COMMUNITY INVESTMENT AND ASSISTANCE (CI) COMPLIANCE OVERVIEW

Transcription

1 COMMUNITY INVESTMENT AND ASSISTANCE (CI) COMPLIANCE OVERVIEW Section 3 Language Access Plan Fair Housing & Analysis of Impediments Labor Standards Environmental Review Request for Release of Funds Equal Employment & Procurement Section 504 Monica Chevalier/Marcela Vargas NCCDA, New Bern NC May 25-27, 2011

2 Purpose of this workshop Update compliance requirements for the non-entitlements, local governments by CI Describe the importance of the compliance requirements Explain the forms and templates required by CI

3 Section 3 Economic Opportunities for Low-and Very Low-Income Persons

4 Section 3 Purpose/ Intent Section 3 of the Housing and Urban Development Act of 1968 [12 U.S.C. 1701u and 24 CFR Part 135] requires that to the greatest extent feasible, economic opportunities generated by HUD financial assistance be given to Section 3 residents and businesses. Recipients certify that they will comply with the requirements of Section 3 annually pursuant to 24 CFR (b).

5 Section 3 Covered programs Projects/activities involving housing construction, rehabilitation, demolition, or other public constructions Applies to the entire covered project or activity regardless of whether the activity was fully or partially funded with covered assistance Apply to recipients funding exceeding an aggregate total of $200,000 Contracts in excess of $100,000 both the recipient and the contractor will implement Section 3 and all requirements associated with Section 3

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7 Recipient Responsibilities 1. Notify Section 3 residents and business concerns about training, employment, and contracting opportunities generated by Section 3 covered assistance 2. Incorporating the Section 3 Clause into all covered solicitations and contracts (24 CFR ) 3. Submitting Section 3 Annual Summary Reports (HUD form) 4. Keep records of due diligence. Record will be monitored

8 Section 3 Goals 1. Meeting the minimum numerical goals set forth at 24 CFR Part a) 30% percent of the aggregate number of new hires shall be Section 3 residents; b) 10% percent of the total dollar amount of all covered construction contracts shall be awarded to Section 3 business concerns; and c) 3% percent of the total dollar amount of all covered non-construction contracts shall be awarded to Section 3 business concerns.

9 Examples of Effective Outreach Placing posters about jobs in community Working with PHAs Section 3 Coordinators Sending the information to CI Section 3 Coordinator Working with local ESCs Placing ads in newspaper read by potential Section 3 qualified persons

10 Coordinating with CI CI also has set up a database of Section 3 Coordinators, Residents and Businesses. To coordinate with CI, grantees should send in the bid documentation so we can send out the information to those registered people within our database. This information can be sent to compliance@nccommerce.com

11 Submission of Section 3 plan Section 3 Plan: Grantees must submit formal, written Section 3 Plan procedures to CI by the due date in the Grant Agreement. Adopted by Board/Signed by CEO- follow Citizen s Participation Plan CI will issue a letter of approval after the plan has been reviewed, extensions are possible If the document is indicated as grant number specific, then it will be effective for the life of that grant

12 Submission of Annual Report Annual Report HUD form This report should be submitted as a PDF to compliance@nccommerce.com One hard copy should be sent along with the Annual Performance Report (APR) hard copy, for CI file records.

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15 LANGUAGE ACCESS PLAN Reaching out individuals who have a limited proficiency with the English language

16 Title VI The Civil Rights Act of 1964, as amended, and its implementing regulations provide that no person shall be subject to discrimination on the basis of race, color or national origin under any program or activity that receives Federal financial assistance. Section 601 of Title VI of the Civil Rights Act of 1964, 42 U.S.C. 2000d national origin = individuals who have a limited proficiency with the English language and their primary language is not English. limited English proficiency or LEP. Monica Chevalier/Marcela Vargas NCCDA, New Bern NC May 25-27, 2011

17 Coverage of Title VI HUD Regulations 24 CFR Part 1 Prohibited actions 24 CFR 1.4 Denials Differences in treatment Limits on services and facilities Subjected to discrimination

18 Recipient Responsibilities As recipient of federal financial assistance, grantees have a commitment to reduce language barriers that can prevent meaningful access by LEP persons to important government program, services, and activities. Title VI implementation require that recipients take responsible steps to ensure significant access by LEP persons to federal financial assistance programs Keep records of due diligence. These records will be monitored

19 How is Language Access Determined Four Factor Analysis The number or proportion of LEP individuals served or encountered in the eligible service population. (Census data and HUD s prescribed method in determining thresholds) The frequency with which LEP individuals come in contact with your program, activity or service. The nature and importance of the program, activity, or service. Available resources and cost.

20 What will be required for LAP? Applicants are recommended to submit a language access plan using the template from CI. (template is under revision) Hang up LAP signs, be prepared to provide assistance to persons with Limited English Proficiency. The plan will be submitted for municipalities and/or County. The cities/towns can adopt the county LAP. The plan will address the LAP policy, translation of vital documents, and requirements for citizen participation. Grant Representatives will monitor for compliance for Title VI. Compliance Office may conduct compliance reviews as needed to address issues Please note that the 5% or 1,000 or more persons threshold is for written translation of vital documents.

21 LAP Compliance Vital Documents Vital documents are those that are critical for ensuring meaningful access by beneficiaries or potential beneficiaries generally and LEP persons specifically.

22 New Requirement for Publishing and Posting Notices Request for Release of Funds, Public Hearing, Notices for Citizen Participation, Public outreach If Posting, we recommend to post the full document in both English and Spanish, but must include the phrasing the same as publishing. If Publishing, must include a clause at the end of the publishing that states that the information in the published ad is available in Spanish and other languages upon request, with contact information.

23 Publishing Requirements Include both phrases at the end This information is available in Spanish or any other language upon request. Please contact (Insert Name) at (Insert Phone Number) or at (Insert physical location) for accommodations for this request. Esta información está disponible en español o en cualquier otro idioma bajo petición. Por favor, póngase en contacto con (Insert Name) al (Insert Phone Number) o en (Insert physical location) de alojamiento para esta solicitud. **Please note the address itself should not be translated

24 Submission of LAP Grantees should submit formal, written Language Access Plan, one original signed copy, by the due date in the Grant Agreement (extensions are possible) Adopted by Board/Signed by CEO- follow Citizen s Participation Plan Submit the Plan for review with a letter that indicates what program area that the plan will be effective for i.e. CDBG, CDBG-R, or NSP After the plan has been reviewed, CI will issue a letter of acknowledgement with additional resources The plan will be effective for a two year period. (this is being revisited)

25 Submission of LAP An annual report for the LAP per municipality or County will officially take place for The purpose of the report is to keep track of the number of LEP assisted and how. This report will be part of the Community Investment and Assistance Consolidated Annual Performance and Evaluation Report (CAPER) to HUD. The forms will be completed by the Title VI Coordinator designated on the adopted LAP.

26 FAIR HOUSING (FH) AND ANALYSIS OF IMPEDIMENTS (AI)

27 Fair Housing Purpose Civil Rights Act of 1964, as amended Title VIII of Civil Rights Act of 1968, as amended prohibited discrimination concerning the sale, rental, and financing of housing based on race, religion, national origin, sex, (and as amended) handicap and family status Housing and Community Development Act, as amended- recipients certify prior to receiving CDBG funds that they will implement activities that will affirmatively further fair housing N. C. Fair Housing Law, as amended - Chapter 41A of the General Statutes of North Carolina

28 Affirmatively Furthering Fair Housing 24 CFR The Act requires the state to certify to the satisfaction of HUD that it will affirmatively further fair housing. The act also requires each unit of general local government to certify that it will affirmatively further fair housing. The certification that the State will affirmatively further fair housing shall specifically require the State to assume the responsibility of fair housing planning by: (1) Conducting an analysis to identify impediments to fair housing choice within the State; (2) Taking appropriate actions to overcome the effects of any impediments identified through that analysis; (3) Maintaining records reflecting the analysis and actions in this regard; and (4) Assuring that units of local government funded by the State comply with their certifications

29 Grantee Requirements 24 CFR Keep records & supporting documentation of all CDBGfunded activities for at least 5 years from grant closeout A full description of each activity being carried out in whole or part with CDBG funds, including the nature & purpose of activity, location (if applicable), and amount of CDBG funds budgeted, obligated, and expended for the activity. Records must be kept by race, ethnicity, handicapped status, gender, characteristics of persons who are applicants for, participants, or beneficiaries of the program and services provided to the area. Also documentation of the affirmative actions the local governments has taken to overcome effects of prior discrimination (HUD form is a sample)

30 Best Practices Option of 5 years of activities in AI OR option of fair housing activities for the life of the grant Cities/towns can adopt the county AI as long as the county AI is active, received by CI, addresses the impediments of locality, and the conduct the same activities to address the impediments Partnerships and collaboration are encouraged. Consortiums are accepted. Required activities: At least one workshop 1st activity must be adopting the FHP/ordinance/complaint procedure and/or publishing in the local paper

31 FHP- examples of activities Educational Activities Inform and educate citizens, housing related industries, and/or be incorporated into formal educational institutions (high schools), regarding fair housing issues. Activities under this component can include: Public announcements sent to the local media. Pamphlets to be disseminated to the general public Dissemination of posters to citizens organizations to be displayed. (Community Action Agencies, Senior Citizen s Groups, Handicapped Groups and Civil Rights Groups, etc.).

32 FHP- examples of activities Evaluation & Enforcement of laws FH audits, Conduct a local audit of the local rental market, local housing sales Advocacy for the protected classes Evaluate local policy of zoning, building code, housing & economic integration Adopt local fair housing ordinance, appoint an officer, system to refer to NCHRC Adopt marketing strategies to have EHO logo on all community correspondence Distribute FH posters, brochures, complaint procedure Allocate/reorganize local revenue/resources for improvements in minority concentration areas Evaluate local public housing authority, mobility of Section 8 recipients Meet with local apartment managers, lending institutions Evaluate concentration/location of environmental hazards

33 The Fair Housing Plan (FHP) Every grantee needs to- Certify that they will affirmatively further fair housing Conduct activities at the local level to AFFH for the life of the grant Have a complaint procedure/process Maintain records Submit this plan to CI to approval Be prepared to compile this data into their APR CI must have on file the same approved plan that the local government is using. If there are any changes in activities, CI must be notified.

34 The purpose of an AI Serves and the basis for the Fair Housing Plan (FHP) Provides information to policy makers, administration, housing providers, lenders, and FH advocates Assists in building support for FH efforts within the jurisdiction and beyond

35 AI- the breakdown Recommended AI outline from HUD Fair Housing Guide Cover page: Jurisdiction Name, Date Completed/Date(s) Updated, Completed by I. Introduction and Executive Summary of the Analysis Who Conducted Participants Methodology Used How Funded Conclusions Impediments Found Actions To Address Impediments II. Jurisdictional Background Data III. Evaluation of Jurisdiction s Current Fair Housing Legal Status IV. Identification of Impediments to Fair Housing Choice V. Assessment of Current Public and Private Fair Housing Programs And Activities in the Jurisdiction VI. Conclusions and Recommendations VII. Signature Page: CEO dated signature

36 Submitting of Plans to CI Deadline in Grant Agreement for, for either FH or AI: 120 days. Extensions can be requested & granted, but after those extensions, admin funds can be frozen. Electronic and faxed submissions are accepted for draft/initial review, but originals (dated signatures from the Chief Elected Official) must be submitted to CI Plans are submitted by local government and not by grant number. Needed for any open grants for the grantee. Must use the template provided for FHP. The HUD AI outline is recommended.

37 Submitting of Plans to CI Grantees with >10,000 persons must conduct AI Submit to CI every 5 years Recommended to follow the HUD outline Grantee specific- not grant number specific It is encouraged to combine resources in conducting the AI. AIs from consortiums are allowed. Document, document, document

38 Useful Links 2010 Nat l FH Policy Conference NC Housing Finance Agency Forms & Pubs: ADA Information: LEP information: Promoting FH HUD: Equal Housing logo for notices: FDIC info: FHEO HUD NCHRC website : From a blog: FHEO Library HUD: FH Act Design Manual HUD Portal Publications US Census EPA EJ Mapper NC FH Act NFHA Resources: FHEO Laws: m gprocess/

39 LABOR STANDARDS

40 LABOR STANDARDS- OBJECTIVES OLR Key Objectives, Applicability Labor Standards Statues & Regulations State and Grantee Responsibilities Documents and Reporting

41 OLR - The HUD Office of Labor Relations Projects funded in whole or part by HUD- ensure that construction and maintenance workers (laborers & mechanics) working on projects subject to federal prevailing wage requirements are paid properly. HUD directly administers/enforces federal labor standards for multifamily HUD-insured projects across the U.S. Local and state agencies administer and enforce federal labor standards. HUD OLR is responsible for monitoring the local and state agencies to ensure compliance and effectiveness of oversight/management

42 Office of Labor Relations/State Key Objectives Apply Davis-Bacon requirements properly. Through education and advice, support contractor compliance with labor standards. Monitor grantee/contractor performance. Investigate probable violations and complaints of underpayment. Pursue debarment and other available sanctions against repeat labor standards violators.

43 Community Development Applicability All laborers and mechanics employed... on construction work financed in whole or in part... shall be paid [prevailing wage rates]. - Section 110a of the HCDA of 1974 CDBG- R- Davis-Bacon applicable in same manner as CDBG program contracts- Section 1205, Supplemental Appropriations Act of 2009 Construction work over $2,000 Unit thresholds may also apply (8+ continuous residential units)

44 KEY STATUTES & REGULATIONS Davis-Bacon Act (DBA) of 1931, as amended- Federal construction contracts over $2,000; Site-based - applies to all laborers & mechanics; Requires weekly payment of wages > prevailing wage rates Copeland Act (Anti-Kickback Act) of Requires certified weekly payrolls; Regulates payroll deductions from pay Contract Work Hour and Safety Standards Act Overtime for all work > 40 hrs/week; Applies to contracts over $100,000; Liquidated damages for violations Related Acts- 29 CFR - Especially parts Part 1,3,5,6,7 Housing and Community Development Act of 1974, Sec. 110a (CDBG) American Reinvestment & Recovery Act of 2009, Section 1606 (ARRA)

45 Grantee Responsibilities Certify compliance with requirements Designate appropriate staff Ensure bid documents, contracts, subcontracts contain federal labor provisions and applicable wage decision Conduct on-site inspections including interviews with laborers and mechanics Ensure submission of certified weekly payrolls Conduct on-site interviews Check payrolls/related records Ensure correction of underpayments Prepare / submit required reports Maintain records for monitoring

46 Documents- Wage Decision CI does not allow grantees to self-certify wage decisions Grant Administrator (not the engineer) requests from Compliance using the prescribed form Cannot be requested until after RROF to Response includes further instructions and posters Incorporate into bid package and contracts Must be posted at project site in highly visible location Labor provisions- Incorporate in every contract; identifies contractor responsibilities, reporting, documentary requirements, remedies for noncompliance 24 CFR Limitations on activities pending clearancecannot commit HUD funds or non-hud funds on activities that may have an adverse environmental impact or be a choicelimiting action until RROF is complete and approved

47 Old Form

48 New Form

49 Documents- CI Requirements Grantees conduct preconstruction meeting and submit that documentation. Labor Standards, Section 3, and Language Access are elements in this meeting. Weekly Payroll Form WH-347 is the preferred form. If this form is not used, the form that is used needs to have all the same information on it. HUD Form 11- Employee Interview HUD Form Semi-Annual Labor Report- March and September Grantees this to on the announced due dates.

50 Semi-Annual Labor Report (HUD 4710) Category A Davis-Bacon applicable contract was signed between dates specified (i.e.-october 1 to March 31) A Davis-Bacon applicable contract was signed in a previous reporting period and the wage decision lock-in date has been previously reported. The project is Davis-Bacon applicable but contracts have not been awarded yet. What to Complete Page 1 and 2 must be completed. Page 1 top portion is needed only and not contract or wage information. Page 2 must be completed every 6 months. compliance@nccommerce.com with Grantee Name & Number, and a statement that no Davis- Bacon contracts have been awarded yet. The project is not Davis-Bacon applicable. If you choose to respond, you can compliance@nccommerce.com with Grantee Name & Number, and a statement that the project is Davis- Bacon exempt.

51 Additional Information Labor Relations Letters On-the-Mark! Series DOL DBRA Homepage DOL Regulations DOL Forms GSA s On-Line Debarment List Davis-Bacon Wage Decisions HUD Office of Labor Relations

52 ENVIRONMENT REVIEW OVERVIEW

53 Environmental Review purpose 24 CFR 58.10: Basic environmental responsibility: In accordance with the provisions of law cited in Sec. 58.1(b), the responsible entity must assume the environmental responsibilities for projects under programs cited in Sec. 58.1(b), and in doing so must comply with the provisions of NEPA and the CEQ regulations contained in 40 CFR parts 1500 through 1508, including the requirements set forth in this part. This includes responsibility for compliance with the applicable provisions and requirements of the Federal laws and authorities specified in Sec

54 Environmental Review purpose Maintain a decent, safe and sanitary environment Projects federally funded Requires compliance with NEPA (Federal Environmental Policy): Protect, Restore and Enhance the Human Environment 24 CFR Part 58.5: Historic Preservation Floodplain &wetlands Coastal Zone Aquifers Endangered Species Rivers Air Farmlands HUD Environmental Standards Environmental Justice 24 CFR Part 58.6: Flood Insurance Coastal Barrier Airport Clear Zone (insurance) 24 CFR Part 51: Noise Thermal & Explosive Hazards Airport Clear Zones (noise) 24 CFR Part 50: Toxics

55 Fundamentals An Environmental Review is a study of the site The Finding of No Significant Impact (FONSI) cannot be made until you complete the Environmental Review Record (24 CFR 58.38) Funds cannot be committed prior to the completion of environmental process (24 CFR 58.22) The physical activities cannot begin until the Environmental Review process is complete (24 CFR 58.22) Environmental Reviews requires compliance with NEPA (Federal Environmental Policy Act) (24 CFR 58.10)

56 Level of Environmental Review Exempt 24 CFR Part Categorically Excluded not subject to 58.5 Categorically Excluded subject to 58.5 Environmental Assessment

57 Level of Environmental Review Exempt activities [58.34(a)] Per 24 CFR 58.34(b)- A recipient does not have to submit an RROF and certification, and no further approval from HUD or the State will be needed by the recipient for the drawdown of funds to carry out exempt activities and projects. Categorically Excluded activities not subject to 58.5 [58.35(b)] When the following kinds of activities are undertaken, the responsible entity does not have to publish a NOI/RROF or execute a certification and the recipient does not have to submit a RROF to HUD (or the State) except in the circumstances described in paragraph (c) of this section.

58 Level of Environmental Review Categorically Excluded subject to 58.5: If compliance is triggered: i. Publish/ Post NOI/RROF (7-10 days) ii. Send RROF to CI for approval iii. Wait CI comment period (15 days) If compliance is not triggered: i. Project reverts to Exempt ii. Document determination in writing (24 CFR (a)(12) and (b)) iii. Place all documents in ERR (sign and date)

59 Level of Environmental Review Environmental Assessment 24 CFR 58.36: Greater potential for Impact Always require a FONSI and RROF Determine if EIS is required Requires study of alternatives Per 19L CI may submit the ERR to the State Clearinghouse for intergovernmental review

60 ERR-RROF Flowchart

61 Submission of Environmental Review CI is revisiting the ERR template FONSI is determined after completion of the ERR, the dated signature of the certifying officer of the responsible entity. (24 CFR 58.40) The ERR is a public document, should be selfexplanatory and well-documented. Source documentation must be from qualified data sources (24 CFR 50.3) If the project is amended, then the ERR needs reevaluation to reaffirm the FONSI (24 CFR 58.47) Can use ERRS from other federal agencies as source documentation, but cannot use it as the CDBG ERR (24 CFR 58.52, 58.53) HUD is the only federal agency that has delegated authority to the State of the ERR process (24 CFR 58.4)

62 Update Historic Preservation: 50 years old criteria is a benchmark, could be historic preservation less than 50 years. New form for grantees from SHPO- reformatted for ease, can now SHPO one property per Environmental.Review@ncdcr.gov up to 10 MB. Cultural Preservation: New tribe to be consulted for NC! Flood Plain Alternatives: New site, redesign existing site, obtain LOMA or LOMR (letter from FEMA stating that an existing structure or parcel of land that has not been elevated by fill (natural grade) would not be inundated by the base flood), restrictive covenant on the property deed (24 CFR 55.12c6), conduct 8-step process to study alternatives. This must be done before FONSI is made, which cannot be made until complete the ERR. (24 CFR Part 55; E.O ) Wetlands: Requires Federal Agencies to avoid assistance for new construction in Wetlands unless: 8-steps process completed, there is no alternative, minimize harm to wetland, consider economic & environmental impact. Review jurisdictional and nonjurisdictional waters. (E. O ) Coastal Zone Management Act- In general, anything more then just single-family rehabilitation in the 20 CAMA counties will need a consistency review. DCM recommends doing this through the Clearinghouse process (CZMA of 1972, as amended)

63 New Form for CDBG created by SHPO

64 Tuscarora Nation of New York, NY The following counties in North Carolina: Beaufort, Bertie, Craven, Edgecombe, Greene, Halifax, Johnston, Jones, Lenoir, Nash, Northampton, Pitt, Wayne and Wilson. The Tuscarora Nation of New York wants to be consulted as a consulting party for projects that require soil disturbance. Chief Henry Leo must be contacted by letter; Neil Patterson can be copied via . Changing address in July/August of 2011 Tuscarora Nation of New York, NY Tuscarora Reservation Attention: Chief Leo Henry, 2006 Mt. Hope Road, Lewiston, New York Tel: Copy to: Neil Patterson, Director Environmental Program 2045 Upper Mountain Road, Sanborn, NY Tel: ; Npatterson@hetf.org

65 REQUEST RELEASE OF FUNDS RROF

66 Information in the Notice Importance of FONSI/RROF- Certifying Officer represents the responsible entity and is subject to jurisdiction in federal court. A responsible entity's certifying officer is the ``responsible Federal official' in section 102 of NEPA (24 CFR Responsibilities of the certifying officer.) Certain information must be in the notice, HUD and CI have sample forms

67 Request for Release of Funds (RROF) LAP required element s are accepted for draft review No s or faxes accepted for final submission Some applicable regulations are 24 CFR Time periods; All time periods in this part shall be counted in calendar days. The first day of a time period begins at 12:01 a.m. local time on the day following the publication or the mailing and posting date of the notice which initiates the time period 24 CFR 58.43: Dissemination and/or publication of the findings of no significant impact; 24 CFR Public comment periods; (a) Notice of finding of no significant impact: 15 days from date of publication or if no publication, 18 days from the date of mailing and posting. (b) Notice of intent to request release of funds: 7 days from date of publication or if no publication, 10 days from date of mailing and posting. (c) Concurrent or combined notices: Same as FONSI notice. 24 CFR Notice of intent to request release of funds; 24 CFR Request for release of funds and certification; 24 CFR HUD or State actions on RROFs and certifications

68 RROF Posting If Posting, recommended to translate the whole document if you have the capacity, but if not, then the publishing required phrase element applies. 10 days for combined NOI/RROF; 18 days for FONSI/RROF Documentation to submit to CI needed: Cover letter original dated signature of Chief Elected Official describing at least 3 public locations where posting Hardcopy of posting(s) Hardcopy of RROF and Certification form with original signature & date CI gets 15 day comment period

69 RROF Publishing If Publishing, then LAP requirement phrase element applies. 7 days for NOI/RROF; 15 days for FONSI/RROF Documentation submit to CI: Cover letter original dated signature of Chief Elected Official Original hardcopy affidavits with newspaper clipping Hardcopy of RROF and Certification Form with original signature & date CI gets 15 day comment period

70 Equal Opportunity and Procurement Multiple Federal and State regulations, Executive Orders EEO&P Plan: Grantees must submit formal, written Equal Employment and Opportunity and Procurement Plan procedures to CI by the due date in the Grant Agreement. Adopted by Board/Signed by CEO- follow Citizen s Participation Plan CI will issue a letter of approval after the plan has been reviewed, extensions are possible If the document is indicated as grant number specific, then it will be effective for the life of that grant

71 Section CFR Part 8 Self-Evaluation Survey: Complete the survey and submit to CI by the due date in the Grant Agreement. CI will issue a letter of approval after the plan has been reviewed, extensions are possible If the document is indicated as grant number specific, then it will be effective for the life of grant CI is reevaluating the current survey for updates

72 Questions? Please contact Phone: Monica Chevalier/Marcela Vargas NCCDA, New Bern NC May 25-27, 2011