Compliance Overview Presentation

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

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 

Monica Chevalier/Marcela Vargas NCCDA, New Bern NC May 25- 27, 2011

Section 3 

Economic Opportunities for Low-and Very 

Low-Income Persons 


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 570.607(b). 


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 



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 135.38) 

3. Submitting Section 3 Annual Summary Reports (HUD- 

60002 form) 

4. Keep records of due diligence. Record will be 

monitored 


Section 3 Goals 

1. Meeting the minimum numerical goals set forth at 

24 CFR Part 135.30 

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. 


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 

 

www.hud.gov/offices/fheo/section3/section3.cfm 


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 


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 


Submission of Annual Report 

Annual Report HUD form 60002 

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. 




Monica Chevalier/Marcela Vargas NCCDA, New Bern NC May 25- 27, 2011 

LANGUAGE ACCESS PLAN 

Reaching out individuals who have a 

limited proficiency with the English 

language

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

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 


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 


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. 


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. 


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. 


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. 


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 


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) 


Submission of LAP 

An annual report for the LAP per 

municipality or County will officially take 

place for 2011. 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. 



FAIR HOUSING (FH) 

AND 

ANALYSIS OF IMPEDIMENTS (AI)

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. 

 

1983 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 


Affirmatively Furthering Fair Housing 

24 CFR 570.487 

 

“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” 


Grantee Requirements 24 CFR 570.480-.497 

 

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 27061 

is a sample) 


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 


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.). 


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 


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. 


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 


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 


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. 


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 


Useful Links 

2010 Nat’l FH Policy Conference http://www.edjassociates.com/fheo2010/conference_agenda.asp 

http://www.nap.edu/openbook.php?record_id=10674&page=51 

NC Housing Finance Agency Forms & Pubs: http://www.nchfa.com/Forms/index.aspx 

ADA Information: http://www.ada.gov/publicat.htm 

LEP information: http://www.hud.gov/offices/fheo/promotingfh/lep.cfm#Booklets 

Promoting FH HUD: http://www.hud.gov/offices/fheo/promotingfh.cfm 

Equal Housing logo for notices: http://www.hud.gov/library/bookshelf11/hudgraphics/fheologo.cfm 

FDIC info: http://www.fdic.gov/regulations/laws/rules/2000-6000.html 

FHEO HUD http://portal.hud.gov/portal/page/portal/HUD/program_offices/fair_housing_equal_opp 

NCHRC website : http://www.doa.state.nc.us/hrc/programs.aspx 

From a blog: http://fairhousing.com/ 

FHEO Library HUD: http://www.hud.gov/offices/fheo/library/index.cfm 

FH Act Design Manual http://www.huduser.org/portal/publications/destech/fairhousing.html 

HUD Portal Publications http://www.huduser.org/portal/publications/pdrpubli.html 

US Census http://www.census.gov/ 

EPA EJ Mapper http://epamap14.epa.gov/ejmap/entry.html 

NC FH Act http://www.doa.state.nc.us/hrc/fairhousing.aspx 

NFHA Resources: http://www.nationalfairhousing.org/FairHousingResources/ReportsandResearch/tabid/3917/Default.aspx 

FHEO Laws: http://www.hud.gov/offices/fheo/FHLaws/index.cfm 

http://www.nccommerce.com/en/CommunityServices/CommunityDevelopmentGrants/FormsPublications/CDBG+Implementation+Notebook.ht 

m 

http://www.nccommerce.com/en/CommunityServices/CommunityDevelopmentGrants/CommunityDevelopmentBlockGrants/ConsolidatedPlannin 

gProcess/ 



LABOR STANDARDS

LABOR STANDARDS- 

OBJECTIVES 

OLR Key Objectives, Applicability 

Labor Standards Statues & Regulations 

State and Grantee Responsibilities 

Documents and Reporting 


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 


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. 


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) 


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 1934- Requires certified 

weekly payrolls; Regulates payroll deductions from pay 

Contract Work Hour and Safety Standards Act- 1962- 

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) 


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 


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 

Email to compliance@nccommerce.com 

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 58.22- 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 


Old Form 


New Form 


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 4710- Semi-Annual Labor Report- March and 

September 

• Grantees email this to compliance@nccommerce.com on the 

announced due dates. 


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. 

Email 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 email 

compliance@nccommerce.com with Grantee Name & 

Number, and a statement that the project is Davis- 

Bacon exempt. 


Additional Information 

 

 

 

 

 

 

 

 

Labor Relations Letters 

On-the-Mark! Series 

http://www.hud.gov/offices/olr/library.cfm 

DOL DBRA Homepage 

www.dol.gov/esa/programs/dbra/index.htm 

DOL Regulations www.dol.gov/esa/regs/cfr/whdcfr.htm 

DOL Forms www.dol.gov/libraryforms/ 

GSA’s On-Line Debarment List http://epls.arnet.gov 

Davis-Bacon Wage Decisions www.dol.gov 

HUD Office of Labor Relations www.hud.gov/offices/olr 



ENVIRONMENT REVIEW 

OVERVIEW


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. 

58.5. 



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 


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) 


Level of Environmental 

Review 

Exempt 24 CFR Part 58.34 

Categorically Excluded not subject to 58.5 

Categorically Excluded subject to 58.5 

Environmental Assessment 



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.” 



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 

58.34 (a)(12) and (b)) 

iii. Place all documents in ERR (sign and date) 


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 



ERR-RROF 

Flowchart

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) 


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 

email SHPO one property per email 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. 11988) 

 

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. 11990) 

 

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) 


New Form for CDBG created by SHPO 


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 

email. 

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 14092 

Tel: 716.297.1148 

Copy to: Neil Patterson, Director 

Environmental Program 

2045 Upper Mountain Road, Sanborn, NY 14132 

Tel: 716.609.3810; Email: Npatterson@hetf.org 



REQUEST RELEASE OF 

FUNDS 

RROF

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 

58.13 - Responsibilities of the certifying 

officer.) 

Certain information must be in the notice, 

HUD and CI have sample forms 


Request for Release of Funds 

(RROF) 

 

 

 

 

LAP required element 

Emails are accepted for draft review 

No emails or faxes accepted for final submission 

Some applicable regulations are 

24 CFR 58.21 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 58.45 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 58.70 Notice of intent to request release of funds; 

24 CFR 58.71 Request for release of funds and certification; 

24 CFR 58.72 HUD or State actions on RROFs and certifications 


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

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

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 


Section 504 

24 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 


Questions? 

Please contact compliance@nccommerce.com 

Phone: 919-571-4900 

Monica Chevalier/Marcela Vargas NCCDA, New Bern NC May 25- 27, 

2011

Compliance Overview Presentation

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