environmental record is complete, OBDD will issue a Release of Funds notice. If there are any objections that are found to be legitimate, funds will not be released until the objection(s) are resolved. Once the RE has received the Release of Funds notice, they may begin implementation of the project and may incur expenses. Grant Management Handbook (2013) 3-17

20 Chapter 3 Environmental Review In cases in which the State has issued a Release of Funds but subsequently learns that the RE violated or otherwise failed to comply with the applicable environmental authority, the state is required to impose appropriate remedies and sanctions in accord with the law and regulations for the CDBG program, under which the violation was found, in accordance with 58.72(c). 4 th Level of Review: Environmental Assessment (EA) An Environmental Assessment (EA) must be prepared for projects with activities that are neither Exempt nor Categorically Excluded. The EA is the basis for a determination by the RE that the proposed project is or is not a major federal action which will significantly affect the quality of the human environment. This is called your level of clearance finding. If it is evident without preparing an EA that an Environmental Impact Statement (EIS) is required under 58.37, the Recipient should contact your Regional Coordinator at OBDD as soon as it is evident that an EIS is required for guidance. An EIS is the 5 th (fifth) level of environmental review. The EA includes both the Statutory Checklist and the Environmental Assessment Checklist attached at Exhibit 3J. The assessment also includes examining and recommending feasible ways to eliminate or minimize adverse environmental impacts and examining alternatives to the project itself, if appropriate. The EA will result in either a Finding of No Significant Impact (FONSI) or a Finding of Significant Impact. If the EA results in a Finding of Significant Impact, the RE must proceed with an EIS. Preparing the Environmental Assessment Guidelines for preparing the EA are found at According to these rules, in preparing an EA for a particular project, the RE must: 1. Determine existing conditions and describe the character, features and resources of the project area and its surroundings; identify the trends that are likely to continue in the absence of the project. 2. Identify all potential environmental impacts, whether beneficial or adverse, and the conditions that would change as a result of the project. 3. Identify, analyze and evaluate all impacts to determine the significance of their effects on the human environment and whether the project will require further compliance under related laws and authorities cited in 58.5 and Examine and recommend feasible ways in which the project or external factors relating to the project could be modified in order to eliminate or minimize adverse environmental impacts. 5. Examine alternatives to the project itself, if appropriate, including the alternative of no action. 6. Complete all environmental review requirements necessary for the project's compliance with applicable authorities cited in 58.5 and Based on these steps, make one of the following findings: (a) A Finding of No Significant Impact (FONSI), in which the Recipient determines that the project is not an action that will result in a significant 3-18 (2011) Community Development Block Grant

21 Chapter 3 Environmental Review impact on the quality of the human environment. The responsible entity may then proceed with publication of the FONSI. (b) A Finding of Significant Impact, in which the project is deemed to be an action which may significantly affect the quality of the human environment. The Recipient must then proceed with an Environment Impact Statement. Using Environmental Assessments Prepared by Other Agencies An Environmental Assessment prepared for your project by another agency (e.g., USDA Rural Development, Department of Environmental Quality, Oregon Health Division or the Environmental Protection Agency) may be adopted provided that: The RE documents that the other agency s review adequately addresses all areas of compliance; For compliance areas not covered by the other agency (e.g., noise and blast hazards), the RE modifies the review accordingly; The RE formally adopts the EA as meeting the CDBG requirements; The RE follows all public notice procedures as though no other agency is involved; and The RE remains responsible for the environmental determinations, follow-up and representation in court. A project may also include other HUD funds administered by another agency (e.g., the HOME program operated by the Oregon Housing and Community Services Department). In these cases, contact the regional coordinator prior to conducting the environmental review to avoid duplication of effort. Summary of Actions for Environmental Assessments (EA) Step 1 General Information Letter - Mail a general letter to interested parties (HUD, ODFW, DHS, etc) about the ER and the funded project. Include a project description, map of the project location etc. This is a very general letter and requests any information within 10 days of their receipt of the letter. Certified mail return receipt works best to document this. The same letter must be mailed to everyone. The mailing list and copies of all the letters must be included in the ERR. Step 2 Complete 8-step Process - Complete the 8-step environmental review process for project area that includes a floodplain or wetland, while completing the statutory checklist, if required. Refer to Exhibit 3L for additional information. Step 3 SHPO/THPO Consultation - The RE must complete the SHPO/THPO letters and allow them 30 days, to respond. Prepare the THPO letters in accordance with the HUD template included as Exhibit 3Q. All correspondence with SHPO/THPO must be included in the ERR and only the RE s certifying officer can initiate communications and negotiate with THPO. The THPO letters must be on the RE s letterhead and be signed by the RE s certifying officer. Here are a few items which require Grant Management Handbook (2013) 3-19

22 Chapter 3 Environmental Review particular attention: If there will be an adverse effect the RE must notify the Advisory Council on Historic Preservation and give them an opportunity to enter into consultation. The RE is responsible for ensuring that the mitigation measures required by the Memorandum of Agreement (MOA) are satisfactorily carried out. The MOA, if required, must be executed PRIOR to the decision point for the project and prior to the dissemination of the NOI-RROF. A representative of the grant recipient (retained consultant) can initiate communications and negotiate with SHPO if the consultant clearly states in writing that they are initiating consultation on behalf of the responsible entity (RE) (the grant recipient). The THPO/SHPO negotiations must be complete before the statutory checklist can be considered complete, signed by the RE s certifying officer and made available for public comment. Step 4 Statutory Checklist - Complete the statutory checklist Exhibit 3J, referring to the specialized environmental review topic area information of this GMH for assistance. The responses received from the above 3 steps must be incorporated into the ER and any necessary mitigation actions must also be included in the ER. Provide the project name, description and location from the application and a map showing the location of the project that are detailed enough to enable readers to easily locate the project Provide a statement of process and status of environmental analysis. This is a brief description of who has been involved in the preparation of the EA including RE staff, consultants, other agencies and the public. Where applicable, this section would also include a written decision on the use of prior environmental reviews. List of participants in the assessment - List of major participants, their titles and roles. Provide a description of the site and environmental context, by providing a summary of existing environmental conditions according to seven primary impact areas: land development; noise; air quality; environmental design and historic values; socioeconomic characteristics; community facilities and services; and natural features. Local comprehensive land use plans are often the source for most of this information. The complete checklist will include a project description, map showing the location, statement of who has been involved in the ER process 3-20 (2011) Community Development Block Grant

23 Chapter 3 Environmental Review (recipient staff, consultants, other agencies etc.), a summary of the existing environmental conditions and any mitigation actions that must be undertaken, the environmental statutory checklist, documentation supporting each conclusion on the statutory checklist, a brief analysis of alternatives that were considered (no action versus the selected alternative), any research documents supporting the conclusions on the statutory checklist, copies of all communication s s, phone logs/notes, letters, etc. pertaining to the ER, any official letters, community requests for information, environmental objections/comments, record of site visits and meetings including a list of attendees, a complete list of the participants in the ER, the completed Combined Notice, evidence of publishing/posting. For every item listed on the checklist, note the source documentation that supports the finding for that item and attach any reference material to the environmental review checklist. Provide a brief discussion and comparison of alternatives considered in addition to the proposed project activities. List the analysis of impacts and mitigation actions - If the Environmental Assessment Checklist identifies areas of impact needing further study, the results of that additional work/study are summarized here. An overall review of effects should accompany the discussion by specific impact categories. Attach any supporting documentation to the checklist. Describe monitoring and enforcement procedures - Description or documentation of monitoring and enforcement procedures and related post environmental review actions. Provide Copies of Other Analyses, Data and Relevant Information - Relevant information and data from other environmental analyses and/or reports used in the environmental review. Provide Other Relevant Correspondence and Notification - Official notification letters providing environmental data, community requests for information and copies of environmental objection/comments that are received. Record of Site Visits and Important Meetings - Including list of attendees and meeting minutes. Note: If after careful consideration of the responses on the Environmental Assessment Statutory Checklist and other components of the EA, the RE finds that the project will have a potentially significant impact on the human environment that cannot be avoided or mitigated, the RE must make a formal Finding of Significant Impact. It will then be necessary to proceed with the Environmental Impact Study (EIS) 5 th level of review or the project must be rejected. Step 5 Findings/Signature of RE s Certifying Officer - The RE s certifying officer needs to review the ERR and sign the document and make a Finding of No Significant Impact (FONSI). Grant Management Handbook (2013) 3-21

24 Chapter 3 Environmental Review Step 6 ERR Public Dissemination Combined Notice - The ERR can now be made public by means of a published or posted Combined Notice of Finding of No Significant Impact (FONSI) and Notice of Intent to Request for Release of Funds (NOI-RROF). A copy of the combined notice is included as Exhibit 3K. The combined notice cannot be published until the ERR has been signed by the RE s certifying officer. In accordance with Exhibit 3I, if the combined notice is published the public has fifteen (15) days (not counting the date of publication) or if the notice is posted the public has eighteen (18) days (not counting the date of posting) to provide comment back to the RE regarding the technical integrity of the ER record. Any comments received must be incorporated into the ER document along with any responses by the RE and any mitigating actions. Step 7 Incorporate Public Comment into ERR and prepare RROF - The RE must address and resolve any comments received before preparing a Request for Release of Funds (Exhibit 3H). Once the public comments are properly incorporated into the ERR, the RE can prepare the RROF and mail the RROF and the completed ERR to OBDD-IFA. The submission must include either the affidavit of publication and copy of what was published or a certification of posting which includes: identification of the locations the notice was posted, the dates it was posted, who posted it, and a copy of what was posted, which must be signed and dated by an official of the grant recipient. A complete ERR contains all documents referenced in Step 4 above. Step 8 OBDD receipt of complete ERR and RROF - Once OBDD-IFA receives the complete ERR and the completed RROF the public has 15 days (not including the date it was received by OBDD-IFA) to submit comments to the state about the procedures used by the RE in completing the ER record. A complete ERR contains all documents referenced in Step 4 above. Step 9 ROF Issuance - If OBDD-IFA receives public comment, it must be addressed. Based upon the public comment received, OBDD-IFA will issue a ROF, if applicable. Combined Notice FONSI and NOI-RROF When the EA is complete and results in a FONSI, the RE is required to disseminate the FONSI for a public comment period. This is commonly done using the Combined Notice of Finding of No Significant Impact and Notice of Intent to Request Release of Funds (generally called the Combined Notice) and is attached as Exhibit 3K. This Combined Notice must clearly indicate that it is intended to meet two separate procedural requirements and must advise the public to specify in their comments, which notice their comments address. Overall, the public must have at least 30 calendar days to comment on these finding 3-22 (2011) Community Development Block Grant

25 Chapter 3 Environmental Review consisting of fifteen (15) days if published to eighteen (18) days if posted for local review and fifteen (15) days for state review. After the first 15to 18 day comment period, if no issues are raised, the RE may submit the Request for Release of Funds (RROF) to OBDD. The length of the public comment period must be calculated from 12:01 a.m. on the first day through 11:59 p.m. on the last day. Exhibit 3I contains a table of the required posting and publishing requirements. Any written public comments received as result of these notices, along with evidence that the comments were reviewed and addressed, must be included in the Environmental Review Record Public Notice Timing Combined Notice Public Dissemination Methods There are very strict timelines for publication of environmental notices and it is vital that they are followed precisely. Exhibit 3I contains a table of the required posting and publishing requirements, as well as a chart for the RE to do their own calculations. The length of the public comment period must be calculated from 12:01 AM on the first day after publication or posting through 11:59 PM on the last day. If the last day of the comment period falls on a Saturday, Sunday or holiday, comments should be accepted through the following business day. If desired, the RE may extend the comment period for any reason. Any written public comments received as result of these notices must be included in the Environmental Review Record. The first local comment period for a Combined Notice is fifteen (15) days if published and eighteen (18) days if posted. Assure that the dates shown on the Combined Notice are accurate. There are three ways the Combined Notice can be disseminated: publishing, posting and mailing. At a minimum the RE must publish or post the Combined Notice and mail copies to interested persons. In addition to the minimum requirements it is also recommended that the RE made the ERR available in other formats such as posting on the RE s website etc. Publishing All newspaper notices must be published in a newspaper of general circulation in the affected community. This is usually the Recipient s Newspaper of Record. Documentation of publication is to be included in the ERR and must consist of an affidavit of publication and a copy of the notice. The required public review period for a published notice is fifteen (15) calendar days, not counting the original date of publication. Posting If the required notices are not published, they must be prominently displayed in public buildings (such as the local Post Office) and within the project area or in accordance with procedures established as part of the local citizen participation process. The required time for posted notices is eighteen (18) days, not counting the original date of posting. Copies of the notice, as well as the time, date and location of posting must be included in the ERR. Mailing Notices must be mailed to interested parties, but this does not substitute for publishing or posting. At a minimum, notices must be sent to: Grant Management Handbook (2013) 3-23

26 Chapter 3 Environmental Review Individuals and groups known to be interested in the activities, (ODFW, US Fish and Wildlife Service, SHPO, etc; To the local news media; To the appropriate tribal, local, State and Federal agencies; and To the Regional Office of the Environmental Protection Agency and to the HUD Oregon Field Office: U.S. EPA, Region Sixth Avenue Seattle, WA US Dept. of Housing and Urban Development 400 SW Sixth Avenue Portland, OR Public Comment Received by RE Request for Release of Funds (RROF) If any legitimate issues about the project are raised during this review period, the RE must respond to them and document this in the ERR. Comments may make it necessary to make modifications, if appropriate, in response to the objections. This must be done before the RE completes and submits the RROF to OBDD. A Request for Release of Funds and Certification (RROF) (Exhibit 3H) is submitted to OBDD to certify completion of the environmental review. It must be approved by the state through issuance of a Release of Funds before any funds, whether federal or local, are committed to the project. If comments were received during the local public comment period, the issues must be addressed and resolved prior to submitting the RROF to the state. Once the RROF and a complete ERR and any other required information is received by OBDD, the state has a 15-day public comment period at the completion of which, if no public comments are received, the state can issue a Release of Funds Notice to the Recipient. In addition to the RROF, there are other documents that must be submitted to OBDD prior to a Release of Funds notice being issued. These include: 1. Statutory Checklist signed by the RE s Certifying Officer 2. Environmental Assessment Checklist signed by the RE s Certifying Officer 3. Environmental Assessment with all supporting documentation 4. Documentation of publishing, posting and/or mailing 5. Evidence that any comments received were addressed and resolved. If no comments were received, include a statement to that effect 6. If the Certifying Officer is other than the chief elected official, documentation designating someone other then the chief elected official to sign the documents Public Comment OBDD will accept objections to its Release of Funds only if they are based on one 3-24 (2011) Community Development Block Grant

27 Received by OBDD of the following: Chapter 3 Environmental Review E. The certification was not executed by the Certifying Officer F. The Recipient omitted a necessary procedural step or failed to make a required decision or finding G. The Recipient committed funds or incurred costs before approval of a ROF H. Another Federal or State agency submitted a written finding that the project is unsatisfactory from the standpoint of environmental quality Release of Funds (ROF) When OBDD receives the RROF (accompanied by other required documentation listed above), they will review the submissions. If complete and accurate, a 15-day public review period begins the day after receipt of the RROF by the department. The same timing guidelines described in this chapter. Please also refer to Exhibit 3I. This review period is intended to permit public comment on the Recipient s certification, particularly in the areas of the review process and/or findings. When the comment period is complete, and if no issues were raised, and the environmental record is complete, OBDD will issue a Release of Funds notice. If there are any objections that are found to be legitimate, funds will not be released until the objection(s) are resolved. Once the RE has received the Release of Funds notice, they may begin implementation of the project and may incur expenses. In cases in which the State has issued a Release of Funds but subsequently learns that the RE violated or otherwise failed to comply with the applicable environmental authority, the state is required to impose appropriate remedies and sanctions in accord with the law and regulations for the CDBG program, under which the violation was found, in accordance with 58.72(c). 5 th Level of Review: Environmental Impact Statement (EIS) If your project requires an Environmental Impact Statement, contact the Department s Regional Coordinator for assistance, due to the complexities associated with an environmental impact statement. SINGLE-FAMILY OWNER OCCUPIED HOUSING REHABILITATIO N TIERED REVIEW PROCESS DESCRIPTION The housing rehabilitation category has a 3-Tiered Environmental Review process, which is described below: Tier 1 - Finding of Exemption; Tier 2 Categorical Exclusion; and, Tier 3 Site Specifics. Tier 1 Finding of Refer to the section entitled 1 st Level of Review Exempt Activities Grant Management Handbook (2013) 3-25

28 Chapter 3 Environmental Review Exemption Process presented earlier within for a description of the process to clear exempt activities associated with HR grants such as: grant administration, program management, sub-granting funds, environmental review preparation, legal services, audit and, etc. Tier 2 HR Categorically Excluded Subject to 58.5 Process The Housing Rehabilitation projects funded by the program result in improvements to owner occupied single-family homes that are not substantial (Substantial - Rehabilitation of single family units exceeds 50% of the market value of the structure before rehabilitation). The activities in these projects are almost always Exempt or Categorically Excluded, subject to Section Generally, the environmental review for a Housing Rehabilitation project will include these steps: Step1 General Information Letter - Mail a general letter to interested parties (HUD, ODFW, DHS, etc) about the ER and the funded project. Include a project description, map of the project location etc. This is a very general letter and requests any information within 10 days of their receipt of the letter. Certified mail return receipt works best to document this. The same letter must be mailed to everyone. The mailing list and copies of all the letters must be included in the ERR. Step 2 Complete 8-step Process - Complete the 8-step environmental review process for project area that includes a floodplain or wetland, while completing the statutory checklist, if required. Refer to Exhibit s 3L and 3O for additional information. Step 3 SHPO/THPO Consultation - The RE must complete the SHPO/THPO letters and allow them 30 days, to respond. Prepare the THPO letters in accordance with the HUD template included as Exhibit 3Q. All correspondence with SHPO/THPO must be included in the ERR and only the RE s certifying officer can initiate communications and negotiate with THPO. The THPO letters must be on the RE s letterhead and signed by the RE s certifying officer. Here are a few items which require particular attention: If there will be an adverse effect the RE must notify the Advisory Council on Historic Preservation and give them an opportunity to enter into consultation. The RE is responsible for ensuring that the mitigation measures required by the Memorandum of Agreement (MOA) are satisfactorily carried out. The MOA, if required, must be executed PRIOR to the decision point for the project and prior to the dissemination of the NOI-RROF (2011) Community Development Block Grant

29 Chapter 3 Environmental Review A representative of the grant recipient (retained consultant) can initiate communications and negotiate with SHPO if the consultant clearly states in writing that they are initiating consultation on behalf of the responsible entity (RE) (the grant recipient). The THPO/SHPO negotiations must be complete before the statutory checklist can be considered complete, signed by the RE s certifying officer and made available for public comment. Step 4 Statutory Checklist - Complete the statutory checklist Exhibit 3M, referring to the specialized environmental review topic area information of this GMH for assistance. The responses received from the above 3 steps must be incorporated into the ER and any necessary mitigation actions must also be included in the ER. Provide the project name, description and location from the application and a map showing the location of the project that are detailed enough to enable readers to easily locate the project The complete checklist will include a project description, map showing the location, statement of who has been involved in the ER process (recipient staff, consultants, other agencies etc.), a summary of the existing environmental conditions and any mitigation actions that must be undertaken, the environmental statutory checklist, documentation supporting each conclusion on the statutory checklist, a brief analysis of alternatives that were considered (no action versus the selected alternative), any research documents supporting the conclusions on the statutory checklist, copies of all communication s s, phone logs/notes, letters, etc. pertaining to the ER, any official letters, community requests for information, environmental objections/comments, record of site visits and meetings including a list of attendees, a complete list of the participants in the ER, the completed NOI-RROF, evidence of publishing/posting. Step 5 Converting to an Exemption - If the completed checklist shows that the answer to each question is A the entire HR project is categorically excluded and can be converted to exempt. In this rare event, OBDD-IFA must issue written confirmation that the project can be converted to exempt. In order to obtain OBDD-IFA review, everything must be provided to OBDD-IFA for review. If the Statutory Checklist shows that compliance with each area is achieved without adverse effects on the protected resource, the project converts to Exempt under (a)(12). This usually means that you answered A in all areas showing the project is In Compliance with all regulations or that B was required. In such Grant Management Handbook (2013) 3-27

30 Chapter 3 Environmental Review cases, the project may still be converted to an Exemption if the consultation does not result in required actions. For example, consultation with the State Historic Preservation Office (SHPO) is required if houses more than 50 years old will be rehabilitated. When the result of the consultation is a SHPO statement that no historically significant structures will be affected, the project (overall rehabilitation program) is Categorically Excluded from further review. If the project may be converted to Exempt, the only necessary action is to complete the Determination of Categorical Exclusion (subject to 58.5) Checklist and mark the appropriate box indicating that the activity/project can convert to exempt, have the RE s certifying officer sign and date the form and send a copy to OBDD, and place it in the Environmental Review Record along with the Statutory Checklist and any other relevant documentation. When this has been done, OBDD will notify the Recipient that they may begin the contracting process and that they are eligible to incur project costs. If there is a HR project that is categorically excluded and converts to exempt, it is only exempt as long as none of the site specific reviews result in a Finding that an historic property or other statutory requirement will be affected. If one of the site specific reviews reveals that a property proposed to be assisted under the CDBG funded project will result in a Finding that it will affect a historic property or other statutory requirement, the ER for the HR program as a whole must be resigned by the certifying officer showing that it cannot be converted to exempt, the NOI-RROF public notification process must be completed and the ROF must be issued by the state, before the loan for that housing unit can be approved, or before the loan can be closed as long as the loan closing is conditioned upon properly satisfying the ERR requirements. Step 6 Project that cannot convert to exempt - If the HR project cannot be converted to exempt, there is at least one item on the statutory checklist is a B, and is still categorically excluded. The RE s certifying officer needs to review the ERR and sign the document. Step 7 ERR Public Dissemination - The ERR can now be made public. The NOI-RROF can be prepared and published (Exhibit 3N). The NOI-RROF cannot be published until the ERR has been signed by the RE s certifying officer. In accordance with Exhibit 3I, if the NOI-RROF is published the public has 7 days (not including the date of publication) to provide comment back to the RE regarding the technical integrity of the ER record. Any comments received must be incorporated into the ER document along with any responses by the RE and any mitigating actions. If the notice is posted the first public comment period is 10 days (not including the date of posting). Step 8 Incorporate Public Comment into ERR and prepare RROF - The RE must address and resolve any comments received before preparing a Request for Release of Funds (Exhibit 3H). Once the public comments are properly 3-28 (2011) Community Development Block Grant

31 Chapter 3 Environmental Review incorporated into the ERR, the RE can prepare the RROF and mail the RROF and the completed ERR to OBDD-IFA. The submission must include either the affidavit of publication and copy of what was published or a certification of posting which includes: identification of the locations the notice was posted, the dates it was posted, who posted it, and a copy of what was posted, which must be signed and dated by an official of the grant recipient. A complete ERR contains all documents referenced in Step 4 above. Step 9 OBDD receipt of complete ERR and RROF - Once OBDD-IFA receives the complete ERR and the completed RROF the public has 15 days (not including the date it was received by OBDD-IFA) to submit comments to the state about the procedures used by the RE in completing the ER record. A complete ERR contains all documents referenced in Step 4 above. Step 10 ROF Issuance - If OBDD-IFA receives public comment, it must be addressed. Based upon the public comment received, OBDD-IFA will issue a ROF, if applicable. At this time the HR program as a whole has cleared the 2 nd Tier of the ER process. NOI-RROF Public Notice For a Categorically Excluded project that cannot convert to Exempt, the RE must disseminate a Notice of Intent to Request the Release of Funds (NOI-RROF). A sample is attached as Exhibit 3N. The RE may add language to the Notice but must not delete any of the boilerplate language. The NOI-RROF informs the public that the RE intends to draw down funds for their CDBG project. It invites interested parties to comment on the content of the Environmental Review Record. This is not meant as an opportunity to comment on the validity of the project. Public Notice Timing NOI-RROF Public Dissemination Methods There are very strict timelines for publication of environmental notices and it is vital that they are followed precisely. Exhibit 3I contains a table of the required posting and publishing requirements, as well as a chart for the RE to do their own calculations. The length of the public comment period must be calculated from 12:01 AM on the first day after publication or posting through 11:59 PM on the last day. If the last day of the comment period falls on a Saturday, Sunday or holiday, comments should be accepted through the following business day. If desired, the Recipient may extend the comment period for any reason. Any written public comments received as result of these notices must be included in the Environmental Review Record. The comment period for a NOI-RROF is seven (7) days if published and ten (10) days if posted. Assure that the dates shown on the NOI-RROF are accurate. There Grant Management Handbook (2013) 3-29

32 Chapter 3 Environmental Review are three ways the NOI-RROF can be disseminated: publishing, posting and mailing. At a minimum the RE must publish or post the NOI-RROF and mail copies to interested persons. In addition to the minimum requirements it is also recommended that the RE made the ERR available in other formats such as posting on the RE s website etc. Publishing All newspaper notices must be published in a newspaper of general circulation in the affected community. This is usually the Recipient s Newspaper of Record. Documentation of publication is to be included in the ERR and must consist of an affidavit of publication and a copy of the notice. The required public review period for a published notice is seven (7) calendar days. Posting If the required notices are not published, they must be prominently displayed in public buildings (such as the local Post Office) and within the project area or in accordance with procedures established as part of the local citizen participation process. The required time for posted notices is ten (10) days. Copies of the notice, as well as the time, date and location of posting must be included in the ERR. Mailing Notices must be mailed to interested parties, but this does not substitute for publishing or posting. At a minimum, notices must be sent to: Individuals and groups known to be interested in the activities, (ODFW, US Fish and Wildlife Service, SHPO, etc; To the local news media; To the appropriate tribal, local, State and Federal agencies; and To the Regional Office of the Environmental Protection Agency and to the HUD Oregon Field Office: U.S. EPA, Region Sixth Avenue Seattle, WA US Dept. of Housing and Urban Development 400 SW Sixth Avenue Portland, OR Public Comment Received by RE Request for Release of Funds (RROF) If any legitimate issues about the project are raised during this review period, the RE must respond to them and document this in the ERR. Comments may make it necessary to make modifications, if appropriate, in response to the objections. This must be done before the RE completes and submits the RROF to OBDD. A Request for Release of Funds and Certification (RROF) (Exhibit 3H) along with the complete ERR must be submitted to OBDD to certify completion of the NEPA environmental review. It must be approved through the issuance of a Release 3-30 (2011) Community Development Block Grant

33 Chapter 3 Environmental Review of Funds by the state before any funds, whether federal or local, are committed to the project. If comments were received during the local public comment period, the issues must be addressed and resolved prior to submitting the RROF to the state. In addition to the RROF, there are other documents that must be submitted to OBDD prior to a Release of Funds notice being issued. These include: 5. Determination of Categorical Exclusion (subject to 58.5) checklist signed by the RE s Certifying Officer 6. ALL source documents supporting the finding of Categorical Exclusion, 7. Documentation of publishing or posting and mailing 8. Evidence that any comments received were addressed and resolved Public Comment Received by OBDD Release of Funds (ROF) OBDD will accept objections to its Release of Funds only if they are based on one of the following: I. The certification was not executed by the Certifying Officer J. The Recipient omitted a necessary procedural step or failed to make a required decision or finding K. The Recipient committed funds or incurred costs before approval of a ROF L. Another Federal or State agency submitted a written finding that the project is unsatisfactory from the standpoint of environmental quality. When OBDD receives the RROF (accompanied by other required documentation listed above), they will review the submissions. If complete and accurate, a 15-day public review period begins the day after receipt of the RROF by the department. The same timing guidelines described in this chapter. Please also refer to Exhibit 3I. This review period is intended to permit public comment on the Recipient s certification, particularly in the areas of the review process and/or findings. When the comment period is complete, and if no issues were raised, and the environmental record is complete, OBDD will issue a Release of Funds notice. If there are any objections that are found to be legitimate, funds will not be released until the objection(s) are resolved. Once the RE has received the Release of Funds notice, they may begin implementation of the project and may incur expenses. In cases in which the State has issued a Release of Funds but subsequently learns that the RE violated or otherwise failed to comply with the applicable environmental authority, the state is required to impose appropriate remedies and sanctions in accord with the law and regulations for the CDBG program, under which the violation was found, in accordance with 58.72(c). Tier 3 - HR Site Specific Review Site specific reviews must be completed for each housing unit to be assisted Grant Management Handbook (2013) 3-31

34 Chapter 3 Environmental Review Process under the funded project. The Tier 3 site specific reviews must address everything found on the site specific review form, Exhibit 3M. At a minimum, there must be documentation supporting the conclusion for each item on the statutory checklist. The site specific review must be signed by the RE s certifying officer before the loan is approved for that specific housing unit, or before the loan can be closed, as the loan closing is conditioned upon properly satisfying the ERR requirements. Compliance Monitoring Potential Problems Each CDBG Recipient will be monitored to determine if all environmental review requirements were followed. The monitoring will involve a review of the ERR to determine if timing and procedural requirements were correct and if the review process was thorough and adequate. There will also be an on-site monitoring. Some of the most likely deficiencies to be found during project monitoring are: Incurring costs or commencing action before a ROF is issued when this occurs the state will generally be federally prohibited from disbursing HUD CDBG funds for this project. Inadequate project description or not including project activities funded by non- CDBG sources Environmental Assessment activities classified as Categorically Excluded activities Inadequate consultation or source data to document compliance with applicable laws and authorities Failure to complete the 8-step Floodplain/Wetlands review process prior to Finding of No Significant Impact FONSI and/or NOI/RROF notices published prior to consultation with appropriate environmental authorities FONSI and/or NOI/RROF notices not sent to federal and state agencies and other interested parties Public notices did not contain all required information or the comment periods were inadequate Not responding to comments received from environmental authorities Not responding to comments received during the public notice period SPECIALIZED ENVIRONMENTAL REVIEW TOPIC AREA INFORMATION Specialized Topic Area Checklists An excellent source of information specific to Oregon, including specialized checklists, by topic, can be located at: Finding Due to the complexities of many of these compliance areas, this Grant Management 3-32 (2011) Community Development Block Grant

35 Chapter 3 Environmental Review Information Historic Properties/ Cultural Resources Handbook does not attempt to explain all of them in depth. If a project appears to have issues with any of these standards, the RE should take advantage of the many resources available. HUD environmental review requirements for each of these areas may be found at Sponsors of federally funded projects are required to take into account the effects of their undertakings on historic properties and must comply with the National Historic Preservation Act (NHPA), particularly Section 106. The Section 106 compliance process is found in 36 CFR Part 800: Protection of Historic Properties ( The review must be documented in the Statutory Checklist and/or the Environmental Assessment Checklist and must be included in the ERR. In cooperation with the federal Advisory Council on Historic Preservation (ACHP), the Oregon State Historic Preservation Office (SHPO) works with RE s to assist them in complying with NHPA Section 106. Legislation permits the SHPO Section 106 Review and Compliance program to review federally funded projects, both archaeological and aboveground, for their impacts upon cultural resources. On SHPO s website, there are numerous links to publications, forms, contacts and other helpful information. Go to ( More detailed information is available from: Oregon Parks and Recreation Department State Historic Preservation Office 725 Summer St, NE Salem, OR (503) Contacting Tribal Governments RE s must make a reasonable, good faith effort to identify tribal governments that might attach religious and cultural significance to the project site or area of potential effect and to invite them to identify concerns about the proposed project. This requirement can be addressed by informing potentially interested tribes of the right to comment based on Section 106. A directory of cultural resource contacts for the federally-recognized tribes in Oregon can be found at or In addition, the following websites for Oregon tribes are also information sources: Burns Paiute Tribe: Confederated Tribes of Coos, Lower Umpqua & Siuslaw: Grant Management Handbook (2013) 3-33

36 Chapter 3 Environmental Review Coquille Indian Tribe: Cow Creek Band of Umpqua Indians: Confederated Tribes of Grand Ronde: Klamath Tribes: Confederated Tribes of Siletz: Confederated Tribes of Umatilla Reservation: Confederated Tribes of Warm Springs: SHPO/THPO Consultation Refer to Exhibit 3P for a copy of the recent CPD Notice Process for Tribal Consultation in Projects That Are Reviewed under 24 CFR Part 58 and HP Fact Sheet #6, When To Do Archeological Field Investigations A RE, normally contracts with a grant administrator to assist them in the preparation of the ERR record. This consulting grant administrator normally initiates consultation with the federal/state agencies on behalf of the (responsible entity) grant recipient. However, in order to achieve compliance with the Section 106 requirements: The RE must prepare the THPO letters in accordance with the HUD template included as Exhibit 3Q. The THPO letters must be on the RE s letterhead and signed by the RE s certifying officer. The letters must allow 30-days for the Tribe to respond. When an RE determined whether or not historic properties could be affected by the proposed project, the regulations at 36 CFR 800.4(d) require that SHPO and the THPO/Tribe have 30 days to concur or disagree with the finding before the Combined Notice or NOI-RROF is published in order to meet the Section 106 requirements. It is recommended that the RE ensures that the initial letters mailed by the RE or the grant administrator on behalf of the RE to SHPO or the RE to the THPO/Tribe clearly state their initial determination of: no historic properties present, no effect, no adverse affect or adverse affect to start this 30 day concurrence required by Section 106. If the SHPO/THPO/Tribe does not respond to a well documented letter the RE can proceed. If SHPO/THPO/Tribe responds and does not concur with the RE s initial determination, further consultation/negotiation/historical assessments/archeological investigations etc. may be required. Only the RE s certifying officer can initiate communications and negotiate with THPO. So if the Tribe responds within the 30-day comment period and desires 3-34 (2011) Community Development Block Grant

37 Chapter 3 Environmental Review to enter into negotiations, only the RE s certifying officer can negotiate with the Tribe. Negotiations can take an undetermined amount of time to complete. Here are a few items which require particular attention: If there will be an adverse effect the RE must notify the Advisory Council on Historic Preservation (ACHP) and give them an opportunity to enter into consultation. The RE is responsible for ensuring that the mitigation measures required by the Memorandum of Agreement (MOA) are satisfactorily carried out. The MOA, if required, must be executed PRIOR to the decision point for the project and prior to the dissemination of the NOI-RROF or the Combined Notice. A representative of the grant recipient (retained consultant) can initiate communications and negotiate with SHPO on behalf of the RE if the consultant clearly states in writing that they are initiating consultation on behalf of the responsible entity (RE) (the grant recipient). The THPO/SHPO negotiations must be complete before the statutory checklist can be considered complete, signed by the RE s certifying officer and made available for public comment. All correspondence with SHPO/THPO must be included in the ERR SHPO/THPO Consultation Results HUD s guidance for Historic Preservation has been in effect since In general, when you consult with the SHPO/THPO there are four possible results in accordance with 36 CFR Part 800. They are: 1. There are No Historic Properties present (Not eligible); 2. There are historic properties present but the undertaking will have No Effect upon them; 3. There are historic properties present that may be affected by the undertaking and the undertaking will have No Adverse Effect on those properties; or 4. There are historic properties present and the undertaking will have an Adverse Effect on those properties. RE s can determine that there are no historic properties affected and place an A in your statutory worksheet when a not eligible or no historic properties present (#1) and/or no effect (#2) consensus is reached with the SHPO/THPO (and ACHP, if it chooses to participate), or when a not eligible ruling is made by the Keeper of the National Register. However, if the SHPO writes that your undertaking will have No Adverse Effect on a historic property, you must put a B in your statutory worksheet Grant Management Handbook (2013) 3-35

38 Chapter 3 Environmental Review and your project cannot convert to exempt. This is, of course, also true if your project will have an Adverse Effect. For further guidance regarding SHPO/THPO consultation can be found at: Historic Preservation and Categorical Exclusions When completing a Categorically Excluded, subject to the laws and authorities level of review (24 CFR 58.35(a)), Responsible Entities complete the Statutory Worksheet and make a determination for each law and authority, ultimately deciding whether to put an A or a B in the middle column. Status A applies when compliance with the authority is achieved without adverse effects on the protected resource, without necessary mitigation or attenuation AND when no formal consultation, permit or agreement is required to establish compliance. Status B applies when project compliance with the authority requires formal consultation, a permit or agreement, OR when the proposal may have an adverse effect on the protected resources. If the statutory worksheet has only A s in the middle column, the project can convert to exempt. If there is a single B in the middle column, the project cannot convert to exempt and the Responsible Entity (RE) must proceed with the Request Release of Funds process. HUD Region X s guidance on how to make the A and B determinations for specific laws and authorities can be found at: Projects on Tribal Lands NOTE: State non-entitlement CDBG funds cannot be used for projects on tribal lands but the overall project could include work on non-tribal lands (CDBG funded) and tribal lands (non-cdbg funds). In 1992, the NHPA was amended to allow federally recognized Indian tribes to take on more formal responsibility for the preservation of significant historic properties on tribal lands. In cases such as this, the Tribal Historic Preservation Officer (THPO) should be consulted. There are currently two designated THPOs in Oregon: Confederated Tribes of the Umatilla Indian Reservation ( and Confederated Tribes of Warm Springs ( For other information about projects on tribal land, please consult or call SHPO. Floodplain Management All non-exempt project activities must be reviewed for compliance with Executive Order (Floodplain Management) found at Guidance for compliance is contained in 24 CFR Part 55 ( (2011) Community Development Block Grant

39 Chapter 3 Environmental Review The purpose is to avoid the adverse impacts associated with the occupancy and modification of floodplains and to avoid floodplain development wherever there is a practicable alternative. No CDBG projects may be constructed within a floodway. This is the area of a floodplain where flood hazard is greatest (i.e., highest water depth and velocity). Options in a Floodplain 500-Year Floodplain Eight Step Process To find out if the project site is located within a 100- or 500-year floodplain, access Federal Emergency Management Agency (FEMA) maps at In addition the local city or county should have FEMA maps available. If a project is located in a floodplain, there are three options: Reject the project site Apply to FEMA for a Letter of Map Amendment (LOMA) or a Letter of Map Revision - based on Fill (LOMR F), if appropriate (Information on this process is found at Begin the 8-Step Decision Making Process This must be part of the completed environmental review record. Recipients with projects located in floodplain should contact their regional coordinator before proceeding with the review. FEMA designates both 100-year and 500-year floodplains. Generally, projects will be allowed in a 500-year floodplain unless the activity is a critical action as described in Critical Action means any activity for which even a slight chance of flooding would be too great, because such flooding might result in loss of life, injury to persons or damage to property. This includes facilities that will (a) produce or store highly volatile, explosive, or toxic materials, (b) contain essential or irreplaceable records or emergency services, or (c) house immobile occupants such as a hospital or nursing home. The procedures for making determinations on floodplain management may be found in and is included as Exhibit 3L. The decision making process for compliance with this part contains eight steps, including public notices and an examination of practicable alternatives. For any project located in a floodplain, the regional coordinator should be consulted. Briefly, the steps to be followed in the decision making process are: Step 1 Determine whether the proposed action is located in a 100-year floodplain or a 500-year flood plain if the activity is a critical action. Step 2 Publish notice of a proposal to consider an action in a floodplain. A minimum of 15 calendar days must be allowed for comment on the public notice. Step 3 Identify and evaluate practicable alternatives Grant Management Handbook (2013) 3-37

40 Chapter 3 Environmental Review Step 4 Identify the potential direct and indirect impacts associated with the occupancy or modification of the floodplain Step 5 Design or modify the action to minimize adverse impacts and preserve the beneficial values of the floodplain Step 6 Reevaluate the proposed action to determine whether it is still practicable Step 7 Publish notice of decision to identify the reasons there is no practicable alternative, and the mitigation measures to be taken. This has a minimum 7 day public comment period Step 8 Implement the proposed action with mitigating measures Flood Insurance Flood insurance is recommended for property in the floodplain. The insurance should be maintained for the life of a loan made from Oregon Community Development Block Grant funds or for the useful life of the project if a grant is made. More information on this insurance program is available at Wetlands Protection Wetlands 8-Step Process and Section 404 Permits All non-exempt project activities must be reviewed for compliance with Executive Order (Wetland Protection) and Section 404 of the Clean Water Act (CWA). Section 404 of the CWA is implemented though the U.S. Army Corps of Engineers permits. EO ( discourages federally assisted construction in wetlands whenever there is a practicable alternative. Section 404 addresses the permitting for filling wetlands. In Oregon, the state also regulates wetlands and waterways through the Removal- Fill Law, as administered by the Department of State Lands (DSL). Information on DSL Removal Fill permits is found at All other project inquiries should be directed to the Corps. If the project is located in a federally designated wetland, the above 8-Step process must be used. Contact your regional coordinator if there are wetlands issues with a project. Executive Order 11990, Protection of Wetlands and Section 404 Permits: Compliance with Section 404 of the Clean Water Act does NOT constitute compliance with the policy and procedures of Executive Order 11990, Protection of Wetlands, under HUD environmental regulations. HUD environmental regulations at 24 CFR 58.5(b) (3) require compliance with the Executive Order because it imposes a legal obligation when providing federally undertaken, financed, or assisted construction and improvements within or affecting wetlands. Section 10 of the Executive Order extends these legal obligations to agencies assuming HUD environmental responsibilities in accordance with 24 CFR Part (2011) Community Development Block Grant

41 Chapter 3 Environmental Review Executive Order 11990: - Prescribes the national policy and procedures to be followed (Section 2); -Requires that factors relevant to a proposal s effect on the survival and quality of the wetlands be considered (Section 5); and -Defines the terms new construction and wetlands (Section 7). The Executive Order does not prohibit construction in wetlands, but does restrict the approval of federally undertaken, financed, or assisted construction and improvements, subject to compliance with the prescribed policy and procedures. Executive Order has its own distinctive procedure for compliance that the RE, under Part 58, must perform for the protection of wetlands. Specifically, Section 2(a) of the Executive Order requires that: Each agency, to the extent permitted by law, shall avoid undertaking or providing assistance for new construction located in wetlands unless the head of the agency finds (1) that there is no practicable alternative to such construction, and (2) that the proposed action includes all practicable measures to minimize harm to wetland which may result from such use. In making this finding the head of the agency may take into account economic, environmental and other pertinent factors. The first requirement, the Section 2(a) (1) finding that there is no practicable alternative, would not be addressed by Section 404 compliance, which has no such requirement. A Responsible Entity would therefore have to make such a finding even if the project has a Section 404 permit. The second requirement, the Section 2(a) (2) finding that harm has been minimized, must be carried out with reference to the more detailed description of factors given in Section 4 of the Executive Order. A Responsible Entity may consider how much of this mandate is fulfilled by compliance with Section 404 requirements, and will possibly be able to use the conditions placed on the 404 permit as the Executive Order s required minimization of harm. However, the likelihood that the 404 conditions will satisfy the minimization requirements of the Executive Order will be much greater in the case of an individual permit than a general one. In addition, the RE must provide for early public review under Section 2(b) of the Executive Order, and that procedure would also be more likely satisfied by the notice period under an individual permit than the short or nonexistent notice under a general permit. Reminder: Please keep in mind that some wetlands will not require a Section 404 permit because they are not within the jurisdictional nexus required by the Clean Water Act. However, compliance with the Executive Order will still be required for Grant Management Handbook (2013) 3-39

42 Chapter 3 Environmental Review federal activities. To summarize, in performing wetland compliance for HUD programs, the RE reviewer may use any wetlands information or procedures, including individual and general 404 permit information and procedures, provided that the reviewer independently evaluates them and supplements the information and procedures to conform to the requirements of Executive Order Coastal Zone Management The Coastal Zone Management (CZM) authority applies only to new construction, conversion, major rehabilitation, and substantial improvement activities that are located within a Coastal Zone. For a map of the areas, consult the Coastal Zone Atlas at Guidance on how to meet the coastal zone management requirements can be found at Sole Source Aquifers Endangered Species Sole Source Aquifer designations protect drinking water with few or no alternative sources to the ground water. The only designated Sole Source Aquifer in Oregon is the North Florence-Dunal Aquifer. More information can be found at Section 7 of the Endangered Species Act (ESA) of 1973 requires protection of plants and animals that are listed, or proposed for listing, on the endangered species list. The Recipient must insure that activities proposed for areas harboring such species will avoid adversely modifying or destroying their habitat. The ESA authority generally applies only to new construction, conversion of land use, major rehabilitation of existing buildings, and the acquisition of undeveloped land. Most housing rehabilitation projects should not have the potential to impact sensitive species, unless landscaping in a riparian zone is proposed. The United States Fish and Wildlife Service (FWS) has jurisdiction over terrestrial species (including birds, plants and insects) and some fish. NOAA s National Marine Fisheries Service (NMFS) has jurisdiction over marine species and anadromous fish. Contact information for both of these agencies is shown below. Listings of the endangered and threatened species and habitats in Oregon can be found on the FWS website at Any level of environmental review requires (1) an informal consultation with the appropriate agency if the project may affect threatened and endangered species or habitat or (2) a formal consultation with the appropriate agency if the project may adversely affect threatened and endangered species or habitat. The agency will then determine the impact of the project on the species and/or habitat. Endangered Species Resources Any project that might jeopardize the existence of plants or animals listed or proposed for listing on the endangered species list, or adversely modify or destroy 3-40 (2011) Community Development Block Grant

43 their habitat must consult with the following agencies: NOAA s National Marine Fisheries Service Northwest Regional Office 525 NE Oregon Street Portland, Oregon (503) Chapter 3 Environmental Review United States Fish and Wildlife Service Attn: Endangered Species Division 2600 SE 98 th Avenue, Suite 100 Portland, Oregon (503) Oregon Department of Fish and Wildlife 3406 Cherry Avenue NE Salem, OR (503) or Toll Free: (800) 720-ODFW Wild and Scenic Rivers All HUD-funded activities are subject to the requirements of the Wild and Scenic Rivers Act. The environmental review must evaluate the potential for impact to any listed Wild and Scenic River when the project is within one mile of a river. This applies to new construction, conversion of land use, major rehabilitation of existing structures, and the acquisition of undeveloped land. If your project may fall under the Wild and Scenic Rivers Act contact the National Park Service for a list of all designated rivers in Oregon. Air Quality The Clean Air Act is the nation's premier law for protecting public health and the environment from dangerous air pollution. The law and its amendments are at The environmental review should determine whether the project location would lead to an increase in air pollution or that would expose humans to increased air pollution. The Clean Air Act is applicable in non-attainment areas. To determine if the project is in such an area, check the list of current Oregon non-attainment areas at In Oregon, the Oregon Department of Environmental Quality (DEQ) Air Quality Division ( is responsible for compliance. The exceptions are Eugene, Springfield, Cottage Grove and Oakridge, which are under the authority of the Lane Regional Air Pollution Authority ( Grant Management Handbook (2013) 3-41

44 Chapter 3 Environmental Review Farmland Protection Environmental Justice The Farmland Protection Policy Act discourages federally funded projects that would convert farmland to non-agricultural purposes. If the proposed activity will occur in any type of agricultural area, consult with the local USDA Natural Resources Conservation Service (NRCS) to determine if the site is classified as prime, unique, statewide, or locally important farmland. Environmental Justice (EJ) means ensuring that the environment and human health are fairly protected for all people regardless of race, color, national origin, or income. The Environmental Justice Executive Order ( describes federal actions necessary to address environmental justice in minority populations and lowincome populations. Generally, this Order applies to low-income or minority neighborhoods where the HUD assisted project proposes the acquisition of existing housing, the acquisition of land for development, and new construction. EJ issues may include, but are not limited to new, continued or historically disproportionate potential for high and adverse human health and environmental effects on minority or low-income populations. In practice, this order means that Recipients must identify in their environmental review whether or not the project will have an adverse effect on minority or lowincome persons. If a possible adverse impact is identified, the Recipient must consider mitigation or avoidance of adverse impacts from the project to the extent practicable. If so, call the OBDD regional coordinator for further guidance. Runway Clear Zones Noise Abatement Potential aircraft accident problems make some types of development incompatible for locations in the immediate vicinity of airports and airfields. If the proposed project is located near an airport or in the immediate area of the landing and approach zones, the Recipient will need to obtain additional information to determine whether this issue is a concern and, if so, how to mitigate it. For additional guidance contact your regional coordinator. More information can be found at The environmental review must consider noise hazards that may impact a HUDassisted project. The purpose is to encourage land use patterns for housing and other noise sensitive needs that will provide a suitable separation between them and major noise sources. Noise abatement and control regulations are found in at Noise sensitive uses that can be easily disturbed by high noise levels include housing, nursing homes, hospitals, and other non-housing uses where quiet is integral to the project s function (e.g., libraries) or ancillary to the principal use (e.g., quiet outdoor seating area). HUD s noise calculator can be found at: (2011) Community Development Block Grant

45 Chapter 3 Environmental Review If the project is determined to be a noise sensitive use and is near a potential noise source, further action must be taken. It is recommended that any Recipient having questions about Noise Abatement and Control use the Noise Guidebook as a source of information. It is online at: noise/. It will be helpful if the Recipient orders a hardcopy of the book from HUD's Direct Distribution Center at Orders may also be placed by calling Monday through Friday between the hours of 5:00 AM and 2:15 PM or ing on_demand_mail@hud.gov. Noise Guidance for Rehabilitation Projects (Includes rehabilitation of any facility and is not specific to housing rehabilitation projects.) The noise regulations state at Part (a) that for modernization projects located in all noise exposed areas, HUD shall encourage noise attenuation features in alterations: For major or substantial rehabilitation projects* in the Normally Unacceptable and Unacceptable noise zones, HUD actively shall seek to have project sponsors incorporate noise attenuation features given the extent and nature of the rehabilitation being undertaken and the level or exterior noise exposure. In Unacceptable noise zones, HUD shall strongly encourage conversion of noise-exposed sites to land uses compatible with the high noise levels. *Major rehabilitation is generally considered to be rehabilitation that requires an environmental assessment level of review. For minor rehabilitation or modernization, noise attenuation must be encouraged. RE s are not required to calculate the noise level, however. RE s can use a map that identifies the busy roads and include a statement showing that a portion of the project may be noise impacted. RE s should identify how they are encouraging noise attenuation (i.e. inform the recipient and suggest that they consider noise attenuation as appropriate in future rehabilitation. For example, if windows are required in the building, suggest that they be double insulated). Siting Near Hazardous Operations Properties that are located near hazardous industrial operations handling fuels or chemicals of an explosive or flammable nature are subject to HUD safety standards in 51, Subpart C (Sections ). In the case of tanks containing common liquid fuels, the requirement for an acceptable separation distance (ASD) calculation only applies to storage tanks that have a capacity of more than 100 gallons. To assist in evaluating the applicability of the standards to their project the recipient should consult the HUD guidebook, Siting of HUD-assisted Projects near Hazardous Facilities (HUD-1060-CPD, Sept. 1996) that is found online at: Grant Management Handbook (2013) 3-43

46 Chapter 3 Environmental Review hazfacilities/. This book describes the procedures for collecting data about a proposed project site and a potential hazard and details the steps for calculating the acceptable separation distance between the hazard and the project site. Toxics, Radioactive Substances, & Site Contamination According to 50.3(i), all property proposed for use in HUD programs must be free of hazardous materials, contamination, toxic chemicals and gasses, and radioactive substances, where a hazard could affect the health and safety of occupants or conflict with the intended utilization of the property. Multifamily and non-residential properties must include evaluation of previous uses of the site and other evidence of contamination on or near the site. Particular attention should be paid to dumps, landfills, industrial sites, and hazardous waste in the vicinity of the project. If it is determined that investigations are necessary (see list below), the use of current techniques by qualified professionals is required. An excellent source of information is HUD s Choosing an Environmentally Safe Site found at sitepub.pdf. Following are some questions that will help the Recipient evaluate project sites known or suspected to be contaminated: Is the property or surrounding area on the EPA Superfund National Priorities List ( or the equivalent state list maintained by DEQ ( Is the property located within 3000 feet of a toxic or solid wasteland fill, etc.? Are there any underground storage tanks (other than residential fuel tanks)? Is the property known to be, or suspected to be contaminated? If the project site may be contaminated, contact the regional coordinator and the appropriate DEQ representative. A list of the regional DEQ offices is found at General Resources Below are some resources that will assist the Recipient to successfully meet the environmental review requirements. Additional ones are listed in the body of this chapter. Index to of 24 CFR Part 58, rules for environmental review: Completing Environmental Review in Oregon: (2011) Community Development Block Grant

47 Chapter 3 Environmental Review Environmental Resources that are useful in preparing assessments of potential environmental impact: HUD Office of Environment and Energy Homepage: HUD Environmental Questions and Answers: HUD Environmental Review Requirements: HUD Environmental Resource Library: HUD Online Library (a wide range of topics): HUD's Direct Distribution Center. Items not available on-line must be mailed and will arrive in 7 to 10 business days. Orders may be placed online at: by phone at (800) (Monday-Friday, 5:00 AM and 2:15 PM) or by ing on_demand_mail@hud.gov Hard copy only: Environmental Review Guide for Community Development Block Grant Programs (Item Number 2377) is available from the Direct Distribution Center Grant Management Handbook (2013) 3-45

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67 Exhibit 3B Environmental Review Flow Chart ENVIRONMENTAL REVIEW FLOW CHART STEP #1 Determine RE s Certifying Officer STEP #2 Determine type of clearance needed for each activity 1 st Level of Review 2 nd Level of Review 3 rd Level of Review 4 th Level of Review 5 th Level of Review Types of Activities: Non-construction activities such as engineering, architectural, legal, audit, environmental review preparation, grant administration, program management, sub-grants and microenterprise assistance, etc. Types of Activities: Supportive services Operating costs such as utilities, supplies, staff training etc. Economic Development activities such as equipment purchase, inventory financing, operating expenses. Exempt Activities Categorically Excluded Activities not subject to 58.5 Prepare finding of exemption Prepare Determination of Categorical Exclusion (Not subject to 58.5) Types of Activities: The acquisition, repair, improvement, reconstruction or rehabilitation of public facilities, when they are in place and will be retained for the same use with no more than 20% change in size or capacity (excludes buildings) Removal of architectural barriers for elderly and handicapped persons Rehabilitation of multifamily residential buildings when specific conditions are met. Rehabilitation of non-residential structures (commercial, industrial, and public buildings) when no more than 20% change in size or capacity and does not involve land use change. Acquisition of land or an existing structure (including leasing) Categorically Excluded Activities subject to 58.5 (Cat X) Prepare Determination of Categorical Exclusion subject to 58.5 Types of Activities: All activities that are neither exempt or categorically excluded, such as construction, construction contingencies, land/building acquisition (including leases) Types of Activities: All activities that have a potentially significant impact on the human environment such as, pose a health and safety threat, regional rather than local, has long term effects, impacts unique resources, violates federal, state, tribal or local environmental laws. Site containing more than 2,500 or more beds Removal, demolition, conversion or substantial rehabilitation of 2,500 or more units. The project will provide enough additional water/sewer capacity to support 2,500 or more housing units. Environmental Assessment (EA) Environmental Impact Statement (EIS) Complete Environmental Assessment Checklist RE Certifying Officer Signature RE Certifying Officer Signature RE Certifying Officer Signature Note: If the EA results do not result in a FONSI the EIS procedures must be followed. If the EA results in a FONSI follow the process detailed below. If the project requires an EIS, consult the Departments Regional Coordinator for your area for advice. Grant Management Handbook (2013) Exhibit 3B

68 Exhibit 3B Environmental Review Flow Chart File and send copy to State File and send copy to State NOTE: If the categorical exclusion can be converted to an exemption. Place the RE certifying officer signed determination in the file and send a copy to the State. If it cannot be converted to an exemption follow the process detailed below: Costs can now be obligated or incurred for these activities. Costs can now be obligated or incurred for these activities. Publish/Post NOI-ROF Publish - 7 days Post - 10 days Any pubic comment must be addressed and included in the environmental review record. Send completed RROF with the complete signed determination with attachments, and documentation of publication/posting/mailing to the State. State will review integrity of EA and ensure the required process was complied with during the 15-day public comment period. Any public comment must be addressed and included in the environmental review record. If found satisfactory, ROF issued by the State Costs can now be obligated or incurred for these activities. RE Certifying Officer Signature Publish/Post Combined Notice Publish - 15 days Post - 18 days Any pubic comment must be addressed and included in the environmental review record Send completed RROF with the complete signed determination with attachments, and documentation of publication/posting/mailing to the State. State will review integrity of EA and ensure the required process was complied with during the 15-day public comment period. Any public comment must be addressed and included in the environmental review record. If found satisfactory, ROF issued by the State Costs can now be obligated or incurred for these activities. Exhibit 3B (2013) Community Development Block Grant

69 Exhibit 3B Environmental Review Flow Chart SINGLE FAMILY OWNER-OCCUPIED HOUSING REHABILIATION TIERED REVIEW PROCESS Tier 1 Prepare Finding of Exemption Signed by RE s Certifying Officer File and send Copy of State Costs can now be obligated or incurred for these non-construction activities Tier 2 - Prepare Determination of Categorical Exclusion subject to 58.5 RE Certifying Officer Signature Publish/Post NOI-ROF - Publish - 7 days - Post - 10 days Any public comment must be addressed and included in the environmental review record. Send completed RROF with the complete signed determination with attachments, and documentation of publication/posting/mailing to the OBDD. State will review integrity of EA and ensure the required process was complied with during the 15-day public comment period. Any public comment must be addressed and included in the environmental review record. If found satisfactory, ROF issued by the OBDD Tier 3 - Complete site specific reviews for each property, signed by the RE s certifying officer Costs can now be obligated or incurred for an individual single family owner-occupied rehabilitation activity once the site specific review has been completed for that property. Grant Management Handbook (2013) Exhibit 3B

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71 Determination of Exemption Exhibit 3C 2013 Activity Name and Grant Number: Address: Activity Description: Determination of Exemption For activities included in 24 CFR 58.34(a) Estimated total Activity cost: $ Funding Source: CDBG Other The activity falls into the category below, which is listed at 24 CFR 58.34(a) as Exempt. 1. Environmental and other studies, resource identification, and development of plans and strategies 2. Information and financial services 3. Administrative and management activities, grant administration, program management, sub-grants, legal etc. 4. Public services that will not have a physical impact or result in any physical changes including but not limited to services concerned with: Employment Education Crime prevention Counseling Child care Energy conservation Health Welfare Recreation needs Microenterprise Assistance Drug abuse Other 5. Inspections and testing of properties for hazards or defects 6. Purchase of insurance 7. Purchase of tools 8. Engineering or design costs 9. Technical assistance and training 10. Temporary or permanent improvements that do not alter environmental conditions and are limited to activities to protect, repair or arrest the effects of disasters or imminent threats to public safety, including those resulting from physical deterioration. 11. Payment of principal and interest on loans made or obligations guaranteed by HUD Compliance Checklist for the Other Requirements in 24 CFR 58.6 The requirements under 58.6 may be applicable to 58.35(b) and determinations. The following format is suggested to document compliance with 58.6 in completing the environmental review process. FLOOD INSURANCE / FLOOD DISASTER PROTECTION ACT (Guidance) 1. Does the project involve the acquisition, construction or rehabilitation of structures, buildings or mobile homes? No; flood insurance is not required. The review of this factor is completed. Yes; continue. 2. Is the structure or part of the structure located in a FEMA designated Special Flood Hazard Area? No. Source Document (FEMA/FIRM floodplain zone designation, panel number, date): _(Factor review completed). Yes. Source Document (FEMA/FIRM floodplain zone designation, panel number, date): _(Continue review).

72 3. Is the community participating in the National Insurance Program (or has less than one year passed since FEMA notification of Special Flood Hazards)? Yes - Flood Insurance under the National Flood Insurance Program must be obtained and maintained or the economic life of the project, in the amount of the total project cost. A copy of the flood insurance policy declaration must be kept in the Environmental Review Record. No (Federal assistance may not be used in the Special Flood Hazards Area). COASTAL BARRIERS RESOURCES ACT (Guidance) Section 58.6 also requires compliance with the Coastal Barrier Resources Act. There are no Coastal Barrier Resource Areas in Washington, Oregon, Alaska, or Idaho. Therefore, the Act does not apply. 1. Is the project located in a coastal barrier resource area? (See

73 Exhibit 3C Determination of Exemption No; Cite Source Documentation: (This element is completed). Yes - Federal assistance may not be used in such an area. AIRPORT RUNWAY CLEAR ZONES AND CLEAR ZONES DISCLOSURES (Guidance) 1. Does the project involve the sale or acquisition of existing property within a Civil Airport's Runway Clear Zone, Approach Protection Zone or a Military Installation's Clear Zone? No; cite SD, page: Project complies with 24 CFR (a)(3). Yes; Disclosure statement must be provided to buyer and a copy of the signed disclosure statement must be maintained in this Environmental Review Record. RE s Certifying Officer Signature. A Request for Release of Funds (RROF) is not required. The activity may be initiated without further environmental review beyond 24 CFR Part Signature Date Certifying Officer Name and Title (print) Grant Management Handbook (2013) Exhibit 3C

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75 Statutory Review Worksheet [24CFR 58.5] Exhibit 3D Statutory Review Worksheet The following chart is for your convenience in completing the Statutory Checklist and to assist in finding further information on various environmental factors. The applicable statute, executive order or regulation is included. Factors Determination and Compliance Documentation Historic Preservation [NHPA, Section 106; 36 CFR 800] Guidance: Floodplain Management [24 CFR 55; Executive Order 11988] Guidance: Wetlands Protection [Executive Order 11990] Guidance: Sole Source Aquifers [40 CFR 149] Guidance: Endangered Species Act [50 CFR 402] Guidance: Wild and Scenic Rivers Act [Sections 7 (b), (c)] Guidance: Grant Management Handbook (2013) Exhibit 3D

76 Exhibit 3D Statutory Review Worksheet Flood Insurance [Flood Disaster Protection Act of 1973, as amended] Guidance: Air Quality [Clean Air Act, Sections 176 (c) and (d), and 40 CFR 6, 51, 93] Guidance: Farmland Protection Policy Act [7 CFR 658] Guidance: Environmental Justice [Executive Order 12898] Guidance: Noise Abatement and Control [24 CFR ] Guidance: Toxic/Hazardous/Radioactive Materials, Contamination, Chemicals or Gases [24 CFR 58.5(i)(2)] Guidance: Siting of HUD-Assisted Projects near Hazardous Operations [24 CFR ] Guidance: Airport Clear Zones and Accident Potential Zones [24 CFR ] Guidance: Coastal Zone Management [Coastal Zone Management Act of 1972] Guidance: Exhibit 3D (2013) Community Development Block Grant

77 Exhibit 3D Statutory Review Worksheet Listing of Applicable Statutes and Regulations by Area of Compliance Historic Properties National Historic Preservation Act of 1966, Section 106 (16 U.S.C. 470f) Preservation of Historic and Archaeological Data Act of 1974 (16 U.S.C c) Executive Order 11593, Protection and Enhancement of the Cultural Environment Floodplain Flood Disaster Protection Act of 1973 (42 U.S.C et. seq.) and Implementary Regulations Title 24, Chapter X, Subchapter B, National Flood Insurance Program (44 CFR 59-79) Executive Order and HUD Procedure for Floodplain Management (24 CFR Part 55) (When Issued) Wetlands Executive Order 11990, Protection of Wetlands and Applicable State Legislation or Regulations. Also 24 CFR Part 55 (When Issued) Noise HUD Regulations (24 CFR Part 51, Subpart B) Air Quality* Clean Air Act of 1970 as Amended (42 U.S.C ) EPA Regulation 40 CFR Part 50, and Partially 40 CFR Part 51, 52, 61. Man-made Hazards HUD Regulations (24 CFR Part 51, Subpart C) HUD Notice Indefinite Notice, September 10, 1979 HUD Regulation 24 (CFR Part 51 Subpart D) Water Quality* Federal Water Pollution Control Act, as Amended (33 U.S.C ) Safe Drinking Water Act of 1974(42 U.S.C. 300f-300j- 10) as Amended U.S. Environmental Protection Agency (EPA) Implementing Regulations 40 CFR Parts Solid Waste Disposal* Solid Waste Disposal Act as Amended by the Resource Conservation and Recovery Act of 1976 (42 U.S.C ) U.S. Environmental Protection Agency (EPA) Implementing Regulations 40 CFR Parts Coastal Areas Coastal Zone Management Act of 1972 as Amended (16 U.S.C ) Coastal Barrier Resources Act of 1982 (16 U.S.C et. seq.) Endangered Species Endangered Species Act of 1973 as Amended (16 U.S.C ) Farmlands Protection Farmlands Protection Policy Act of 1981 (U.S.C et. seq.) Implementing Regulations 7 CFR Part 658 Wild and Scenic Rivers Wild and Scenic Rivers Act of 1968 as Amended (16 U.S.C et. seq.) * Environmental laws that have permit, license or other forms of compliance usually implemented through a State agency are also included here. ** Your CDBG Regional Coordinator can provide additional information for specific areas of environmental concern, if necessary. Grant Management Handbook (2013) Exhibit 3D

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79 Exhibit 3E 2013 Determination of Categorical Exclusion (not subject to 58.5) Determination of Categorical Exclusion (not subject to Section 58.5) Determination of activities per 24 CFR 58.35(b) Activity Name and Grant Number: Address: Activity Description: Estimated total Activity cost: $ Funding Source: CDBG Other: The activity falls into the category listed below, which is listed at 24 CFR 58.35(b) as a Categorically Excluded activity not subject to Section Tenant-based rental assistance 2. Supportive Public Services (including but not limited to): Provision of services associated with a funded community facility) Health care Housing services Permanent housing placement Day care Nutritional services Short term payments for rent/mortgage/utility costs Assistance in gaining access to government benefits/services 3. Operating Costs: Maintenance Furnishings Security Equipment Operation Supplies Utilities Staff training and recruitment 4. Economic Development Activities: Equipment purchase Inventory financing Interest subsidy Operating costs Other expenses not associated with construction or expansion 5. Approval of supplemental assistance (including insurance or guarantee) to a project previously approved under Part 58, if: the same responsible entity conducted the environmental review on the original project and re-evaluation of the environmental findings is not required under Section Compliance Checklist for the Other Requirements in 24 CFR 58.6 The requirements under 58.6 may be applicable to 58.35(b) and determinations. The following format is suggested to document compliance with 58.6 in completing the environmental review process. FLOOD INSURANCE / FLOOD DISASTER PROTECTION ACT (Guidance) 1. Does the project involve the acquisition, construction or rehabilitation of structures, buildings or mobile homes? No; flood insurance is not required. The review of this factor is completed. Yes; continue. 2. Is the structure or part of the structure located in a FEMA designated Special Flood Hazard Area? No. Source Document (FEMA/FIRM floodplain zone designation, panel number, date): _(Factor review completed). Yes. Source Document (FEMA/FIRM floodplain zone designation, panel number, date): _(Continue review).

80 3. Is the community participating in the National Insurance Program (or has less than one year passed since FEMA notification of Special Flood Hazards)? Yes - Flood Insurance under the National Flood Insurance Program must be obtained and maintained or the economic life of the project, in the amount of the total project cost. A copy of the flood insurance policy declaration must be kept in the Environmental Review Record. No (Federal assistance may not be used in the Special Flood Hazards Area). COASTAL BARRIERS RESOURCES ACT (Guidance) Section 58.6 also requires compliance with the Coastal Barrier Resources Act. There are no Coastal Barrier Resource Areas in Washington, Oregon, Alaska, or Idaho. Therefore, the Act does not apply. 1. Is the project located in a coastal barrier resource area? (See No; Cite Source Documentation: (This element is completed). Yes - Federal assistance may not be used in such an area. AIRPORT RUNWAY CLEAR ZONES AND CLEAR ZONES DISCLOSURES (Guidance) 1. Does the project involve the sale or acquisition of existing property within a Civil Airport's Runway Clear Zone, Approach Protection Zone or a Military Installation's Clear Zone? No; cite SD, page: Project complies with 24 CFR (a)(3). Yes; Disclosure statement must be provided to buyer and a copy of the signed disclosure statement must be maintained in this Environmental Review Record. RE s Certifying Officer Signature: A Request for Release of Funds (RROF) is not required. The activity may be initiated without further environmental review beyond 24 CFR Part Signature Date Certifying Officer Name and Title (print)

81 Exhibit 3F (2013) Categorically Excluded Projects subject to 58.5 Categorically Excluded Projects subject to 58.5 PROJECT NAME and DESCRIPTION (Include all contemplated activities which are either geographically and/or functionally part of the project): Location: This project is determined to be Categorically Excluded according to: [Cite appropriate section(s) of the regulation] DIRECTIONS - Once the review process for each compliance factor has been completed, the Statutory Checklist must then be filled out. Specifically, the RE must indicate whether the activity does or does not affect the resources under consideration. Consult the guidance provided in the table below or the web sites. Indicate Status A on the worksheet if the project does not require formal consultation with an outside agency and does not affect the resource in question. Document the determination made and the sources of information were used information sources are provided in the guidance. If the activity triggers formal compliance consultation with the oversight agency or affects the resource, indicate Status as B. Any compliance documentation should also be attached to the Checklist and included in the ERR. Compliance Factors: Statutes, Executive Orders, and Regulations listed at 24 CFR 58.5 Status A/B Compliance Documentation Historic Preservation [36 CFR Part 800] A Guidance: Floodplain Management [Executive Order 11988; 24 CFR Part 55] A Guidance: Wetland Protection [Executive Order 11990; 3 CFR, 2, 5] A Guidance:

82 Exhibit 3F (2013) Categorically Excluded Projects subject to 58.5 Coastal Zone Management Act [16 U.S.C. 1451, 307(c), (d)] A Guidance: Statutes, Executive Orders, and Regulations listed at 24 CFR 58.5 Status A/B Compliance Documentation Sole Source Aquifers [40 CFR Part 149] A Guidance: Endangered Species Act [50 CFR Part 402] A Guidance: Wild and Scenic Rivers Act [16 U.S.C. 1271, 7(b), (c)] A Guidance: Clean Air Act [40 CFR Parts 6, 51, 93] A Guidance:

83 Exhibit 3F (2013) Categorically Excluded Projects subject to 58.5 Farmland Protection Policy Act [7 CFR Part 658] A Guidance: Environmental Justice [Executive Order 12898] A Guidance: Noise Abatement and Control [24 CFR Part 51, Subpart B] A Guidance: Statutes, Executive Orders, and Regulations listed at 24 CFR 58.5 Status A/B Compliance Documentation Explosive and Flammable Operations [24 CFR Part 51, Subpart C] A Guidance:

84 Exhibit 3F (2013) Categorically Excluded Projects subject to 58.5 Toxic Chemicals and Radioactive Materials [24CFR Part 58, 5(i)(2)] A Guidance: Airport Clear Zones and Accident Potential Zones [24 CFR Part 51, Subpart D] A Guidance: DETERMINATION: This project converts to Exempt, per 58.34(a)(12), because it does not require any mitigation for compliance with any listed statutes or authorities, nor requires any formal permit or license (Status "A" has been determined in the status column for all authorities). Funds may be drawn down for this (now) EXEMPT project; OR This project cannot convert to Exempt because one or more statutes/authorities require consultation or mitigation. Complete consultation/mitigation requirements, publish NOI/RROF and obtain Authority to Use Grant Funds (HUD ) per and before drawing down funds; OR The unusual circumstances of this project may result in a significant environmental impact. This project requires preparation of an Environmental Assessment (EA). Prepare the EA according to 24 CFR Part 58 Subpart E. RE s Certifying Officer Signature Name and Title (Printed) DATE:

85 Exhibit 3G (2013) Notice of Intent to Request a Release of Funds (NOI-ROF) Notice of Intent to Request a Release of Funds Responsible Entity City/County Address Date of Notice Telephone Number City, State, Zip TO ALL INTERESTED AGENCIES, GROUPS AND PERSONS: On or about (at least one day after the end of the comment period) the above-named entity will submit a request to the Oregon Business Development Department (OBDD) for the release federal Community Development Block Grant funds under Title I of the Housing and Community Development Act of 1974 (PL ), as amended, to undertake a project known as: Project Title: Purpose of Nature/scope of project: Estimated funding: Project location: The activities proposed are categorically excluded under HUD regulations at 24 CFR Part 58 from National Environmental Policy Act requirements. An Environmental Review Record (ERR) that documents the environmental review of the project is on file at the above address and (List any other locations where the ERR record is available for examination) is available for public review/examination or can be copied weekdays A.M. to P.M. upon request. Any individual, group, or agency may submit written comments on the ERR to the (designated office of the recipient agency). All comments received by (notice date plus seven days, if published; posting date plus ten days if posted or mailed) will be considered by (name of recipient) prior to submission of a request for release of funds. (Name of recipient) certifies to OBDD that (Name of Certifying Officer) in his/her official capacity as (Chief Elected Official or other title), consents to accept the jurisdiction of the Federal Courts if an action is brought to enforce responsibilities in relation to environmental reviews process, decision making, and action; and that these responsibilities have been satisfied. The legal effect of the certification is upon its approval, the (name of recipient) may use the Grant funds, and OBDD will have satisfied its responsibilities under the National Environmental Policy Act of 1969 and related laws and authorities. OBDD will accept an objections to its approval of the release of funds and the (name of recipient) certification for a period of fifteen days following the anticipated submission date or actual receipt of the request for release of funds (whichever is later) only if they are on one of the following bases: (a) the certification was not executed by the Chief Executive Officer or other officer approved by OBDD; or (b) the (name of recipient) has omitted a step or failed to make a decision or finding required by HUD regulations at 24 CFR Part 58; (c) the grant recipient has committed funds or incurred costs not authorized by 24 CFR Part 58 before approval of a release of funds by OBDD; or (d) another Federal agency acting pursuant to 40 CFR Part 1504 has submitted a written finding that the project is unsatisfactory from the standpoint of environmental quality. Objections must be prepared and submitted in accordance with the required procedure (24 CFR Part 58), and shall be addressed to OBDD at 775 Summer Street NE, Suite 200, Salem, OR Objections to the release of funds on bases other than those stated above will not be considered by OBDD. Grant Management Handbook (2013) Exhibit 3G

86 Exhibit 3G (2013) Notice of Intent to Request a Release of Funds Potential objectors should contact OBDD to verify the actual last day of the objection period. It is estimated that any objection received after (last day of 15-day State comment period NOTE The15 days is after the anticipated submission of the RROF and complete ERR to OBDD or OBDD s actual receipt of the RROF and complete ERR, whichever is later.) will not be considered by OBDD. Name of Certifying Officer: Title: Address: Exhibit 3G (2013) Community Development Block Grant

87 Request for Release of Funds and Certification U.S. Department of Housing and Urban Development Part 1. Program Description and Request for Release of Funds (to be completed by Responsible Entity) The recipient(s) of assistance under the program(s) listed above requests the release of funds and removal of environmental grant conditions governing the use of the assistance for the following HUD

88 Part 2. Environmental Certification (to be completed by responsible entity) With reference to the above Program Activity(ies)/Project(s), I, the undersigned officer of the responsible entity, certify that: 1. The responsible entity has fully carried out its responsibilities for environmental review, decision-making and action pertaining to the project(s) named above. 2. The responsible entity has assumed responsibility for and complied with and will continue to comply with, the National Environmental Policy Act of 1969, as amended, and the environmental procedures, permit requirements and statutory obligations of the laws cited in 24 CFR 58.5; and also agrees to comply with the authorities in 24 CFR 58.6 and applicable State and local laws. 3. The responsible entity has assumed responsibility for and complied with and will continue to comply with Section 106 of the National Historic Preservation Act, and its implementing regulations 36 CFR 800, including consultation with the State Historic Preservation Officer, Indian tribes and Native Hawaiian organizations, and the public. 4. After considering the type and degree of environmental effects identified by the environmental review completed for the proposed project described in Part 1 of this request, I have found that the proposal did did not require the preparation and dissemination of an environmental impact statement. 5. The responsible entity has disseminated and/or published in the manner prescribed by 24 CFR and a notice to the public in accordance with 24 CFR and as evidenced by the attached copy (copies) or evidence of posting and mailing procedure. 6. The dates for all statutory and regulatory time periods for review, comment or other action are in compliance with procedures and requirements of 24 CFR Part In accordance with 24 CFR 58.71(b), the responsible entity will advise the recipient (if different from the responsible entity) of any special environmental conditions that must be adhered to in carrying out the project. As the duly designated certifying official of the responsible entity, I also certify that: 8. I am authorized to and do consent to assume the status of Federal official under the National Environmental Policy Act of 1969 and each provision of law designated in the 24 CFR 58.5 list of NEPA-related authorities insofar as the provisions of these laws apply to the HUD responsibilities for environmental review, decision-making and action that have been assumed by the responsible entity. 9. I am authorized to and do accept, on behalf of the recipient personally, the jurisdiction of the Federal courts for the enforcement of all these responsibilities, in my capacity as certifying officer of the responsible entity. X Part 3. To be completed when the Recipient is not the Responsible Entity The recipient requests the release of funds for the programs and activities identified in Part 1 and agrees to abide by the special conditions, procedures and requirements of the environmental review and to advise the responsible entity of any proposed change in the scope of the project or any change in environmental conditions in accordance with 24 CFR 58.71(b). X Warning: HUD

89 Comment Periods for Public Notices Exhibit 3I 2013 Public Notice Comment Periods Following are examples to help the Recipient (RE) calculate the time necessary for public comment periods for various environmental notices. These timetables assume no delays from mailing and do not take into consideration time to address any objections. They also assume that the correct dates were used in the publication. Full 24-hour days must be used. A comment period begins at 12:01 AM. on the day after a notice is published in a paper or posted or is received by the Oregon Business Development Department. The comment period ends at midnight of the last day. NOTE - OBDD will accept objections to the RROF for a period of fifteen days following the anticipated submission date or actual receipt of the RROF and completed ERR, whichever is later. Categorical Exclusion Notice of Intent Request for Release of Funds (NOI-RROF) and Request for Release of Funds (RROF) PUBLISHED NOTICE POSTED NOTICE Date of Publication-NOI-RROF March 17 Date of Publication-NOI-RROF March 17 Comment period to locality + 7 days Comment period to locality + 10 days Local comment period ends March 24 Local comment period ends March 27 RROF send to State March 25 RROF send to State March 28 State receives RROF March 27 State receives RROF March 30 Period for comments to State + 15 days Period for comments to State + 15 days Days in month - 31 Days in month - 31 Comment period ends April 11 Comment period ends April 14 Earliest date State can release funds Earliest date State can release funds April 12 April 15 Total time: 25 days Total time: 28 days Combined Notice Includes Finding of No Significant Impact (FONSI) and Notice of Intent to Request Release of Funds (NOI-RROF) and Request for Release of Funds (RROF) PUBLISHED NOTICE POSTED NOTICE Date of Publication-Combined March 17 Date of Publication-Combined March 17 Comment period to locality + 15 days Comment period to locality + 18 days Days in month - 31 Days in month - 31 Local comment period ends April 1 Local comment period ends April 4 RROF send to State April 2 RROF send to State April 5 State receives RROF April 4 State receives RROF April 7 Period for comments to State + 15 days Period for comments to State + 15 days Comment period ends April 19 Comment period ends April 22 Earliest date State can release funds Earliest date State can release funds April 20 April 23 Total time: 33 days Total time: 36 days Grant Management Handbook (2013) Exhibit 3I

90 Exhibit 3I Public Notice Comment Periods Below are charts to assist the recipient in setting their calendar for dissemination of environmental notices. Categorical Exclusion Notice of Intent Request for Release of Funds (NOI-RROF) and Request for Release of Funds (RROF) PUBLISHED NOTICE POSTED NOTICE Date of Publication-NOI-RROF Date of Publication-NOI-RROF Comment period to locality + 7 days Comment period to locality + 10 days Local comment period ends Local comment period ends RROF send to State RROF send to State State receives RROF State receives RROF Period for comments to State + 15 days Period for comments to State + 15 days Days in month - Days in month - Comment period ends Comment period ends Earliest date State can release funds Earliest date State can release funds Total time: 25 days Total time: 28 days Combined Notice Includes Finding of No Significant Impact (FONSI) and Notice of Intent to Request Release of Funds (NOI-RROF) and Request for Release of Funds (RROF) PUBLISHED NOTICE POSTED NOTICE Date of Publication-Combined Date of Publication-Combined Comment period to locality + 15 days Comment period to locality + 18 days Days in month - Days in month - Local comment period ends Local comment period ends RROF send to State RROF send to State State receives RROF State receives RROF Period for comments to State + 15 days Period for comments to State + 15 days Comment period ends Comment period ends Earliest date State can release funds Earliest date State can release funds Total time: 33 days Total time: 36 days Exhibit 3I (2013) Community Development Block Grant

91 Exhibit 3J (2014) Environmental Assessment Checklist Environmental Assessment Determinations and Compliance Findings for CDBG-assisted Projects 24 CFR Part 58 Project Information Project Name: Responsible Entity ((RE) Grant Recipient): State/Local Identifier (OBDD-IFA CDBG Project #): Preparer: RE s Certifying Officer Name and Title (Highest elected official, unless otherwise designated by the grant recipient must have written documentation of this designation): Consultant (if applicable): Direct Comments to:

92 Exhibit 3J (2014) Environmental Assessment Checklist Project Location (physical location address, provide maps etc.): Detailed Description of the Proposed Project [24 CFR & 58.32; 40 CFR ]: Statement of Purpose and Need for the Proposal [40 CFR (b)]: Existing Conditions and Trends [24 CFR 58.40(a)]: Funding Information Grant Number HUD Program Funding Amount Estimated Total CDBG Funded Amount: Estimated Total Project Cost (CDBG and non-cdbg funds) [24 CFR 58.32(d)]: Compliance with 24 CFR 50.4, 58.5, and 58.6 Laws and Authorities Record below the compliance or conformance determinations for each statute, executive order, or regulation. Provide credible, traceable, and supportive source documentation for each authority. Where applicable, complete the necessary reviews or consultations and obtain or note applicable permits of approvals. Clearly note citations, dates/names/titles of contacts, and page references. Attach additional documentation as appropriate. Compliance Factors: Statutes, Executive Orders, Are formal compliance Compliance determinations

93 Exhibit 3J (2014) Environmental Assessment Checklist and Regulations listed at 24 CFR 58.5 and 58.6 steps or mitigation required? STATUTES, EXECUTIVE ORDERS, AND REGULATIONS LISTED AT 24 CFR 50.4 and 58.6 Airport Hazards Yes No 24 CFR Part 51 Subpart D Coastal Barrier Resources Coastal Barrier Resources Act, as amended by the Coastal Barrier Improvement Act of 1990 [16 USC 3501] Flood Insurance Yes Yes No No Flood Disaster Protection Act of 1973 and National Flood Insurance Reform Act of 1994 [42 USC and 42 USC 5154a] STATUTES, EXECUTIVE ORDERS, AND REGULATIONS LISTED AT 24 CFR 50.4 & 58.5 Clean Air Yes No Clean Air Act, as amended, particularly section 176(c) & (d); 40 CFR Parts 6, 51, 93 Coastal Zone Management Coastal Zone Management Act, sections 307(c) & (d) Contamination and Toxic Substances 24 CFR Part 50.3(i) & 58.5(i)(2) Endangered Species Endangered Species Act of 1973, particularly section 7; 50 CFR Part 402 Explosive and Flammable Hazards 24 CFR Part 51 Subpart C Yes Yes Yes Yes No No No No

94 Exhibit 3J (2014) Environmental Assessment Checklist Farmlands Protection Farmland Protection Policy Act of 1981, particularly sections 1504(b) and 1541; 7 CFR Part 658 Floodplain Management Executive Order 11988, particularly section 2(a); 24 CFR Part 55 Historic Preservation National Historic Preservation Act of 1966, particularly sections 106 and 110; 36 CFR Part 800 Noise Abatement and Control Noise Control Act of 1972, as amended by the Quiet Communities Act of 1978; 24 CFR Part 51 Subpart B Sole Source Aquifers Safe Drinking Water Act of 1974, as amended, particularly section 1424(e); 40 CFR Part 149 Wetlands Protection Executive Order 11990, particularly sections 2 and 5 Wild and Scenic Rivers Wild and Scenic Rivers Act of 1968, particularly section 7(b) and (c) ENVIRONMENTAL JUSTICE Environmental Justice Executive Order Yes Yes Yes Yes Yes Yes Yes Yes No No No No No No No No Environmental Assessment Factors [24 CFR 58.40; Ref. 40 CFR & ] Recorded below is the qualitative and quantitative significance of the effects of the proposal on the character, features and resources of the project area. Each factor has been evaluated and documented, as appropriate and in proportion to its relevance to the proposed action. Verifiable source documentation has been provided and described in support of each determination, as appropriate. Credible, traceable and

95 Exhibit 3J (2014) Environmental Assessment Checklist supportive source documentation for each authority has been provided. Where applicable, the necessary reviews or consultations have been completed and applicable permits of approvals have been obtained or noted. Citations, dates/names/titles of contacts, and page references are clear. Additional documentation is attached, as appropriate. All conditions, attenuation or mitigation measures have been clearly identified. Impact Codes: Use an impact code from the following list to make the determination of impact for each factor. (1) Minor beneficial impact (2) No impact anticipated (3) Minor Adverse Impact May require mitigation (4) Significant or potentially significant impact requiring avoidance or modification which may require an Environmental Impact Statement Environmental Assessment Factor Impact Code LAND DEVELOPMENT Conformance with Plans / Compatible Land Use and Zoning / Scale and Urban Design Soil Suitability/ Slope/ Erosion/ Drainage/ Storm Water Runoff Hazards and Nuisances including Site Safety and Noise Impact Evaluation Energy Consumption Environmental Assessment Factor SOCIOECONOMIC Employment and Income Patterns Impact Code Impact Evaluation Demographic Character Changes, Displacement Environmental Assessment Factor Impact Code Impact Evaluation

96 Exhibit 3J (2014) Environmental Assessment Checklist COMMUNITY FACILITIES AND SERVICES Educational and Cultural Facilities Commercial Facilities Health Care and Social Services Solid Waste Disposal / Recycling Waste Water / Sanitary Sewers Water Supply Public Safety - Police, Fire and Emergency Medical Parks, Open Space and Recreation Transportation and Accessibility Environmental Assessment Factor NATURAL FEATURES Unique Natural Features, Water Resources Vegetation, Wildlife Impact Code Impact Evaluation Other Factors Additional Studies Performed: Field Inspection (Date and completed by):

97 Exhibit 3J (2014) Environmental Assessment Checklist List of all Sources, Agencies and Persons Consulted [40 CFR (b)]: List of Permits Obtained: Public Outreach [24 CFR & 58.43]: Cumulative Impact Analysis [24 CFR 58.32]: Evaluation of Alternatives to the Proposed Action and Project Modifications [24 CFR 58.40(e); 40 CFR ] No Action Alternative [24 CFR 58.40(e)]: Summary of Findings and Conclusions: Mitigation Measures and Conditions [40 CFR (c)] Summarize below all mitigation measures adopted by the Responsible Entity to reduce, avoid, or eliminate adverse environmental impacts and to avoid non-compliance or non-conformance with the above-listed authorities and factors. These measures/conditions must be incorporated into project contracts, development agreements, and other relevant documents. The staff responsible for implementing and monitoring mitigation measures should be clearly identified in the mitigation plan.

98 Exhibit 3J (2014) Environmental Assessment Checklist Law, Authority, or Factor Mitigation Measure The Environmental Determination and Signature by the Certifying Officer must occur before the Combined Notice is published or posted. Determination: Finding of No Significant Impact [24 CFR 58.40(g)(1); 40 CFR ] The project will not result in a significant impact on the quality of the human environment. Finding of Significant Impact [24 CFR 58.40(g)(2); 40 CFR ] The project may significantly affect the quality of the human environment. Preparer Signature: Date: Name/Title/Organization: Certifying Officer Signature: Date: Name/Title: This original, signed document and related supporting material must be retained on file by the Responsible Entity in an Environmental Review Record (ERR) for the activity/project (ref: 24 CFR Part 58.38) and in accordance with recordkeeping requirements for the CDBG program.

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100 Exhibit 3K (2013) Combined Notice Combined Notice Finding of No Significant Impact Notice of Intent to Request Release of Funds Responsible Entity, City/County) Address Date of Notice Telephone Number City, State, Zip Code This Combined Notice shall satisfy two separate but related procedural requirements for activities to be undertaken by (name of recipient). Request for Release of Funds: On or about (at least one day after the end of the comment period) the above-named entity will submit a request to the Oregon Business Development Department (OBDD) for the release federal Community Development Block Grant funds under Title I of the Housing and Community Development Act of 1974 (PL ), as amended, to undertake a project known as: Project Title: Purpose of Nature/scope of project: Estimated funding: Project location: Finding Of No Significant Impact (Name of recipient) has determined that the project will have no significant impact on the human environment. Therefore, an Environmental Impact Statement under the National Environmental Policy Act of 1969 (NEPA) is not required. Additional project information is contained in the Environmental Review Record (ERR) on file at on file at the above address and (List any other locations where the ERR record is available for examination) is available for public review/examination or can be copied weekdays A.M. to P.M. upon request. Public Comments Any individual, group or agency disagreeing with this determination or wishing to comment on the project may submit written comments to the (name of recipient) (designated office of the recipient agency), responsible for receiving and responding to comments. Such written comments should be received at the above address on or before (notice date plus fifteen days, if published; posting date plus eighteen days, if posted or mailed). All such comments so received will be considered by the (name of recipient) prior to authorizing submission of a request for release of funds. Comments should specify which Notice thay are addressing. Grant Management Handbook (2013) Exhibit 3K

101 Exhibit 3K Combined Notice Release of Funds The (Name of recipient) certifies to OBDD that (Name of Certifying Officer) in his/her official capacity as (Chief Elected Official or other title), consents to accept the jurisdiction of the Federal Courts if an action is brought to enforce responsibilities in relation to environmental review process and that these responsibilities have been satisfied. The legal effect of the certification is, upon its approval, the (Name of Recipient) may use the Grant funds, and OBDD will have satisfied its responsibilities under the National Environmental Policy Act of 1969 and related laws and authorities. Objections to Release of Funds OBDD will accept objections to its Release of Funds and the (name of recipient) certification for a period of fifteen days following the anticipated submission date or actual receipt of the request for release of funds (whichever is later) only if they are on one of the following bases: A. The certification was not executed by the Certifying Officer of (name of recipient) B. (Name of recipient) has omitted a step or failed to make a decision or finding required by HUD regulations at 24 CFR Part 58 C. (Name of recipient) has committed funds or incurred costs not authorized by 24 CFR Part 58 before approval of a release of funds by OBDD D. Another federal agency acting pursuant to 40 CFR Part 1504 has submitted a written finding that the project is unsatisfactory from the standpoint of environmental quality. Objections must be prepared and submitted in accordance with the required procedure (24 CFR Part 58), and shall be addressed to OBDD at 775 Summer Street NE, Suite 200, Salem, OR Objections to the release of funds on bases other than those stated above will not be considered by OBDD. Potential objectors should contact OBDD to verify the actual last day of the objection period. It is estimated that any objection received after (last day of 15-day State comment period NOTE The15 days is after the anticipated submission of the RROF and complete ERR to OBDD or OBDD s actual receipt of the RROF and complete ERR, whichever is later.) will not be considered by OBDD. Name of Certifying Officer: Title: Address: Exhibit 3K (2013) Community Development Block Grant

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112 Exhibit 3M (2013) Housing Rehabilitation Tiered Review Tiered Environmental Review Format This tiered review format [per 24CFR 58.15] is designed to be used for activities that are categorically excluded [per 24CFR 58.35(a)] subject to the laws and authorities at Part Activities in this category include rehabilitation of residential single family, owner-occupied housing units on scattered sites. Instructions: Tier 1 Complete the Environmental Exemption Signed by RE s Certifying Officer. File and send Copy of State. Costs can now be obligated or incurred for these non-construction activities. Tier 2 - Target Area Assessment Statutory Checklist (More detailed instruction of the process if contained within Chapter 3) Define the proposed project and identify the source of project funds. Determine the area of consideration- the geographic portion of a City or County from which applications are to be accepted, or projects will be selected. (Must match the area proposed to be served within the CDBG grant application.) Within the area of consideration and based on the specific project, consider the Statutes, Executive Orders, and regulations at 24 CFR Part 58 (the broad based review). Document the Statutory Checklist with the determination that any authorities can be excluded from further site specific review. Maintain documentation in the ERR of the laws and authorities that can be excluded from further site specific review. Identify the process that will be used in the site specific reviews Prepare a tiered review form once for each program, and retain it in the Environmental Review Record (ERR). A new Tier 2 Review must be completed whenever there are changes in the area of consideration or changes in the environmental conditions which could affect the program or which may bear on the program s impact on the environment. Upon completion of the form, either: Publish/disseminate the Notice of Intent to Request Release Of Funds per The NOI/RROF shall identify the significant issues to be addressed in the site-specific reviews. Refer to Exhibit 3N in the 2013 Grant Management Handbook, per Do not commit funds to specific projects before obtaining the Release of Funds Form for the program from OBDD-IFA or before completing the site-specific review. Tier 3-Site Specific Assessment Complete the site specific review of each activity prior to committing funds for each specific property. Maintain all supporting documents in the ERR file to evidence compliance. -1-

113 Exhibit 3M (2013) Housing Rehabilitation Tiered Review Determination of Categorical Exclusion (subject to Section 58.5) Determination of activities per 24 CFR 58.35(a) Project Names(s) and Grant Number(s): H120XX Activity/Project Description: This must include (Be specific): 1. The types of rehab activities that are eligible for funding under the program, allowed by the policies i.e. septic tanks, wells, roofs, electrical, siding, windows, landscaping, hazardous tree removal, asbestos tests, reasonable accommodation requests, plumbing, insulation/weatherization, heating systems, hot water heaters, dry rot repairs etc. 2. Identification if the approved housing rehabilitation program policies allow major rehabilitation, if special circumstances are met. 3. The $ of the individual rehab loans to be provided to the homeowners. 4. How many units are planned to be assisted. 5. Everything identified in the statutory checklist that must be addressed within the project description. Estimated activity cost: $400,000 Funding Source: CDBG X HOME Public Housing EDI ICDBG NAHASDA Other: The project falls into the category below, which is listed at 24 CFR 58.35(a) as a Categorically Excluded activity subject to Section Acquisition, repair, improvement, reconstruction, or rehabilitation of public facilities and improvements (other than buildings) when the facilities and improvements are already in place and will be retained in the same use without change in size or capacity for more than 20 percent. Examples: Replacement of water or sewer lines Reconstruction of curbs and sidewalks Repaving of streets Special projects directed toward the removal of material and architectural barriers that restrict the mobility of and accessibility to the elderly and handicapped persons. X Rehabilitation of buildings and improvements under the following conditions: In the case of a single family owner occupied residence, the density is not increased beyond the single unit, the land use is not changed, and the footprint of the building is not increased in a floodplain or in a wetland. An individual action: Up to four dwelling units where there is a maximum of four units on any one site. The units can be four one-unit buildings or one four-unit building or any combination in between; or A project of five or more housing units developed on scattered sites when the sites are more than 2,000 feet apart and there are not more than four housing units on any one site. Acquisition (including leasing) or disposition of an existing structure or acquisition (including leasing) of vacant land provided that the structure or land acquired or disposed of will be retained for the same use; Combinations of the above activities The determination of the category listed above is supported by the following information (explain how you determined that the project satisfied the condition of the category you checked above and document as appropriate): The program provides rehabilitation funding to existing single family homes owned by low or moderate income homeowners. You must complete the compliance checklist for 24 CFR 58.6 and the Statutory Worksheet on the following pages. -2-

114 Exhibit 3M (2013) Housing Rehabilitation Tiered Review Compliance Checklist for the Other Requirements in 24 CFR 58.6 Project Name: City/County of Housing Rehabilitation Program Address: Multiple Addresses within. Activity/Project Description: This must include: 1. The types of rehab activities that are eligible for funding under the program, allowed by the policies i.e. septic tanks, wells, roofs, electrical, siding, windows, landscaping, hazardous tree removal, asbestos tests, reasonable accommodation requests, plumbing, insulation/weatherization, heating systems, hot water heaters, dry rot repairs etc. 2. Identification if the approved housing rehabilitation program policies allow major rehabilitation, if special circumstances are met. 3. The $ of the individual rehab loans to be provided to the homeowners. 4. How many units are planned to be assisted. 5. Everything identified in the statutory checklist that must be addressed within the project description. Section 1. Flood Disaster Protection Act Are funds for acquisition (including equipment) or construction (including repair and rehabilitation) purposes? Is the Activity in an area identified as having special flood hazards (SFHA)? Identify FEMA flood map used to make this determination: Community Name and Number Map panel number and date Yes Continue TO BE DETERMINED ON SITE SPECIFIC BASIS No Proceed to Section 2-Act does not apply TO BE DETERMINED ON SITE SPECIFIC BASIS This section will be documented on a case by case basis, with an individual determination. Is the Community participating in the National Insurance Program (or has less than one year passed since FEMA notification of Special Flood Hazards)? Yes-Document and follow instructions below. No-Federal Assistance may not be used for this project. Flood Insurance under the National Flood Insurance Program must be obtained and maintained for the economic life of the project, in the amount of the total project cost. A copy of the flood insurance policy declaration must be kept on file. -3-

115 Exhibit 3M (2013) Housing Rehabilitation Tiered Review Section 2. Airport Runway Clear Zones (Civil) and Accident Potential Zones (Military) Does the project involve HUD assistance, subsidy or insurance for the purchase or sale of an existing property? Is the project located within 2,500 feet of a civil airport or 15,000 feet of a military airfield? Is the project located within an FAA-designated civilian airport Runway Clear Zone (RCA) or Runway Protection Zone, or within the military Airfield Clear Zone (CZ) or Accident Potential Zone/Approach Protection Zone (APZ), based upon information from the airport or military airfield administrator identifying the boundaries of such zones? Yes Continue Yes Continue Yes Continue No Proceed to Section 3 regulation does not apply. No Document and proceed to Section 3 regulation does not apply. No Document and proceed to Section 3 regulation does not apply. Comply with 24 CFR Part 51, Subpart D. This may include providing a written notice to a prospective buyer or leaser of the potential hazards from airplane accidents and the potential that an airfield operator may wish to purchase the property. Maintain copies of the signed notice. For properties located in a military clear zone, make and document a determination of whether the use of the property is consistent with DOD guidelines. Notice Sample: Section 3. Coastal Barrier Resources Act Section 58.6 also requires compliance with the Coastal Barrier Resources Act. There are no Coastal Barrier Resource Areas in Oregon. Therefore, the Act does not apply. Program name and description: TIER 1- OVERALL PROGRAM REVIEW Target Area Assessment City/County of - Housing Rehabilitation Program. Activity/Project Description: This must include: 1. The types of rehab activities that are eligible for funding under the program, allowed by the policies i.e. septic tanks, wells, roofs, electrical, siding, windows, landscaping, hazardous tree removal, asbestos tests, reasonable accommodation requests, plumbing, insulation/weatherization, heating systems, hot water heaters, dry rot repairs etc. 2. Identification if the approved housing rehabilitation program policies allow major rehabilitation, if special circumstances are met. 3. The $ of the individual rehab loans to be provided to the homeowners. 4. How many units are planned to be assisted. 5. Everything identified in the statutory checklist that must be addressed within the project description. -4-

116 Exhibit 3M (2013) Housing Rehabilitation Tiered Review Definition of Area of Consideration (the geographic area where loans or grants applications will be accepted or funds will be allocated for this program): Attach a composite map showing area of consideration and floodplains. Applications will be accepted within the Cities/Counties of boundaries (see attached map). STATUTORY WORKSHEET Use this worksheet only as part of a Tiered Review Compliance documentation must contain verifiable source documents and relevant base data. HUD Environmental Standards Historic Preservation [36 CFR Part 800] Floodplain Management [24 CFR 55, Executive Order 11988] Wetland Protection [Executive Order 11990] Coastal Zone Management Act [Sections 307(c), (d)] Status A/B B Determination and Compliance Documentation If the housing rehabilitation program allows the alteration, repair or rehabilitation of historic properties this review must be completed on the site specific (Tier 2) review, on a case by case basis, and a B designation will be noted. The ER must also include the required THPO contact documentation. Refer to pages 3-24 to 3-27 of the 2011 GMH. If the housing rehabilitation program does not provide substantial (major) rehabilitation (i.e. rehabilitation of single-family units exceeding 50% of the market value of the structure before rehabilitation) the program can be found exempt from the floodplain requirements in compliance with Executive Order If the housing rehabilitation program DOES provide substantial (major) rehabilitation (i.e. rehabilitation of single-family units exceeding 50% of the market value of the structure before rehabilitation) and the area to be served by the HR project includes a floodplain, the 8-step process must be completed and included with the ER. Refer to pages 3-27 to 3-30 and Exhibit 3 O of the 2011 GMH. Under either circumstance above, an A designation can be achieved and the relevant information must be included in the project description or attached to the ERR. If the area to be served by the HR project includes a federally designated wetland the required 8-step process must be completed and included in the ERR. However, if the written HR program policies do not allow the alteration or expansion of the footprint of ANY existing structure located in the wetland the recipient may not need to complete all 8-steps of the process. This must be documented in the ER. An A designation can be achieved and the relevant information must be included in the project description or attached to the ERR. If the housing rehabilitation program ONLY provides minor rehabilitation (i.e. rehabilitation of single-family units not exceeding 50% of the market value of the structure before rehabilitation) the program as a whole can be found to be in compliance with the Coastal Zone Management Act. An A designation can be achieved and the relevant information must be included in the project description or attached to the ERR. -5-

117 Exhibit 3M (2013) Housing Rehabilitation Tiered Review Sole Source Aquifers [40 CFR 149] Endangered Species Act [50 CFR 402] If the entire area to be served by the HR program does not contain a sole source aquifer, compliance with this requirement can be achieved on an area wide basis. Under this circumstance an A designation can be achieved. If the area to be served by the HR program DOES contain a sole source aquifer and the written HR program policies DO NOT allow funding of septic tanks or private domestic wells compliance with this requirement can be achieved on an area wide basis. Under this circumstance an A designation can be achieved. If the area to be served by the HR program DOES contain a sole source aquifer and the written HR program policies DO allow funding of septic tanks or private domestic wells, and the Responsible Entity makes a determination that the project will not affect Sole Source Aquifer quality an A designation can be achieved. If the area to be served by the HR program DOES contain a sole source aquifer and the written HR program policies DO allow funding of septic tanks or private domestic wells, a the Responsible Entity cannot make a determination that the project will have no affect on the Sole Source Aquifer quality a B designation must be noted and compliance with this requirement must be completed on the site specific (Tier 2) review, on a case by case basis. All the relevant information must be included in the project description or attached to the ERR. This requirement generally applies to new construction, conversion of land use, major rehabilitation of existing buildings and the acquisition of undeveloped land. Most housing rehabilitation projects should not have an impact to sensitive species, unless landscaping or hazardous tree removal etc, is located in a defined riparian zone. If the area to be served by the HR program does not contain (have No Effect) any listed or proposed species and designated or proposed critical habitat (documented by ODFW) and the written HR program policies ONLY allow minor housing rehabilitation and do not allow CDBG funds to be used for new construction, conversion of land use, major rehabilitation or the acquisition of undeveloped land, landscaping or hazardous tree removal and none of the assisted properties will be located in a riparian zone, compliance with the requirement can be achieved and an A designation can be obtained and consultation with the USFWS and/or NOAA Fisheries will not be required. Attach the No Effect checklist to the ERR. If the housing rehabilitation program cannot meet the above criteria compliance with this requirement must be based on the site specific (Tier 2) review, on a case by case basis. Under these circumstances a B designation must be made. All the relevant information must be included in the project description or attached to the ERR. -6-

118 Exhibit 3M (2013) Housing Rehabilitation Tiered Review Wild and Scenic Rivers Act [Sections 7(b), and (c)] Clean Air Act - [Sections 176(c), (d), and 40 CFR 6, 51, 93] Farmland Protection Policy Act [7 CFR 658] All HUD funded projects are subject to these requirements. The environmental review must evaluate the potential for impact to any listed Wild and Scenic River when the housing rehabilitation program service area contains a Wild and Scenic River. This must be documented within the ER, provide a list of all the Wild and Scenic Rivers within the area to be served by the HR program. If the housing rehabilitation program only offers minor rehabilitation (i.e. rehabilitation of single-family units not exceeding 50% of the market value of the structure before rehabilitation) the program as a whole can be found to be in compliance with the Wild and Scenic Rivers Act. An A designation can be achieved. Check the current DEQ listed non-attainment areas. If the funded housing rehabilitation program service area includes any of these areas, this review and determination must be made for the program as a whole. An A designation should be able to be achieved. If the area to be served by HR program does not contain a non-containment area, compliance with the requirement can be made on an area wide basis, and an A designation can be achieved. Attach the written documentation to support the conclusion to ER If the housing rehabilitation program does not convert farmland to non-agricultural purposes the program can be found to be in compliance with the Farmland Protection Act, and an A designation should be able to be achieved. Include information regarding compliance in either the Project Description or attach it to the ERR. Environmental Justice [Executive Order 12898] This regulation ensures that the environment and human health are fairly protected for all people regardless of race, color, national origin or income (minority populations and low-income populations). Generally this Order applies to low-income or minority neighborhoods where the project contains acquisition of existing housing, acquisition of land for development and new construction. If the written CDBG funded housing rehabilitation program policies identify that acquisition of existing housing, acquisition of land for development and new construction are not eligible for assistance under the program and the Responsible Entity determines that since the project is for rehabilitation of existing units and that LMI participants reside in the units therefore there will be no disproportionate impact to minority or low and moderate income persons. This conclusion must be supported within the Project Description. Under this circumstance an A designation can be achieved. -7-

119 Exhibit 3M (2013) Housing Rehabilitation Tiered Review HUD ENVIRONMENTAL STANDARDS Noise Abatement and Control [24 CFR 51B] Explosive and Flammable Operations [24 CFR 51C] Toxic Chemicals and Radioactive Materials [HUD Notice 79-33] Airport Clear Zones and Accident Potential Zones [24 CFR 51D] B B Housing is considered a noise sensitive use, so if the housing rehabilitation program allows for the modernization of housing units (rehabilitation is considered modernization) and the assisted housing unit is located near a potential noise source (rail road, highway, airport, industry, construction site etc.) this review must be completed. Since the exact location of the specific housing units to be assisted with this HR project are not identified, compliance with this requirement must be determined on the site specific (Tier 2) review, on a case by case basis and a B designation will be noted. For explosive and flammable operations, housing rehabilitation of owner occupied single family residential units is not considered to increase residential densities, convert a building for habitation or make a vacant building habitable. Provide a copy of the CDBG HR program policies that restricts the use of CDBG funds to only owner occupied single family residential units. Compliance with this requirement can be achieved on an area wide basis and an A designation can be achieved. Provide information to support this conclusion with the Project Description. If the specific housing rehabilitation unit to be assisted under the HR program has hazardous materials located on or within the property (residential heating oil tanks etc.) contamination, toxic chemicals and gasses (residential propane tanks) and radioactive substances or will is located near (EPA superfund site, landfill, brownfield, underground storage tank clean-up etc.) this review must be completed on the site specific (Tier 2) review, on a case by case basis, and a B designation must be noted. If the written housing rehabilitation program policies prohibit major rehabilitation and only minor rehabilitation is allowed compliance with this requirement can be obtained with an area-wide review, and an A designation can be achieved. However, if the housing units to be assisted with CDBG funds could be located within 2,500 feet of a civil primary and/or commercial airfield, or 15,000 feet of a military airfield and the HR program allows major rehabilitation, this review must be completed on the site specific (Tier 2) review, on a case by case basis, and a B designation must be noted. -8-

120 Exhibit 3M (2013) Housing Rehabilitation Tiered Review Flood Disaster Protection Act Coastal Barrier Resources Act B If a housing unit to be assisted is located within a 100-year flood plain, which will be documented with a FEMA map panel number and date, the Responsible Entity will ensure that the homeowner has proof of flood insurance before improvements are made to the housing unit. This determination must occur on a case by case basis in the Tier 2 site specific review. A B designation must be noted. There are no Coastal Barrier Resource Area s in Oregon. Therefore the Act does not apply and an A designation can be noted. RE s CERTIFYING OFFICER SIGNATURE: CERTIFYING OFFICER NAME, TITLE: DATE: -9-

121 Exhibit 3M (2013) Housing Rehabilitation Tiered Review TIER 3- SITE SPECIFIC REVIEW PROCESS AND FORM City/County of Housing Rehabilitation Program. Policies and Procedures for Site Specific Environmental Reviews City/County of has made the following decisions pertaining to future site specific environmental review projects: NOTE:. If the Tier 1 checklist identifies an A designation for any environmental standard (specialized topic area) and those standards are identified below, those standards can be deleted. If the Tier 1, checklist identifies a B designation for any environmental standard (specialized topic area), that environmental standard must be included in the review procedures/policy for the site specific Tier 2 reviews, below: HISTORIC PROPERTIES Projects will be evaluated on a case-by-case basis. For all projects older than 49 years, the City/County will consult with SHPO to determine if the unit is national register eligible or on the national register. The city/county of will consider SHPO comments and comply with part 36 CFR Part 800 prior to approving any loan or grant under this program. NOISE Projects will be evaluated on a case-by-case basis. Projects located within 1,000 feet of a major highway or roadway, 3,000 feet of a railroad, 5 miles of a civilian airport, or 15 miles of a military airfield, or in proximity to other significant noise sources (such as manufacturing facilities) are in noise exposed areas and will require further review. For these projects, noise attenuation measures will be included, to the extent feasible, as part of the rehab. TOXIC CHEMICALS AND RADIOACTIVE MATERIALS Projects will be evaluated on a case-by-case basis. If it is determined there are hazards that could affect the health and safety of occupants, the city/county of has determined that mitigation of the affected adverse environmental conditions by removing, stabilizing or encapsulating the toxic substances in accordance with the requirements of the appropriate federal, state or local oversight agency will occur, or the project will not be funded. FLOOD DISASTER PROTECTION ACT Projects will be evaluated on a case-by-case basis. It must be determined whether a project is in a 100-year floodplain and source documentation identified by FEMA map panel number and date must be in the file. If a project is located in a 100-year floodplain, evidence must be provided that the homeowner has flood insurance. The City will not provide substantial improvement to homes located in the 100 year flood zone. -10-

122 Exhibit 3M (2013) Housing Rehabilitation Tiered Review Project cannot proceed prior to City/County of notification that environmental review is complete (ROF issued by OBBD-IFA and the site specific review has been signed by the Responsible Entity s Certifying Officer). Building Address: Market Value of House: Estimated Cost of Rehabilitation: Rehabilitation will expand footprint of house: yes no HISTORIC PRESERVATION 1. The unit is less than 49 years old and does not include ground disturbance Yes: STOP here. The Section 106 Historic Preservation review is complete. Provide documentation to show the age of the building and confirmation that there is no ground disturbance. City determines no historic proerties affected. No: PROCEED to #2 2. Consult the State Historic Preservation Officer (SHPO)to determine if project is on or eligible for the National Historic Register. Notify City of ground disturbance and City will contact Tribes. Check determination No Historic Properties Affected Provide letter documenting concurrence of determination from SHPO Provide documentation indicating Tribe was contacted and response or documentation showing that there is no ground disturbance No Historic Properties Adversely Affected Provide letter documenting concurrence of determination from SHPO Provide conditions that will be placed on project Condition(s): Adverse Affect on Historic Properties (City will make determination with SHPO) Provide letter documenting concurrence of determination from SHPO Provide Memorandum of Agreement Condition(s) -11-

123 Exhibit 3M (2013) Housing Rehabilitation Tiered Review NOISE: 1. Is the project located within 1,000 feet of a busy road or highway, 3,000 feet of a railroad, or 15 miles of a civil airport or military airfield? Are there any other potential noise sources in the project vicinity that could produce a noise level above HUD s acceptable range, including but not limited to concert halls, night clubs, event facilities, etc.? No: STOP here. Maintain a map identifying distances from roads, railroads and airports and your project. Record your determination. You do not need to calculate a specific noise level. Yes: PROCEED to #2 2. Determine the actions to take based on the project and HUD Acceptability Standards. For Modernization projects a noise calculation is not required. HUD or RE determines need based on their evaluation of project. Proceed to 3 below. HUD General Acceptability Standards HUD determination Day night average sound level in decibels (db) Acceptable Not exceeding 65 db Normally Unacceptable Above 65 db but not exceeding 75dB Unacceptable Above 75 db + 3. Is the Day-Night average sound level above an acceptable level (based on noise calculation or your analysis of the site using maps or a site visit)? Yes. No. Encourage noise attenuation features in alterations. Record your determination in the ERR. Identify how you are encouraging noise attenuation Record your determination in the ERR -12-

124 Exhibit 3M (2013) Housing Rehabilitation Tiered Review TOXIC/HAZARDOUS/RADIOACTIVE MATERIALS, CONTAMINATION, CHEMICALS OR GASES (24 CFR 58.5(I)(2): 1. Is the property free of hazardous materials, contamination, toxic chemicals and gasses, and radioactive substances, where a hazard could affect the health and safety of occupants? (Special consideration should be given to properties that are located near toxic or solid waste landfill sites, underground storage tanks, or other areas known to contain toxic, hazardous, or radioactive substances.). Yes. Stop here. Provide documentation to evidence determination including inspection reports, pictures, information from or similar sites. No. However the project will be conditioned on measures to mitigate the adverse environmental condition (e.g. shielding, removing or encapsulating the toxic substances) according to the requirements of the appropriate Federal, state or local oversight agency. Provide documentation to show mitigation will address adverse environmental condition. Provide condition(s) that will be placed on project: Condition(s) No. Project cannot be mitigated. PROJECT MUST BE REJECTED. FLOOD INSURANCE Is the project located in a FEMA designated floodway? (Repairs can be funded in floodplains, just not in floodways) You can obtain FEMA FIRM (Flood Insurance Rate Maps) at Yes. Stop here. Federal financial assistance cannot be used in a floodway. Project activity is not eligible. No. Provide FIRM map and FIRM map panel number. Continue -13-

125 Exhibit 3M (2013) Housing Rehabilitation Tiered Review Is the project located in a FEMA designated 100 year floodplain? Visit this site for FIRM Maps: Yes. Project will have to maintain flood insurance on the property Provide FIRM map and FIRM map panel number. Attach copy of flood insurance declaration or condition project Determination: ( ) This project does not require any mitigation for compliance with any statutes or authorities. This project may now be initiated; OR ( ) Approval of this project is conditioned on the following mitigation measures: These conditions must be included in project contracts or other legally binding documents. The project may be initiated subject to compliance with the conditions: Conditions: ( ) The project does not comply with the following policy and will not be funded: CERTIFYING OFFICER NAME/TITLE: DATE: CERTIFYING OFFICER SIGNATURE -14-

126 Exhibit 3N (2013) HR NOI-ROF NOTICE OF INTENT TO REQUEST RELEASE OF FUNDS OWNER OCCUPIED HOUSING REHABILIATION PROGRAM Responsible Entity, City/County) Address Date of Notice Telephone Number City, State, Zip Code On or about, 20 the [City/County] will submit a Request for Release of Funds (RROF) to the Oregon Business Development Department (OBDD) for the release of Community Development Block Grant (CDBG) funds under Title I of the Housing and Community Development Act of 1974 as amended, for its housing rehabilitation program. The purpose of the [City/County s] housing rehabilitation program is to use to perform repair and rehabilitation of existing single-family, owner-occupied units located in [Insert service area description here]. Annually, the program rehabilitates over low-tomoderate-income homes with approximately $ of CDBG funds. Specific locations of individual units to be rehabilitated cannot be determined prior to the completion of the Area- Wide Environmental Review and the RROF. For the housing rehabilitation activities proposed the [City/County] is using a Tiered Environmental Review format and process proposed under HUD Regulations for the National Environmental Policy Act at 24 CFR Part In this first tier, a broad area-wide statutory review of the housing rehabilitation program has identified laws and authorities that we have determined will not be triggered by the location of the rehab program. These laws include: Floodplain Management (24 CFR Part 55 and Executive Order 11988), The Coastal Zone Management Act of 1972, the Wild and Scenic Rivers Act of 1968, The Clean Air Act, The Farmland Protection Policy Act of 1981, The Environmental Justice Executive Order 12898, The Noise Abatement and Control Standard (24 CFR part 51B) and The Explosive and Flammable Operations Standard (24 CFR Part 51C). In the second tier review the [City/County] identified laws and authorities that must be analyzed with site-specific environmental review checklists for each property location. These laws include: Historic Preservation (36 CFR Part 800), Flood Disaster Protection Act of 1973, Wetland Protection (Executive Order 11990), Sole Source Aquifers (The Safe Drinking Water Act, 40 CFR Part 149), The Endangered Species Act (50 CFR Part 402), Airport Clear Zones and Accident Potential Zones (24 CFR Part 51D) and Toxic Chemicals and Radioactive Materials (24 CFR, Part 58.5(i)). An Environmental Review Record (ERR) that documents the environmental determinations for this project, along with a copy of [City/County] policies and processes to be followed for site specific reviews, is on file, and may be examined or copied weekdays, from 8:30 a.m. to 4:30 p.m., at [insert location name, address, phone number and any other way to access information here]. PUBLIC COMMENTS: Any individual, group, or agency may submit written comments on the ERR to the (designated office of the recipient agency). All comments received by (notice date plus seven days, if published; posting date plus ten days if posted or mailed) will be considered by (name of recipient) prior to submission of a request for release of funds. OBJECTIONS TO RELEASE OF FUNDS: OBDD will accept an objections to its approval of the release of funds and the (name of recipient) certification for a period of fifteen days following the anticipated submission date or actual receipt of the request for release of funds (whichever is later) only if they are on one of the following bases: Grant Management Handbook (2013) Exhibit 3N

127 Exhibit 3N (2013) HR NOI-ROF OBDD will accept objections to its Release of Funds only if they are based on one of the following: A. The certification was not executed by the Certifying Officer of (name of recipient) B. (Name of recipient) has omitted a step or failed to make a decision or finding required by HUD regulations at 24 CFR Part 58. C. (Name of recipient) has committed funds or incurred costs not authorized by 24 CFR Part 58 before approval of a release of funds by OBDD. D. Another federal agency acting pursuant to 40 CFR Part 1504 has submitted a written finding that the project is unsatisfactory from the standpoint of environmental quality. Objections must be prepared and submitted in accordance with the required procedure (24 CFR Part 58), and shall be addressed to OBDD at 775 Summer Street NE, Suite 200, Salem, OR Objections to the release of funds on bases other than those stated above will not be considered by OBDD. Potential objectors should contact OBDD to verify the actual last day of the objection period. It is estimated that any objection received after (last day of 15-day State comment period NOTE The15 days is after the anticipated submission of the RROF and complete ERR to OBDD or OBDD s actual receipt of the RROF and complete ERR, whichever is later.) will not be considered by OBDD. Name of Certifying Officer: Title: Address: Exhibit 3N (2013) Community Development Block Grant

128 Exhibit 3O (2013) HR Substantial ERR Incorporating 8-Step Floodplain Process HOUSING REHABILITATION ENVIRONMENTAL REVIEW INCORPOTATING THE 8-STEP FLOODPLAIN PROCESS SUBSTANTIAL REHABILITATION Rehabilitation of single-family units exceeding 50% of the market value of the structure before rehabilitation CDBG Award Grant Contract signed by all parties Complete Determination of Exemption Exhibit 3C for grant administration, environmental and program management activities. County sub-grant to eligible non-profit Start HR environmental tiered review Exhibit 3M Start completing the Statutory Checklist (Categorical Exclusion) for the HR program as a whole. o If the geographical area where the HR program services will be provided includes a 100 year - flood plain the applicant must complete the 8-step process for activities within a flood plain as part of the statutory worksheet. There are two public notices required as part of the 8-step process. o Notice 1 The project proponent must publish the notice attached as Attachment A. The notice must be published once and must allow the collect public comment for a period of 15 days. [Note The applicant may publish this notice with the required first CDBG Public Hearing. It must be obvious that the published notice is accomplishing two tasks: 1) First CDBG Public Hearing and, 2) First Flood Plain Notice. o Notice 2 The project proponent must publish the notice attached as Attachment B. The notice must be published once and must allow public comment for a period of 7 days. Complete documentation to demonstrate 8-step process has been completed. Complete the statutory checklist and obtains proper signatures. Refer to Exhibit 3M-2. o Publish the Notice of Intent to Request Release of Funds (NOI-RROF) Exhibit 3N is either published or posted in accordance with the timelines in Exhibit 3I o Send the entire environmental review record (completed statutory worksheet and all attachments) and the Request for Release of Funds (RROF) Exhibit 3H to OBDD for review. o Upon satisfactory state review, the state issues the Release of Funds (ROF) for the HR program as a whole. Prior to the project proponent completing rehab services for each loan a site specific review must be completed and placed in the loan docket. The site-specific review forms are contained in Exhibit 3M. o It must be determined whether a housing unit is in a 100-year floodplain and source documentation identified by FEMA map panel number and date must be in the file. If a project is located in a 100-year floodplain, evidence must be provided that the homeowner has flood insurance. 1

129 Attachment A Exhibit 3O (2013) HR Substantial ERR Incorporating 8-Step Floodplain Process Sample Notices for Activities in 100-year Floodplain and Wetland Note: These notices may be combined with other notices such as state floodplain or wetland notices so long as it contains the required information. Early Notice and Public Review of a Proposed Activity in a 100-Year Floodplain [ insert city/county recipient name ] To: All interested Agencies [include all Federal, State, and Local], Groups and Individuals This is to give notice that [insert city/county name] has conducted an evaluation as required by [Executive Order and/or 11990], in accordance with HUD regulations at 24 CFR Subpart C Procedures for Making Determinations on Floodplain Management, to determine the potential affect that its activity in the floodplain and wetland will have on the human environment for [Program Name] under [State grant number]. [Describe the activity, e.g. purpose, type of assistance, the size of the site, proposed number of units, size of footprint, type of floodplain, natural values]. [State the total number of acres of floodplains]. The proposed project(s) is located [at addresses] in [Name of City], [Name of County]. There are three primary purposes for this notice. First, people who may be affected by activities in floodplains and those who have an interest in the protection of the natural environment should be given an opportunity to express their concerns and provide information about these areas. Second, an adequate public notice program can be an important public educational tool. The dissemination of information about floodplains can facilitate and enhance Federal efforts to reduce the risks associated with the occupancy and modification of these special areas. Third, as a matter of fairness, when the Federal government determines it will participate in actions taking place in floodplains, it must inform those who may be put at greater or continued risk. Written comments must be received by [insert city/county name] at the following address on or before [month, day, year] [a minimum 15 calendar day comment period will begin the day after the publication and end on the 16th day after the publication]: [insert city/county name], [Address] and [phone number], Attention: [Name of Certifying Officer], [Title], during the hours of 9:00 AM to 5:00 PM. Comments may also be submitted via at [ address]. Date: 2

130 Exhibit 3O (2013) HR Substantial ERR Incorporating 8-Step Floodplain Process Attachment B Final Notice and Public Explanation of a Proposed Activity in a 100-Year Floodplain [ insert city/county recipient name ] To: All interested Agencies [include all Federal, State, and Local], Groups and Individuals This is to give notice that the [insert City/County name] has conducted an evaluation as required by [Executive Order and/or 11990], in accordance with HUD regulations at 24 CFR Subpart C Procedures for Making Determinations on Floodplain Management, to determine the potential affect that its activity in the floodplain and wetland will have on the human environment for [Program Name] under [State grant number]. The proposed project(s) is located [at addresses] in [Name of City], [Name of County]. [Describe the activity, e.g. purpose, type of assistance, the size of the site, proposed number of units, size of footprint, type of floodplain, natural values]. [State the total number of acres of floodplains involved]. The [insert City/County name] has considered the following alternatives and mitigation measures to be taken to minimize adverse impacts and to restore and preserve natural and beneficial values: [and reasons (quantitatively based if possible) for non-selection, (iii) all mitigation measures to be taken to minimize adverse impacts and to restore and preserve natural and beneficial values] [Cite the date of any final or conditional LOMR s or LOMA s from FEMA where applicable] [Acknowledge compliance with state and local floodplain protection procedures] The [insert City/County name] has reevaluated the alternatives to building in the floodplain and has determined that it has no practicable alternative. Environmental files that document compliance with steps 3 through 6 of [Executive Order and/or 11990], are available for public inspection, review and copying upon request at the times and location delineated in the last paragraph of this notice for receipt of comments. This activity will have no significant impact on the environment for the following reasons: [Give reasons why there is no significant impact] There are three primary purposes for this notice. First, people who may be affected by activities in floodplains and those who have an interest in the protection of the natural environment should be given an opportunity to express their concerns and provide information about these areas. Second, an adequate public notice program can be an important public educational tool. The dissemination of information about floodplains can facilitate and enhance Federal efforts to reduce the risks associated with the occupancy and modification of these special areas. Third, as a matter of fairness, when the Federal government determines it will participate in actions taking 3

131 Exhibit 3O (2013) HR Substantial ERR Incorporating 8-Step Floodplain Process place in floodplains, it must inform those who may be put at greater or continued risk. Written comments must be received by the [insert City/County name] at the following address on or before [month, day, year] [a minimum 7 calendar day comment period will begin the day after the publication and end on the 8th day after the publication]: [Name of Administrator], [Address] and [phone number], Attention: [Name of Certifying Officer], [Title], during the hours of 9:00 AM to 5:00 PM. Comments may also be submitted via at [ address]. Date: 4

132 1 U.S. Department of Housing and Urban Development Community Planning and Development Special Attention of: Notice: CPD All Regional Directors All Field Office Directors Issued: June 15, 2012 All CPD Division Directors All Regional Environmental Officers Expires: This Notice is effective until All Responsible Entities amended, superseded, or rescinded. All Housing Directors All PIH Division Directors Cross References: All Program Environmental Clearance Officers SUBJECT: Process for Tribal Consultation in Projects That Are Reviewed Under 24 CFR Part 58 I. Purpose The Environmental Review Procedures for Entities Assuming HUD Environmental Responsibilities, 24 CFR Part 58, outlines the review process for many projects assisted with HUD programs, including those funded through CDBG, HOME, HOPE VI, HOPWA, Emergency Shelter Grants, certain Indian Housing programs, Public Housing Capital Fund, and Economic Development Initiative grants, and certain loans guaranteed by HUD. Part 58 covers many environmental areas, including historic resources. It references the Section 106 review process for historic resources, which requires federal agencies to consult with federallyrecognized Indian tribes on projects that may affect historic properties of religious and cultural significance to tribes. Under Part 58, local, state, or tribal governments become Responsible Entities (REs) and assume the federal agency s environmental review authority and responsibility for projects within their jurisdiction, including those for which they are grantees. The RE must consult with tribes to determine whether a proposed project may adversely affect historic properties of religious and cultural significance, and if so, how the adverse effect could be avoided, minimized or mitigated. This applies to projects on and off tribal lands. This Notice clarifies the steps that REs should follow in the tribal consultation process. Following this protocol ensures compliance with the requirement for certification of tribal consultation on the Request for Release of Funds and Certification (form HUD ). II. Background Section 106 of the National Historic Preservation Act (16 U.S.C. 470f) and its implementing regulations (36 CFR Part 800) direct federal agencies to undertake an open, consultative process to consider the impact of their projects on historic and archeological resources. The review must

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