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(Adopted September 16, 2014)

(Updated November 18, 2014)

Department of Library & Community Services

T:\Departments\Library\Community Services\CDBG\POLICIES AND PROCEDURES\CDBG Compliance Policy

Manual\FINAL CDBG Compliance Policy Manual + Appendix A.doc

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T:\Departments\Library\Community Services\CDBG\POLICIES AND PROCEDURES\CDBG Compliance Policy Manual\FINAL CDBG Compliance Policy Manual + Appendix A.doc



Key Definitions

1. Low & Moderate Income (LMI) Benefit

2. Slum & Blight Removal

3. Urgent Need

Categorical Limits

Program Income

Program Income Defined

Cost Principles

Cost Allocation

Indirect Costs – State and Local Governments

Indirect Costs - Nonprofits

Standards for Financial Management Systems

Accounting Records

Environmental Review Procedures

Faith-Based Activities

Report Submission Requirements

Location of Activities

Conflict of Interest

Operating Problems and Non-Compliance

Notification of Illegal Acts or Irregularities


Program Oversight

Annual Allocation of CDBG Funding

Subrecipient Allocation Process

Agreement/Memorandum of Understanding

Statement/Scope of Work

Report Submissions

Examination of Records/Monitoring

T:\Departments\Library\Community Services\CDBG\POLICIES AND PROCEDURES\CDBG Compliance Policy Manual\FINAL CDBG Compliance Policy Manual + Appendix A.doc Procurement

Local Categorical Limits

Program Administration

Economic Development

Program Income

Drawdown Procedures

Audit Requirements

Financial Management Systems

Payment Requests

Consolidated Plan Submission

Analysis of Impediments to Fair Housing Choice

Change of Use



Suspension/Probation and Termination

CDBG Collection Procedures

City of Hayward Operated Programs

–  –  –

This section provides definitions of key CDBG topics and terms.

The Act: The Housing and Community Development Act of 1974 makes funds available to qualified cities to develop of viable urban communities, by providing decent housing and a suitable living environment and expanding economic opportunities.

Action Plan: An annual plan that outlines proposed housing and community development objectives, activities, and budget in the City of Hayward. The plan includes information regarding federal, state, and local funding resources, a description of each activity to be implemented, and other actions that the City will take to address barriers to affordable housing, support anti-poverty strategies, and facilitate fair housing.

Adjusted Award: Amount of CDBG funds available to subrecipients after City Programs, administration, fair housing, and audit allocations are deducted Administrative Cap: A maximum of 20 percent of the sum of the entitlement grant plus program income that is received during the program year may be spent on planning and administration costs.

Alameda County HOME Consortium: A consortium of all Cities in Alameda County, except for the Cities of Oakland and Berkeley, that directly receives HOME Investment Partnership Program (HOME) funds from HUD to expand the supply of decent, safe, sanitary, and affordable housing for very-low and low-income households.

Application Review Committee (ARC): A subcommittee of the Community Services Commission formed to interview applicants and make preliminary funding recommendations.

Capacity Building: Activities that build the capacity of the CDBG program, Sub-recipients, and program delivery to low income Hayward residents. Capacity building activities are subject to the 20 percent administrative cap.

CDBG: The Community Development Block Grant (CDBG) program is a flexible program that provides communities with resources to address a wide range of unique community development needs. Beginning in 1974, the CDBG program is one of the longest continuously run programs at HUD. The CDBG program provides annual grants on a formula basis to 1209 general units of local government and States.


CITY OF HAYWARD Adopted September 2014 CDBG Recipient: Local governments are known as grantees or recipients, and also referred to as units of general local government (UGLGs). Under the Entitlement CDBG Program, the City of Haywarx receives funding directly from HUD.

CFR: The Code of Federal Regulations (CFR) is the codification of the general and permanent rules and regulations (sometimes called administrative law) published in the Federal Register by the executive departments and agencies of the federal government of the United States. The CFR is divided into 50 titles that represent broad areas subject to federal regulation.

Citizen: Unless otherwise distinguished by HUD or applicable statute, citizen and resident are used interchangeably.

Citizen Participation Plan: A plan prepared by the City of Hayward in accordance with 24 CFR 570.486 which describes how the City will include and encourage citizen participation, especially by low and moderate income citizens.

City Program: An eligible activity or service provided by City of Hayward staff through a non-competitive application process.

Conflict of Interest: When an individual or organization is involved in multiple interests, one of which could corrupt or be perceived corrupt fair and objective allocation of funds or procurement of goods and services.

Consolidated Annual Performance and Evaluation Report (CAPER): An annual report prepared by the City of Hayward in accordance with 24 CFR Part 91, on the objectives, activities, and budget set forth in the Annual Action Plan and the progress on the three-to fiveyear Consolidated Plan.

Consolidated Plan: The Consolidated Plan is a three-to five-year strategic plan prepared by the City in accordance with 24 CFR Part 91, and describes needs, resources, priorities and proposed activities to be undertaken with respect to HUD’s Office of Community Planning and Development CPD formula programs, including CDBG. An approved Consolidated Plan is one which has been approved by HUD.

Contractors: A contractor is an entity paid with CDBG funds in return for a specific service (e.g., construction). Contractors must be selected through a competitive procurement process.

Community Services Commission (CSC): An advisory body to City Council which encourages a planned and orderly approach to the development of community services in the City of Hayward. The CSC reviews, evaluates, and makes recommendations to the City Council on proposals submitted by agencies seeking City-administered funding, including but


CITY OF HAYWARD Adopted September 2014 not limited to Community Development Block Grant (CDBG) and Social Services Program Funding.

Corrective Action Plan: A plan prepared by a subrecipient or city partner to correct issues of non-compliance within a specific schedule.

Cost Allocation: The identification, aggregation, and assignment of centralized costs.

Cost Allocation Plan: A description of a process whereby services provided on a centralized basis (e.g., motor pools, computer centers, purchasing and accounting services) can be identified and assigned to benefited departments/agencies (e.g., the department/agency administering the CDBG program) on a reasonable and consistent basis.

CPD: The Office of Community Planning and Development (CPD) is an office within HUD.

CPD administers and provides federal oversight of the CDBG program, along with other federal programs that provide decent housing, a suitable living environment, and expand economic opportunities for low and moderate income persons.

Davis-Bacon Act: Establishes the requirement for paying the local prevailing wages and fringe benefits, as determined by the U.S. Department of Labor, laborers and mechanics. It applies to contractors and subcontractors performing on federally funded or assisted contracts in excess of $2,000.

Draw Down: Refers to the process of requesting and receiving CDBG funds. Grantees draw down funds from a line of credit established by HUD, while subrecipients typically draw down funds from grantees.

Economic Development: Activities to improve the economic health and standard of living in Hayward. Depending on the nature of the activity, eligible economic development activities may be subject to the Public Services or Administrative caps.

Entitlement Community: A city in a metropolitan area with a population of 50,000 or more, a principal city of a metropolitan area, or an urban county with a population of at least 200,000 (excluding the population of metropolitan cities located therein) that receives an annual allocation of CDBG funds directly from HUD under the CDBG Entitlement Program. An Entitlement Community is sometimes referred to by HUD as a grantee or recipient.

Entitlement Grant: Federal funds received by an entitlement community in a program year.

Fiscal Sponsor: A non-profit organization that applies for CDBG funding on behalf of an organization or group, also known as a Fiscal Agent. The fiscal sponsor accepts responsibility


CITY OF HAYWARD Adopted September 2014 to serve as a fiscal conduit for a City of Hayward-funded project, receiving and disbursing funds related to the grant, and administering the requirements throughout the City of Hayward grant process. The sponsored organization or group completes the project activity.

Funding Cycle: The time period associated with the City of Hayward’s allocation of projected CDBG funds for the upcoming program year(s). The funding cycle is most commonly an annual cycle that begins in August and ends in April.

Household: All the persons who occupy a housing unit. The occupants may be a single family, one person living alone, two or more families living together, or any groups of related or unrelated persons who share living arrangements.

Housing Rehabilitation: Activities that assist homeowners with the repair, rehabilitation, or reconstruction of owner-occupied units.

HUD: CDBG funds are provided to states through the U.S. Department of Housing and Urban Development (HUD). HUD established the regulations and requirements for the program and has oversight responsibilities for the use of CDBG funds.

HUD Guidelines: All tools, guidebooks, trainings, notices, and other guiding materials and correspondence provided by HUD or CPD regarding the laws and regulations of CDBG Program.

Integrated Disbursement and Information System (IDIS): A nationwide database that provides HUD with current information regarding program activities and funding data. The City of Hayward uses IDIS to fund and report on its CDBG Program.

Income: Adjusted gross income as defined by the IRS Form 1040.

Indirect Costs: Costs that have been incurred for common or joint objectives and cannot be readily identified with a particular final cost objective.

Indirect Cost Rate: A device for determining in a reasonable manner the proportion of indirect costs each program should bear. It is the ratio (expressed as a percentage) of the indirect costs to a direct cost base.

Indirect Cost Rate Proposal: The documentation prepared by a governmental unit or subdivision thereof to substantiate its request for the establishment of an indirect cost rate.


CITY OF HAYWARD Adopted September 2014 Job Creation/Retention: A mandatory public benefit standard that requires at least one fulltime, permanent job per $35,000 of CDBG funds used be created or retained.

Low – and Moderate Income: Low- and moderate income (also referred to in this manual as LMI) means family or household annual income less than the Section 8 Low Income Limit, generally 80 percent of the area median income, or a person within such household, as established by HUD.

Low-Income Household/Family: A household/family having an income equal to or less than the Section 8 Very Low Income limit (50% of the area median income) as established by HUD.

Microenterprise: A business that has five or fewer employees, one or more of whom own the enterprise.

Minimum Contracting Standards: A set of standards required before the execution of a Subrecipient Agreement. The standards indicate the minimum administrative and financial framework required to manage public funds.

Minority Business Enterprise (MBE): A business concern that is at least 51% owned by one or more individuals who are African American, Hispanic American, Native American, AsianPacific American or Asian-Indian American; and whose management and daily business operations are controlled by one or more of these owners.

Moderate-Income Household/Family: A household/family having an income equal to or less than the Section 8 Low Income limit (80% of area median income) established by HUD, but greater than the Section 8 Very Low Income limit (50% of area median income) established by HUD.

Monitoring Visits: Visits to subrecipient and city partner programs by Department of Library and Community Services staff to evaluate the progress/performance of the program and/or to provide technical assistance.

Neighborhood Services: Services that benefit an entire neighborhood and correspond with the neighborhood’s or census tract’s geographic boundaries.

OMB: The Office of Management and Budget (OMB) is the largest office within the Executive Office of the President of the United States (EOP). The main function of the OMB is to assist the President in preparing the budget. The OMB issues budget instructions or information, known as circulars, to Federal agencies.


CITY OF HAYWARD Adopted September 2014 PR Reports: Standard CDBG program reports generated in IDIS that provide financial and performance information. 66 different PR reports are available in a noncontiguous range from PR01 to PR95. PR05 and PR07 provide draw down details.

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