Project Administration

The State of Kentucky requires that individuals who administer CDBG funds be officially certified by GOLD as a CDBG administrator. GRADD currently has five certified CDBG administrators on staff.

The process of administering a CDBG grant begins with an approved application for CDBG funding following GOLD's Community Development Guidelines. GOLD then uses funding criteria to determine if the grantee will or will not be funded. If a community is not selected to receive a grant, GOLD will send a letter of non-selection to the community. If a community is selected to receive a grant, GOLD sends a preliminary approval letter to the community. The steps in the process for those communities that are approved for grants are discussed in this section. If there are anyquestions about the list of materials, the grantee should contact GOLD at once since delays in submitting these materials will delay program implementation.

The following is a list of administration requirements for each CDBG that the administrators ensure completion on for each community:

APPLICATION

• Pre-Submission Application
• Application
• Clearinghouse Comments
• Amendments and revisions to the application
• Correspondence about application
• LMI Surveys
• Random Sample Methodology
• Progress Meetings/Minutes

GRANT AGREEMENT

• Preliminary Approval Letter
• Grant Agreement
• Request for approval of Evidentiary Materials and Release of Funds for and documentation
• Notice of approval of Evidentiary Materials and Release of Funds
• Records/Correspondence concerning Evidentiary Materials
• Amendments and Documentation
• Cost overrun resolution
• Written Assurance Letter

CITIZEN PARTICIPATION

• 1 st public hearing
• 2 nd public hearing
• Grievance Procedure
• Complaints and resolution documentation
• Resolution adopting grievance procedure

ENVIRONMENTAL REVIEW RECORD

• Environmental Assessment
• Copy of Notice of Finding of No Significant Impact on the Environment published in the local newspaper (tear sheet) (FONSI) or Concurrent Notice
• Environmental Certification
• Request for Approval of Evidentiary Materials and Release of Funds
• Historic Preservation Notice and Approval (Clearinghouse)
• Comments received and city/county responses
• Early Public Notice (tear sheet), if applicable
• Notice of Explanation (tear sheet), if applicable
• Notice of Intent to request release of funds (tear sheet) or Concurrent Notice
• Appoint an Environmental Certifying Officer
• Evidence that a Copy of Notice of Intent to Request Release of Funds was sent to the list of agencies in the Administrative Manual.
• Notice of Environmental Assessment Availability

FINANCIAL MANAGEMENT

• Authorized Signature Form
• Direct Electronic Transfer of Funds form
• Requests for Payment
• Record of commitment of other funds
• Source documentation (approved invoices, payrolls, contracts, etc.)
• Canceled checks, deposit slips, bank statements, etc.
• Federally insured, non-interest bearing account
• County or City of Budget showing CDBG funding
• Cash control ledger
• Draw Request Ledger
• Legally Binding Agreement (ED Projects)
• Loan Mortgage Agreement (ED Projects)

AUDIT

• Professional Services Agreement with independent CPA
• Annual Audits
• Documentation that all audit exceptions have been cleared

PROGRAM INCOME/MISCELLANEOUS REVENUE

• Revolving Fund Policy and Approval
• Approval of Use Requests
• Program Income/Miscellaneous Revenue Report

PROCUREMENT

• Procurement Code
• Professional Services Contract Procurement (attorney, accounting, etc)
• Construction Contracts Procurement (Advertisement for Bid tear sheet)
• Procurement code resolution
• Listing where Ad. For Bids was sent
• Ad. For Bids must include Section 3, segregated facilities, Section 109, E. O. 11246, and Title VI language
• Contract/Subcontract activity report
• MBE/WBE listing
• Section 3 Plan
• Section 3 Good Faith Efforts
• Resolution adopting Section 3 plan
• Copy of Personnel Policies for the applicant
• MBE/WBE Efforts--Mail memos to the MBE/WBE listing soliciting Ad. For bids
• Evidence that Ad. For Bids was sent to MBE/WBE Department @ ED Cabinet—refer to the handbook
• Bid tabulation
• Copies of all bids received
• Signed minutes of the bid opening indicating the apparent low bidder
• Evidence of other Solicitation of MBE/WBE contractors/subcontractors and employees
• Construction Bid Package w/ Addendums, if any
• Document Reasonableness of cost for the ADD contract

CONTRACTS

• Sub Contracts (if applicable)
• Engineer/Architect Professional Contract (if applicable)
• GRADD Professional Contract
• Construction Contract—fully executed
• Attorney Certification
• Bonds
• Contracts must include CDBG language
• Subrecipient Agreement (if applicable)
• Resolution Authorizing the Judge to award all contracts
• Notice of Contract Award and Preconstruction conference notice
• Preconstruction conference minutes
• Give contractor site posters
• Preconstruction conference sign-in
• Contractor’s signature on preconstruction conference checklist
• Change orders, if applicable

LABOR STANDARDS

• Wage decisions—include in construction contract
• Weekly payrolls
• Payroll deduction authorizations
• Employee interview affidavits
• 10hr/4 day week waivers, if applicable
• 9 day call
• Authorization for payroll clerk to sign weekly payrolls, if applicable
• Notice of Start of Construction
• Notice to Proceed
• Contractor Employee Breakdown

ACQUISITION

• Acquisition documentation system chart
• Property acquisition file for each property acquired
• Urban renewal plan
• Statement of Qualification of appraisers
• Kentucky appraisal certificate
• Appraisal contracts
• Donations/Waiver of Rights and Benefits of the Uniform Act
• Voluntary Acquisition Public Solicitations
• Annual report on Relocation and Real Property Acquisition Activities
• Acquisition Log of Contracts

RELOCATION

• Residential anti-displacement and Relocation assistance plan
• One for one replacements summary grantee performance report
• Relocation file for each displaced household

HOUSING REHABILITATION

• Rehabilitation Guidelines
• Rehabilitation Household Survey
• Rehabilitation Contract File for each job

CIVIL RIGHTS

• Project Benefit Profile and documentation
• Local Government Employment Records showing sex, race salary, date hired, job classification, and minority status
• Employment affirmative action plan
• Fair housing ordinance
• Documentation of all actions taken to achieve fair housing in the community
• Post Fair Housing Poster at the Courthouse or City Hall
• Section 504
• 504 Grievance Procedure (tear sheet showing publication)
• 504 Self-Evaluation
• 504 Transition Plan
• 504 checklist
• Title VI Plan
• Title VI Self-Survey
• Drug Free Workplace
• Drug Free Resolution
• Drug Free Certification
• Copy of Impediments to Fair Housing
• List of Persons at the ADD who have attended CDBG training
• Resolution adopting fair housing policy
• Documentation of all meetings w/ community

COMPLIANCE ASSISTANCE REVIEW/TECHICAL ASSISTANCE

• State letters of Findings/Recommendations
• Grantee Response to letter of Findings
• State Response to Clearance of findings
• Other correspondence related to compliance assistance reviews and technical assistance visits

PROJECT CLOSEOUT

• Program Completion Report
• Certificate of Completion and evidence of disposition of third party claims

Closeout agreement