Community Development Block Grant Disaster Recovery (CDBG-DR): Housing Rehabilitation Policies and Procedures

Transcription

1 Community Development Block Grant Disaster Recovery (CDBG-DR): Housing Rehabilitation Policies and Procedures Table of Contents VERSION AND AMENDMENTS... 6 PURPOSE... 6 ABBREVIATIONS FOR STAFF... 7 AMENDMENTS TO POLICIES AND PROCEDURES... 8 Policy... 8 Procedure... 8 CHANGES TO PROCEDURES... 8 Policy... 8 Procedure... 8 PROJECT SELECTION... 9 POLICY... 9 PROCEDURE...10 Application Package Request Application Interview Policy

2 Procedure DUPLICATION OF BENEFITS...26 Policy Procedure TRANSFER TO OKLAHOMA CITY...28 Policy Procedure PROPERTY INSPECTION AND COST ESTIMATE (OKC)...28 Procedure Initial Inspection APPROVAL BY MOORE...30 VERIFICATION OF BENEFITS...33 Policy Procedures CONSTRUCTION PROCEDURE (OKC)...35 Policy Procedure Approval Change Orders Contract Amendment Procedure Construction Completion Final Draw

3 COMPLIANCE REVIEW...41 Policy Procedures CLOSEOUT...43 Policy Procedures APPENDIX 1: FORMS...45 List of Forms CDBG-DR-HR 01: Rehab Work Order CDBG-DR-HR 01-A: Initial Budget CDBG-DR-HR 01-B: Contract Budget CDBG-DR-HR 01-C: Actual Expenditures CDBG-DR-HR-01-D: Master Closeout Checklist CDBG-DR-HR 02: Financial Checklist CDBG-DR-HR-03: Application Log CDBG-DR-HR 04: Application Package CDBG-DR-HR 05: General Release CDBG-DR-HR 06: Agreement to Recapture Provisions CDBG-DR-HR 07: Applicant File Checklist CDBG-DR-HR 08: Interview Summary CDBG-DR-HR 08 A: Income Summary CDBG-DR-HR 09: Affidavit of One and the Same Name

4 CDBG-DR-HR 10: Income Self Certification Form CDBG-DR-HR 11 A-E: Duplication of Benefits Workbook CDBG-DR-HR 11-A: Initial Duplication of Benefits Worksheet CDBG-DR-HR 11-B: SBA Underwriting Worksheet CDBG-DR-HR 11-C: DOB Award Worksheet CDBG-DR-HR 11 D: Post Award DOB Worksheet CDBG-DR-HR 11 E: Verification of Benefits Worksheet CDBG-DR-HR 12 A-C: Environmental File Review Checklist CDBG-DR-HR 12-A: Environmental File Checklist CDBG-DR-HR 12-B Statutory Checklist CDBG-DR-HR 12-C: Mitigation Scope and Resolution CDBG-DR-HR 13: Scope Summary Form CDBG-DR-HR 14: Contract Amendment Change Order CDBG-DR-HR 15: Compliance Checklist CDBG-DR-HR 15-A: National Objective Determination CDBG-DR-HR 16: Risk Analysis CDBG-DR-HR 17A: Grievance Procedure CDBG-DR-HR 17-B: Acknowledgement of Receipt of the Grievance Procedure CDGB-DR 17 C: Outline of the Rehabilitation Process Vendor Generated Forms VDR-HR 01: Bid Instructions to the Homeowner VDR-HR 02: Hold Harmless Agreement VDR-HR 03: Voluntary Moving Expenses VDR-HR-04: Affidavit for Direct Payment to Contractor VDR-HR-05: Recurring Cracks and Separations VDR-HR-06: Loan Closing Summation VDR-HR-07: Memorandum of Understanding VDR-HR-08: Notice to Proceed VDR-HR-09: Rehabilitation Contract

5 VDR-HR-10: Written Notice of Defects VDR-HR-11: Change Order Developer VDR-HR-12: Change Order Rehab APPENDIX 2: INTERLOCAL AGREEMENT

6 Version and Amendments POLICIES ADOPTED: March 16, 2015 POLICY AMENDMENTS Date Section Amended Reason for Amendment Date of Council Approval June 22 nd, 2015 Interview Policy Add additional Federal criteria for eligibility June 22 nd, 2015 Grievance Policy Add Federally required grievance policy July 6, 2015 July 6, 2015 PROCEDURE AMENDMENTS Date Section Amended Reason for Amendment ACM-B Approval Date April 28 th, 2016 Various Updated procedures to reflect changed staff roles and staff identified efficiencies May 26 th, 2016 Flood Plain Clarify NFIP requirements prior to event June 23 rd, 2016 Debarment Updated procedures to insure debarment check on contractors July 6 th, 2016 Various Updated Table of Contents and corrected typos Purpose The Community Development Block Grant Disaster Recovery (CDBG-DR) Procedures Manual (the Manual) complements and supplements the existing Moore CDBG Policy and Procedure Manual. The CDBG-DR Procedures Manual is designed to insure compliance with the requirements of CDBG-DR. The CDBG-DR Procedures: Disaster Recovery Housing Rehabilitation section is the standard operating procedure for all for Disaster Recovery Housing Rehabilitation projects undertaken by the City with CDBG-DR funds. 6

7 Abbreviations for Staff The following are the positions and the abbreviations utilized in the Manual for all applicable staff and a brief description of each staff role TABLE 1: STAFF POSITION ABBREVIATIONS Position Abbreviation Roles City Manager CM Manages all City Staff City Purchasing Agent CPA Manages Procurement Finance Director FD Manages all financial systems Assistant Finance Director AFD Assumes the Finance Director s responsibilities in Assistant City Manager Associate Planner/Grants Manager (CDBG Manager) ACM-B CDBG-M the Finance Director s absence Manages the Capital Planning and Resiliency Department Manages the CDBG and CDBG-DR programs CDBG-DR Assistant CDBG-A Provides Administration Application review, eligibility and Duplication of Benefits Accountant II ACTII Supports the CDBG & CDBG-DR program accounting and Duplication of Benefits process Accounts Payable Clerk APC Process and Pays Accounts Payable after approval Compliance Specialist CS Completes Compliance functions for CDBG-DR CDBG Inspector CDBG-I Provides inspection services to the CDBG-DR program Oklahoma City Staff Positions Coordinator (OKC) Coordinates and Manages Rehabilitation Activities on the City of Moore s behalf The Rehabilitation Specialist II RS-2 OKC Directly Manages Rehabilitation Activities on the City of Moore s behalf The Rehabilitation Specialist I RS-1 OKC Develops work write-up and provides direct project oversight 7

8 Amendments to Policies and Procedures Policy The City requires changes to program policy be approved by City Council. Procedure 1. The Assistant City Manager B (ACM-B) or the Associate Planner/Grants Manager (CDBG Manager) (CDBG-M) may make recommendations for a change in policy; 2. The policy change must be submitted in writing to the City Manager (CM); 3. The CM either approves or denies the change: a. If the CM approves the change, the change is placed on the next City Council Agenda for consideration; b. If the CM does not approve the change no further action is taken. 4. City Council either approves or denies the change; a. If the City Council approves the change, the change is made to the Policies and Procedures Manual by the CDBG-M; and i. The changed Policies and Procedures Manual is posted to the CDBG-DR transparency website; ii. The CDBG-M notifies the affected parties by of the adoption and inclusion of the revised policy. b. If the City Council does not approve the change no further action is taken. Changes to Procedures Policy The City permits changes to procedure with the approval of the ACM-B Procedure 1. Procedure changes are submitted in writing to the CDBG-M; 2. The CDBG-M either approves, modifies, or denies the change: a. If the CDBG-M approves or modifies and approves the change, the CDBG-M submits the proposed change in writing to the ACM-B; 3. The ACM-B either approves, modifies or denies the change: 8

9 a. If the ACM-B approves or modifies and approves the change, the ACM-B returns the procedure change to the CDBG-M; i. The CDBG-M makes the change to the procedure; and ii. The changed Policies and Procedures Manual is posted to the CDBG-DR transparency website; iii. The CDBG-M notifies the affected parties by of the adoption and inclusion of the revised procedure. b. If the ACM-B does not approve the change no further action is taken. Project Selection Policy 1. Housing Rehabilitation Project selection is managed by the Associate Planner/Grants Manager (CDBG-M) with assistance from the (CDBG-DR Assistant) CDBG-A; 2. The City will assist in rehabilitations where the cost of rehabilitation does not exceed 75% of the after rehabilitation appraised value; 3. Project selection for the Housing Rehabilitation program consists of an open application process, a determination of property eligibility; an income self-certification; a physical assessment of an eligible property; a Duplication of Benefits review; and a financial feasibility review. a. A property is eligible for Housing Rehabilitation if it received direct damage from the events from May 18 th, 2013, through June 2, 2013 as covered by the Presidential Disaster Declaration of May 20 th, 2013 (DR-4117) collectively known as the disaster events ; however: i. The Housing Rehabilitation program does not fund new construction or reconstruction; 1. Reconstruction is defined as requiring total construction costs in excess of 75% of the after rehabilitation appraised value; ii. Second homes are not eligible; iii. Outbuildings associated with the property but not integral to the residence are not eligible; b. Owner applicants are required to supply a copy of their 2012 tax return and to certify their income by household size on the date of the disaster events; c. All household members must provide proof of US Citizenship or Resident Alien status; d. The physical property must undergo an assessment of condition as determined by the City; e. All applicants must undergo a Duplication of Benefits review; 9

10 i. Owner applicants are required to provide the City with: 1. Documentation of all payments received by the Federal Emergency Management Agency (FEMA), the National Flood Insurance Program (NFIP), private insurance; loans from the Small Business Administration (SBA); and funds from charitable organizations for the physical stabilization, rehabilitation, reconstruction or improvement of the eligible property from the date of the disaster events; 2. Documentation of expenditures for the physical stabilization, rehabilitation, reconstruction or improvement of the eligible property from the date of the disaster events is required to the date of application; and f. All Applicants must undergo a Verification of Benefits procedure; and g. All properties and Applicants must meet the financial feasibility requirements of the program. Procedure Application Package Request 1. The applicant requests an Application Package (CDBG-DR-HR 04) by: a. Calling the CDBG-A at ; i. If the applicant calls, the CDBG-A logs the phone call in the Application Log (CDBG-DR-HR 03) and requests the following information: 1. Name 2. Mailing Address 3. Phone Number 4. b. ing the CDBG-A at KGilbert@cityofmoore.com; i. If the applicant s, the CDBG-A logs the in the Application Log (CDBG-DR-HR 03) and requests the following information: 1. Name; 2. Mailing Address; and 3. Phone Number; ii. Upon receipt of the information necessary, the CDBG-A sends the potential Applicant a link to the Application Package (CDBG-DR-HR 04) at: 10

11 c. Coming to the Community Development Department of the City to pick-up an Application Package (CDBG- DR-HR 04) at the City of Moore, 301 N. Broadway, Moore, OK i. If the applicant comes in, the applicant enters the following information in the Application Log (CDBG-DR-HR 03): 1. Name; 2. Mailing Address; 3. Phone Number; and 4. ; 2. The CDBG-A provides the applicant with an Application Package (CDBG-DR-HR 04) either: a. In person; b. By mail c. By ; or 3. The applicant may download the Application Package (CDBG-DR-HR 04) from the City s website: a. In order to download the Application Package (CDBG-DR-HR 04), the Applicant must provide: i. Name; ii. Mailing Address; iii. Phone Number; and iv. b. The CDBG-A receives an with the information for the Application Log (CDBG-DR-HR 03); 4. The applicant completes the Application Package (CDBG-DR-HR 04) and assembles the necessary documentation; 5. The applicant calls the CDBG-A who schedules an interview with the applicant; 6. Once the interview is scheduled the CDBG-A prepares a Rehab Work Order (CDBG-DR-HR 01) for the address the Applicant is applying for by: a. Entering the Project Name; b. Entering the Work Order Number; i. Work Order Numbers are sequential based on the following protocol 1. The activity the project is under a. H = Housing b. I = Infrastructure c. P = Planning 11

12 d. PF = Public Facilities e. R = Resiliency 2. The sequential number for the Activity 3. The project location, either east of I-35 (E) or west of I-35 (W) a. Planning does not include a project location code; 4. The National Objective Code: a. LMI Low Moderate Income Household b. LMA Low Moderate Income Area c. URG Urgent Need c. Sending an to the Accountant II (ACTII) requesting Project Ledger set-up ii. The ACTII sets up a Project Ledger by following the procedure in Appendix E of the Accounting Manual; iii. Upon completion of the Project Ledger set-up, the ACTII s the Assistant Finance Director (AFD) requesting a time entry code; 1. The AFD establishes time entry for the Project in the INCODE/MUNIS system by following the procedure in Appendix E of the Accounting Manual; 2. When time entry in INCODE/MUNIS has been established, the AFD s the CDBG-A the time entry code; iv. The ACTII establishes the Finance File for the Project 1. Financial Checklist (CDBG-DR-HR 02) d. The CDBG-A enters the Time Entry Code in the Work Order (CDBG-DR 01); i. The CDBG-A notifies affected staff of the Time Entry Code ii. Affected staff utilize the Time Entry Procedure e. The CDBG-A completes all items under Project Information; f. The CDBG-A completes all items under Project Eligibility; g. The CDBG-A completes the National Objective Determination worksheet (CDBG-DR-HR 15-A); h. The CDBG-A determines the Initial Budget by estimating the project delivery costs associated with the interview; applicant and property qualification; Duplication of Benefits and Environmental Review; i. The CDBG-A completes the staff assignments for the project; j. CDBG-A submits the completed initial Work Order (CDBG-DR-HR 01) to the CDBG-M for approval 7. The CDBG-M: a. Reviews the Work Order (CDBG-DR-HR 01); 12

13 b. If the CDBG-M approves the Work Order (CDBG-DR-HR 01), the CDBG-M: i. Signs and dates the Work Order (CDBG-DR-HR 01), ii. Returns the Work Order to the CDBG-A; or c. If the CDBG-M does not approve the Work Order (CDBG-DR-HR 01) ), the CDBG-M: i. Describes deficiencies; ii. Returns the Work Order (CDBG-DR-HR 01) to the CDBG-A for correction d. The CDBG-A corrects any deficiencies and resubmits to the CDBG-M for approval. 8. The CDBG-A takes the following steps: a. The CDBG-A establishes a Project Folder and inserts the following: a. The Work Order (CDBG-DR-HR 01); and b. The Applicant File Checklist (CDBG-DR-HR 07); b. Distributes the Work Order (CDBG-DR-HR 01) to the ACTII and the CS; 9. The Application Package Request procedure is complete Application Interview Policy 1. For purposes of convenience, the applicant and the joint applicant are referred to collectively as the Applicant ; 2. The application interview provides the Applicant and the Reviewer with the opportunity to establish a positive relationship between the City and the applicant; 3. The Reviewer will provide common courtesy, respect, patience and assistance to the Applicant as appropriate; 4. All discussions with an Applicant will occur in a private setting; 5. The reviewer will refrain from discussing any aspect of the Applicant s case with any parties not directly involved in the Applicant s case; 6. The threshold requirements for all Applicants to be considered for funding are: a. Available CDBG-DR funds; b. A property directly impacted by the events of May 18 th through June 2 nd, 2013; c. The household is eligible to receive assistance under the CDBG-DR program; d. A signed, dated and complete application, including all attachments; (CDBG-DR-HR 04) e. A signed, dated and notarized General Release Form (CDBG-DR-HR 05); f. A signed, dated and notarized Income Self-Certification Form (CDBG-DR-HR 10); g. A signed, dated and notarized Agreement to Recapture Provisions Form (CDBG-DR-HR 06); 13

14 h. A determination by the City that the CDBG-DR funds will not duplicate funds previously received and expended for the same purpose as the CDBG-DR funds; i. A determination by the City of financial feasibility Procedure 1. The CDBG-A prepares for the scheduled meeting by preparing an Applicant Interview Summary Form (CDBG-DR-HR 08) and an Acknowledgement of the Receipt of the Grievance Procedure (CDBG-DR-HR 17-B) 2. The CDBG-A meets with the Applicant; 3. The Applicant provides the CDBG-A with the Applicant s copy of the application 4. Utilizing the Interview Summary Form (CDBG-DR-HR 08) as the review format, the CDBG-A walks through the application with the Applicant as follows: Grievance Procedure 1. The CDBG-A provides the Applicant with an overview of the City s Grievance Procedure by: a. Providing the Applicant with the CDBG-M s business card; b. Providing the Applicant with the Grievance Procedure (CDBG-DR-HR 17-A) and the Outline of the Rehabilitation Process (CDBG-DR-HR 17-C) c. Having the Applicant sign the Acknowledgement of the Receipt of the Grievance Procedure (CDBG-DR-HR 17-B) Household 1. The CDBG-A asks: Was the Applicant a permanent resident at the impacted address on the date of the event? a. If the Applicant was a permanent resident at the impacted address on the date of the event, the CDBG-A checks the YES box, and i. Determines if copies of the Applicant (and joint applicants) tax returns for the year 2012 are with the application; 1. If the returns are present, the CDBG-A proceeds to the next step; 2. If the Applicant states they do not have a copy of the tax return, the CDBG-A provides the Applicant with an IRS Form 4506; and 3. If the returns are not present, the CDBG-A notes the documents as missing and proceeds to the next step; ii. If the applicant was not a permanent resident at the impacted address on the date of the event, the applicant is not eligible. 14

15 1. The CDBG-A informs the Applicant they are not eligible and ends the interview 2. The CDBG-A proceeds to Closeout. 2. The CDBG-A asks the Applicant if they owned the property at the impacted address on the date of the event. a. If the Applicant owned the property at the impacted address on the date of the event, the CDBG-A checks the YES box, and i. Determines if the Deed is included in the application; 1. If the Deed is present, the CDBG-A proceeds to the next step; 2. If the Deed is not present, the CDBG-A notes the documents as missing and proceeds to the next step; ii. If the applicant did not own the property at the impacted address on the date of the event, the applicant is not eligible. 1. The CDBG-A marks the NO box, informs the Applicant they are not eligible and ends the interview; 2. The CDBG-A proceeds to Closeout. b. The CDBG-A determines if the names on the Deed the same as the Applicants; i. If the names on the Deeds are the same as the Applicants, the CDBG-A proceeds to the next step; ii. If the names on the Deeds are not the same as the Applicants, the CDBG-A asks the Applicant to explain the discrepancy; 1. If the discrepancy is not caused by a marriage, the CDBG-A proceeds to the next step; a. If the discrepancy is caused by a marriage, the CDBG-A provides the Applicant with an Affidavit of One and the Same Name (CDBG-DR-HR 09); i. The Applicant completes the Affidavit of One and the Same Name (CDBG- DR-HR 09); and ii. Signs and dates the Affidavit of One and the Same Name (CDBG-DR-HR 09) in the presence of a notary who notarizes the Applicant s Affidavit of One and the Same Name (CDBG-DR-HR 09); 2. If the discrepancy was not caused by the death of a co-owner, the CDBG-A proceeds to the next step; a. If the discrepancy is caused by the death of a co-owner, the CDBG-A checks the Application file for a Death Certificate; i. If the death certificate is present, the CDBG-A checks the YES box in the Interview Summary (CDBG-DR-HR 08), and proceeds to the next step 15

16 ii. If the death certificate is not present the CDBG-A notes the missing document on the Interview Summary (CDBG-DR-HR 08) and proceeds to the next step; 3. If the discrepancy was not caused by the marriage or death of a co-owner, the CDBG-A asks the Applicant if the discrepancy was caused by a divorce; 4. If the discrepancy was caused by a divorce, the CDBG-A checks the Application file for a Divorce Decree; a. If the divorce decree is present, the CDBG-A checks the YES box in the Interview Summary (CDBG-DR-HR 08), and proceeds to the next step; b. If the divorce decree is not present, the CDBG-A notes the missing document on the Interview Summary (CDBG-DR-HR 08) and proceeds to the next step; 5. If the discrepancy is caused by any other reason, the CDBG-A consults with the Compliance Specialist (CS) to determine what documentation that will be required and proceeds to collect the documentation necessary to resolve the discrepancy; a. Upon completion of the necessary documentation, the CDBG-A checks the YES box in the Interview Summary (CDBG-DR-HR 08) and proceeds to the next step; b. If the discrepancy cannot be resolved, the CDBG-A checks the NO box in the Interview Summary (CDBG-DR-HR 08), advises the Applicant they are ineligible and proceeds to Closeout; 3. The CDBG-A asks the Applicant if all household members are either US Citizen s or Resident Aliens; a. If the Applicant states that all household members are either US Citizen s or resident aliens, the CDBG-A determines if a birth certificate or resident alien card for each household member are included in the application. i. If a birth certificate or a resident alien cards for each household member are included in the application, the CDBG-A checks the YES box in the Interview Summary (CDBG-DR-HR 08), and proceeds to the next step; ii. If a birth certificate or resident alien cards for each household member are not included in the application, the CDBG-A notes the missing items in the Interview Summary (CDBG-DR-HR 08) and proceeds to the next step. b. If the Applicant states that all household members are not either US Citizen s or resident aliens, the CDBG- A checks the NO box in the Interview Summary (CDBG-DR-HR 08), and 16

17 i. Informs the Applicant the household is not eligible, ends the interview and proceeds to Closeout. 4. The CDBG-A determines if social security cards or a Taxpayer Identification Number (TIN) for Resident Aliens are included in the application; a. If social security cards or a Taxpayer Identification Number (TIN) for Resident Aliens are included for each household member in the application, the CDBG-A checks the YES box in the Interview Summary (CDBG- DR-HR 08) and proceeds to the next step; b. If social security cards or a Taxpayer Identification Number (TIN) for Resident Aliens are not included for each household member in the application, the CDBG-A notes the missing items in the Interview Summary (CDBG-DR-HR 08) and proceeds to the next step. 5. The CDBG-A reviews the Income Self Certification Form (CDBG-DR-HR 10) with the Applicant and determines: a. If the Applicant has circled all types of income that apply for the applicant s household; i. If the Applicant has circled all types of income that apply for the applicant s household, the CDBG-A proceeds to the next step; ii. If the Applicant has not circled all types of income that apply for the applicant s household, the CDBG-A works with the Applicant to complete the types of income; and upon completion, proceeds to the next step; b. If the applicant has circled the correct income range and household size for the Applicants household, the CDBG-A proceeds to the next step; c. If the applicant has not circled the correct income range and household size for the Applicants household, the CDBG-A assists the Applicant in completing the form; and proceeds to the next step; d. Once the Income Self Certification Form (CDBG-DR-HR 10) is complete the CDBG-A i. Has the Applicant sign and date the Income Self Certification Form (CDBG-DR-HR 10) in the presence of a Notary; ii. Has the Income Self Certification Form (CDBG-DR-HR 10) notarized, and iii. Proceeds to the next step 6. The CDBG-A determines if all household information is complete; a. If all household information is complete, the CDBG-A checks the YES box in the Interview Summary (CDBG- DR-HR 08) and proceeds to the next step; 17

18 b. If all household information is not complete, the CDBG-A notes the missing information in the Interview Summary (CDBG-DR-HR 08) and proceeds to the next step; 7. The CDBG-A determines if all employment information is complete; a. If all employment information is complete, the CDBG-A checks the YES box in the Interview Summary (CDBG-DR-HR 08) and proceeds to the next step; b. If all employment information is not complete, the CDBG-A notes the missing information in the Interview Summary (CDBG-DR-HR 08) and proceeds to the next step; 8. The CDBG-A determines if payroll stubs for each employed person are included in the application package; a. If payroll stubs for each employed person are included in the application package, the CDBG-A checks the YES box in the Interview Summary (CDBG-DR-HR 08) and proceeds to the next step; b. If payroll stubs for each employed person are not included in the application package, the CDBG-A notes the missing information in the Interview Summary (CDBG-DR-HR 08) and proceeds to the next step; 9. The CDBG-A determines if the Applicant (and joint applicant) 2014 Income tax returns are included in the application package; a. If all applicable 2014 Tax Returns are included in the application package, the CDBG-A checks the YES box in the Interview Summary (CDBG-DR-HR 08) and proceeds to the next step; b. If all applicable 2014 Tax Returns are not included in the application package, the CDBG-A notes the missing information in the Interview Summary (CDBG-DR-HR 08) and proceeds to the next step; Mortgages Taxes - Insurance 10. The CDBG-A determines if the Applicant has a mortgage on the property; a. If the applicant does not have a mortgage, the CDBG-A checks the NO box in the Interview Summary (CDBG-DR-HR 08) and proceeds to Step 10.b.iii.2 of the procedure; b. If the Applicant has a mortgage or mortgages, the CDBG-A checks the YES box in the Interview Summary (CDBG-DR-HR 08); and i. Determines if a current mortgage statement is included in the Application; 18

19 19 1. If a current mortgage statement is included in the Application, the CDBG-A checks the YES box in the Interview Summary (CDBG-DR-HR 08) and proceeds to the next step; 2. If a current mortgage statement is not included in the Application, the CDBG-A notes the document as missing in the Interview Summary (CDBG-DR-HR 08) and proceeds to the next step; ii. Based on the mortgage statement the CDBG-A determines if the mortgage payments are current 1. If the mortgage payments are current, the CDBG-A checks the YES box in the Interview Summary (CDBG-DR-HR 08) and proceeds to the next step; 2. If the mortgage payments are not current, the CDBG-A checks the NO box in the Interview Summary (CDBG-DR-HR 08); and a. Advises the Applicant that all mortgage payments must be current prior to the City entering into a contract with the Applicant; and b. Notes the deficiency in the Documents Missing column of the Interview Summary (CDBG-DR-HR 08) and proceeds to the next step; iii. Based on the mortgage statement, the CDBG-A determines how taxes and insurance are paid and whether or not taxes and insurance are current; 1. If the taxes and insurance are included in the mortgage statement, the CDBG-A checks the YES box in the Interview Summary (CDBG-DR-HR 08) and proceeds to Step 10; 2. If the taxes and insurance are not included in the mortgage statement, the CDBG-A checks the NO box in the Interview Summary (CDBG-DR-HR 08); and a. Determines if a receipt for current taxes is in the Application; b. If a receipt for current taxes is in the Application, the CDBG-A checks the YES box in the Interview Summary (CDBG-DR-HR 08) and proceeds to the next step; c. If a receipt for current taxes is not in the Application, the CDBG-A checks the NO box in the Interview Summary (CDBG-DR-HR 08); notes the deficiency in the missing Documents column and proceeds to the next step; d. Determines if a receipt for current insurance is in the Application; e. If a receipt for current insurance is in the Application, the CDBG-A checks the YES box in the Interview Summary (CDBG-DR-HR 08) and proceeds to the next step; f. If a receipt for current insurance is not in the Application, the CDBG-A checks the NO box in the Interview Summary (CDBG-DR-HR 08); and: i. Notes the deficiency in the Missing Documents column;

20 ii. Advises the applicant the homeowners insurance is required at contract signing with the City, and proceeds to the next step; 11. The CDBG-A asks the applicant if there are any Property Liens, Judgments or Suits currently pending against the Applicant; a. If there are no Property Liens, Judgments or Suits currently pending against the Applicant, the CDBG-A checks the NO box in the Interview Summary (CDBG-DR-HR 08) and proceeds to the next step; b. If there are Property Liens, Judgments or Suits currently pending against the Applicant, the CDBG-A checks the YES box in the Interview Summary (CDBG-DR-HR 08); and i. The CDBG-A advises the Applicant that any non-mortgage liens, any judgments, or any suits currently pending against the Applicant must be resolved prior to the City entering into a contract with the Applicant; and ii. Notes the deficiency in the Documents Missing column of the Interview Summary (CDBG-DR-HR 08) and proceeds to the next step; Current Accounts 12. The CDBG-A utilizes the Income Self-Certification form (CDBG-DR-HR 10) to determine all income accounts the Applicant must provide a statement for: a. If all statements required are included in the Application, the CDBG-A checks the YES box in the Interview Summary (CDBG-DR-HR 08); and proceeds to the next step; b. If all statements required are not included in the Application, the CDBG-A checks the NO box in the Interview Summary (CDBG-DR-HR 08), notes each deficiency in the Missing Documents column of the Interview Summary (CDBG-DR-HR 08); and proceeds to the next step; 13. The CDBG-A asks the applicant if they own any rental property; a. If the Applicant does not own rental property, the CDBG-A checks the NO box in the Interview Summary (CDBG-DR-HR 08); and proceeds to the next step; b. If the Applicant does own rental property, the CDBG-A checks the YES box in the Interview Summary (CDBG-DR-HR 08); and i. Determines if Schedule E is included in the Tax Returns provided by the Applicant; 1. If Schedule E is included in the Tax Returns provided by the Applicant, the CDBG-A checks the YES box in the Interview Summary (CDBG-DR-HR 08) and proceeds to the next step; 2. If Schedule E is not included in the Tax Returns provided by the Applicant, the CDBG-A checks the NO box in the Interview Summary (CDBG-DR-HR 08); and 20

21 a. Advises the Applicant the Schedule E or an equivalent income and expense statement signed by the Applicant and notarized will be required to complete the application; b. Notes the deficiency in the Missing Documents column of the Interview Summary (CDBG-DR-HR 08); and proceeds to the next step; 14. The CDBG-A asks the applicant if they have declared bankruptcy within the last seven years; a. If the applicant has not declared bankruptcy within the last seven years, the CDBG-A checks the NO box in the Interview Summary (CDBG-DR-HR 08) and proceeds to the next step; b. If the applicant has declared bankruptcy within the last seven years, the CDBG-A checks the YES box in the Interview Summary (CDBG-DR-HR 08); and i. The CDBG-A determines if the bankruptcy was cleared by the applicable court; 1. If a court order clearing the bankruptcy is in the Application file, the CDBG-A checks the YES box in the Interview Summary (CDBG-DR-HR 08); and proceeds to the next step; 2. If the Applicant states the court order exists, but the court order clearing the bankruptcy is not in the Application file, the CDBG-A checks the NO box in the Interview Summary (CDBG-DR-HR 08), lists the Court Order in the Missing Document column, and proceeds to the next step; 3. If the Applicant states that a court order clearing the bankruptcy does not exist, the CDBG- A checks the NO box in the Interview Summary (CDBG-DR-HR 08), and; a. Informs the Applicant the household is not eligible, ends the interview and proceeds to Closeout. Benefits Received 15. The CDBG-A asks the Applicant if they received any assistance from FEMA for the rehabilitation or repair of their home; a. If the Applicant states they did not receive any assistance from FEMA for the rehabilitation or repair of their home, the CDBG-A checks the NO box in the Interview Summary (CDBG-DR-HR 08), and proceeds to the next step; b. If the Applicant states they did receive any assistance from FEMA for the rehabilitation or repair of their home, the CDBG-A checks YES box in the Interview Summary (CDBG-DR-HR 08), and i. Determines if a FEMA award letter is included in the application; 21

22 1. If the FEMA award letter is included in the Application, the CDBG-A checks the YES box in the Interview Summary (CDBG-DR-HR 08), and proceeds to the next step; 2. If the FEMA award letter is not included in the Application, the CDBG-A checks the NO box in the Interview Summary (CDBG-DR-HR 08), lists the FEMA award letter in the Missing Document column, and proceeds to the next step; 16. The CDBG-A asks the Applicant if they received a National Flood Insurance Program (NFIP) payment for the rehabilitation or repair of their home; a. If the Applicant states they did not receive any assistance from NFIP for the rehabilitation or repair of their home, the CDBG-A checks the NO box in the Interview Summary (CDBG-DR-HR 08), and proceeds to the next step; b. If the Applicant states they did receive any assistance from NFIP for the rehabilitation or repair of their home, the CDBG-A checks YES box in the Interview Summary (CDBG-DR-HR 08), and i. Determines if a NFIP award letter is included in the application; 1. If the NFIP award letter is included in the Application, the CDBG-A checks the YES box in the Interview Summary (CDBG-DR-HR 08), and proceeds to the next step; 2. If the NFIP award letter is not included in the Application, the CDBG-A checks the NO box in the Interview Summary (CDBG-DR-HR 08), lists the NFIP award letter in the Missing Document column, and proceeds to the next step; 17. The CDBG-A determines if the Owner applicants property was located in a flood plain on the date of the qualifying event by reviewing the property address against the applicable flood plain map; a. If the property was located in a flood plain on the date of the qualifying event, the applicant must submit proof of National Flood Insurance Program participation on the date of the qualifying event; i. If the Owner applicants did participate in NFIP, then the property is eligible for funding with CDBG- DR; ii. If the Owner applicants did not participate in NFIP, then the property is ineligible for funding with CDBG-DR b. If the property was not located in a flood plain on the date of the qualifying event the CDBG-A proceeds to the next step; 18. The CDBG-A asks the Applicant if they applied for a Small Business Administration (SBA) loan for the rehabilitation or repair of their home; a. If the Applicant states they did not apply for a loan from SBA for the rehabilitation or repair of their home, the CDBG-A checks the NO box in the Interview Summary (CDBG-DR-HR 08), and proceeds to the next step; 22

23 b. If the Applicant states they did apply for a loan from SBA for the rehabilitation or repair of their home, the CDBG-A checks the YES box in the Interview Summary (CDBG-DR-HR 08), and; i. Asks the Applicant if the SBA loan was approved; 1. If the SBA loan was approved, the CDBG-A determines if the SBA loan approval letter is in the Application; a. If the SBA loan approval letter is in the Application, the CDBG-A checks the YES box in the Interview Summary (CDBG-DR-HR 08), and proceeds to the next step; b. If the SBA loan approval letter is not in the Application, the CDBG-A checks the NO box in the Interview Summary (CDBG-DR-HR 08), lists the SBA approval letter in the Missing Document column, and proceeds to the next step; 2. If the SBA loan was not approved, the CDBG-A determines if the SBA loan denial letter is in the Application; a. If the SBA loan denial letter is in the Application the CDBG-A checks the YES box in the Interview Summary (CDBG-DR-HR 08), and proceeds to the next step; b. If the SBA loan denial letter is not in the Application the CDBG-A checks the NO box in the Interview Summary (CDBG-DR-HR 08), lists the Denial Letter in the Missing Document column, and proceeds to the next step; 19. The CDBG-A asks the Applicant if they received a SBA loan for the rehabilitation or repair of their home; a. If the Applicant states they did not receive a loan from SBA for the rehabilitation or repair of their home, the CDBG-A checks the NO box in the Interview Summary (CDBG-DR-HR 08), and proceeds to the next step; b. If the Applicant states they did receive a loan from SBA for the rehabilitation or repair of their home, the CDBG-A checks YES box in the Interview Summary (CDBG-DR-HR 08), and i. Determines if a SBA award letter is included in the application; 1. If the SBA award letter is included in the Application, the CDBG-A checks the YES box in the Interview Summary (CDBG-DR-HR 08), and proceeds to the next step; 2. If the SBA award letter is not included in the Application, the CDBG-A checks the NO box in the Interview Summary (CDBG-DR-HR 08), lists SBA award letter in the Missing Document column, and proceeds to the next step; 20. The CDBG-A asks the Applicant if they received an insurance payment for the rehabilitation or repair of their home; a. If the Applicant states they did not receive an insurance payment for the rehabilitation or repair of their home, the CDBG-A checks the NO box in the Interview Summary (CDBG-DR-HR 08), and proceeds to the next step; 23

24 b. If the Applicant states they did receive an insurance payment for the rehabilitation or repair of their home, the CDBG-A checks YES box in the Interview Summary (CDBG-DR-HR 08), and i. Determines if an insurance payment award letter is included in the application; 1. If an insurance payment award letter is included in the Application, the CDBG-A checks the YES box in the Interview Summary (CDBG-DR-HR 08), and proceeds to the next step; 2. If an insurance payment award letter is not included in the Application, the CDBG-A checks the NO box in the Interview Summary (CDBG-DR-HR 08), lists the an insurance payment letter in the Missing Document column, and proceeds to the next step; 21. The CDBG-A asks the Applicant if they received any other payments from any party for the rehabilitation or repair of their home; a. If the Applicant states they did not receive any other payments from any party for the rehabilitation or repair of their home, the CDBG-A checks the NO box in the Interview Summary (CDBG-DR-HR 08), and proceeds to the next step; b. If the Applicant states they did receive any other payments from any party for the rehabilitation or repair of their home, the CDBG-A checks YES box in the Interview Summary (CDBG-DR-HR 08), and i. Determines if any other payments from any party award letter are included in the application; 1. If any other payments from any party award letter are included in the Application, the CDBG-A checks the YES box in the Interview Summary (CDBG-DR-HR 08), and proceeds to the next step; 2. If an any other payments from any party award letter are not included in the Application, the CDBG-A checks the NO box in the Interview Summary (CDBG-DR-HR 08), lists the an insurance payment letter in the Missing Document column, and proceeds to the next step; 22. The CDBG-A determines if the Application has been properly signed and dated by the Applicant; a. If the Application has been properly signed and dated by the Applicant, the CDBG-A checks the YES box in the Interview Summary (CDBG-DR-HR 08), and proceeds to the next step; b. If the Application has not been properly signed and dated by the Applicant, the CDBG-A has the Applicant sign and date the Application, checks the YES box in the Interview Summary (CDBG-DR-HR 08), and proceeds to the next step; 23. The CDBG-A prints out two copies of the Interview Summary (CDBG-DR-HR 08); and a. Has the Applicant sign one copy of the Interview Summary (CDBG-DR-HR 08) and places the Interview Summary (CDBG-DR-HR 08) in the Applicant s file; and b. Provides the Applicant with the second copy of the Interview Summary (CDBG-DR-HR 08); and 24

25 i. If there are no missing documents in the Missing Documents column of the Interview Summary (CDBG-DR-HR 08), advises the Applicant that the application will undergo a verification process prior to be approved for rehabilitation; and proceeds to the next step; ii. If there are missing documents in the Missing Documents column of the Interview Summary (CDBG-DR-HR 08), the CDBG-A advises the Applicant that the application is not considered complete until all missing documents have been received by the CDBG-A; and 1. The Application cannot move forward in the process until all required documents have been received by the CDBG-A; 24. The CDBG-A concludes the interview Income Summary 1. If the application is complete, the CDBG-A summarizes the household income by utilizing the Income Summary form (CDBG-DR-HR 08A) 2. The CDBG-A determines if the project is LMI or Urgent Need; 3. The CDBG-A signs and dates the form 25

26 Duplication of Benefits Policy The detailed policy for Duplication of Benefits (DOB) is contained the Duplication of Benefits Policy in the CDBG-DR Manual. 1. The City utilizes the industry standard of 38% Debt to Income ratio in the determination of a household s ability to carry debt. Procedure 1. Upon receipt of a completed application by the Applicant the CDBG-A: a. Opens a Duplication of Benefits Workbook (CDBG-DR-HR 11); b. Renames the Workbook <Last Name of Applicant><Work Order Number> (CDBG-DR-HR 01); c. Opens the Tab labeled CDBG-DR-HR 11-A; d. Enters Applicant information in the form titled Initial Duplication of Benefits Summary (CDBG-DR-HR 11-A); and e. Enters the Work Order number from the Work Order (CDBG-DR-HR 01) and proceeds to the next step; 2. The CDBG-A forwards the household workbook and supporting documentation to the ACTII; 3. The ACTII completes the Initial Duplication of Benefits Summary (CDBG-DR-HR 11-A) by taking the following steps; a. The ACTII enters any amounts received by the Applicant for rent from FEMA in the FEMA Housing Grant - Interim Housing Rent as noted in the FEMA Award Letter; i. If no Interim Housing Rent was received by the Applicant, the ACTII enters $0 and proceeds to the next step; b. The ACTII enters any amounts received by the Applicant from a FEMA Housing Grant - Permanent Housing as noted in the FEMA Award Letter; i. If no Permanent Housing grant was received by the Applicant, the ACTII enters $0 and proceeds to the next step; c. The ACTII enters any amounts received by the Applicant from a National Flood Insurance Program (NFIP) payment as noted in the NFIP Award Letter; i. If no NFIP payment was received by the Applicant, the ACTII enters $0 and proceeds to the next step; d. The ACTII enters any amounts received by the Applicant from a small Business Administration (SBA) loan as noted in the SBA Award Letter; 26

27 i. If no SBA payment was received by the Applicant, and the Applicant did not decline an SBA loan the ACTII enters $0 and proceeds to the next step; ii. If the Applicant declined an SBA loan, the ACTII determines if the declined loan is a duplicative benefit by: 1. Reviewing the explanation provided by the Applicant in the context of the HUD Guidance on Duplication of Benefit Requirements and Provision of CDBG Disaster Recovery (DR) Assistance (HUD DOB Guidance) of July 25 th, 2013, the ACTII: a. Identifies the circumstances under which the applicant declined the SBA assistance by: b. Reviewing the Applicant s explanation; and 2. Establishes why CDBG-DR assistance is appropriate for the applicant based on the Applicant s explanation; and 3. Determines the amount of CDBG-DR assistance that is necessary and reasonable to assist the applicant in achieving recovery by: a. Underwriting the Applicant utilizing the SBA Loan Decline Underwriting Worksheet (CDBG-DR-HR-11-B); 4. Upon completion of all three steps, the ACTII: a. Enters the amount of duplicative assistance determined by underwriting in the Declined Small Business Administration Loan and proceeds to the next step; e. The ACTII enters any amounts received by the Applicant from private insurance as noted in the private insurance award letter; i. If no private insurance payment was received by the Applicant, the ACTII enters $0 and proceeds to the next step; f. The ACTII enters any amounts received by the Applicant from any other source for structural repairs or rehabilitation as noted in the applicable award letter; i. If no other source payment was received by the Applicant, the ACTII enters $0 and proceeds to the next step; 4. The Initial Duplication of Benefits Summary (CDBG-DR-HR 11-A) calculates the potentially duplicative assistance and transfers the duplicative assistance in each category; 5. The ACTII determines eligibility by: a. If the duplicative assistance exceeds the Program Limit the applicant is not eligible for CDBR-DR Assistance; i. The ACTII s the Duplication of Benefits Workbook (CDBG-DR-HR 11) to the CDBG-A; 27

28 ii. The CDBG-A notifies the Applicant of the determination of non-eligibility; and proceeds to Closeout; b. If the duplicative assistance is less than the Program Limit but greater than zero, the applicant is eligible for CDBG-DR Assistance; i. The ACTII dates and signs Duplication of Benefits Summary (CDBG-DR-HR 11-A); and ii. Forwards the Duplication of Benefits Workbook (CDBG-DR-HR 11) to the CDBG-A 6. The CDBG-A places the Duplication of Benefits Workbook (CDBG-DR-HR 11) in the Applicants file; and 7. The CDBG-A sends a copy of the Duplication of Benefits Workbook (CDBG-DR-HR 11) to the CDBG-M who follows the procedure for transferring the Applicant s information to the Rehabilitation Specialist II (RS-2 OKC) at Oklahoma City. Transfer to Oklahoma City Policy 1. The City has entered into an Interlocal Agreement with Oklahoma City to inspect, complete the Environmental Review, develop work write-ups and cost estimates of the units and Applicant s selected and approved by the City; 2. Oklahoma City will inspect and develop work write-ups and cost estimates for all rehabilitation to the City s building code (2009 International Residential Code) and the 2014 Minimum Residential Construction Highwind Resistance Regulations where applicable. Procedure 1. Upon completion of the Duplication of Benefit procedure, the CDBG-M provides the Rehabilitation Specialist II (RS- 2 OKC) at Oklahoma City with the Applicant s contact information, the address and a copy of the Initial Duplication of Benefits Summary (CDBG-DR-HR 11-A) by ; 2. The RS-2 OKC acknowledges receipt of the information and proceeds to the next step; Property Inspection and Cost Estimate (OKC) Procedure Initial Inspection 1. The Rehabilitation Specialist 2 (RS-2 OKC) assigns the project to a Rehabilitation Specialist I (RS-1 OKC); 28

29 2. The RS-1 OKC initiates the Environmental Statutory Checklist (CDBG-DR-HR 12-B) by: a. Completing the Environmental Statutory Checklist (CDBG-DR-HR 12-B) to the extent possible based on the requirements of 24 CFR 58.5 listed at 24 CFR 58.35(a); 3. The RS-1 OKC contacts the homeowner to schedule an appointment for a lead inspection (if applicable) and an initial rehabilitation inspection; 4. The RS-1 OKC completes the lead inspection (if applicable) and the rehabilitation inspection of the Applicant s property; 5. The RS-1 OKC completes a work write up and cost estimate for the rehabilitation of the property including any required mitigation measures; and a. Updates and completes the Environmental Statutory Checklist (CDBG-DR-HR 12-B) to the requirements of 24 CFR 58.5 listed at 24 CFR 58.35(a); b. Forwards the completed Work Write-up, Cost Estimate and Environmental Statutory Checklist (CDBG-DR- HR 12-B) to the RS-2 OKC 6. The RS-2 OKC reviews the completed rehabilitation and environmental package and determines; a. If the RS-2 OKC determines the package is complete to the requirements of the program, the RS-2 OKC proceeds to the next step; i. If the RS-2 OKC determines the package is not complete, the RS-II returns the package to the RS-1 OKC for correction, elaboration, etc.; and ii. The procedure is repeated until complete. 7. The RS-2 OKC forwards the complete project package to the Coordinator (OKC) ; 8. The Coordinator (OKC) reviews the complete project package to confirm: a. That all necessary repairs have been properly identified; i. If all necessary repairs have been properly identified the Coordinator (OKC) proceeds to the next step; ii. If all necessary repairs have not been properly identified the Coordinator (OKC) works with the RS- 2 OKC to rectify the problems; and iii. Restarts the procedure b. That the Work Schedule and Proposal is in the proper manner and format to be sent out for bid; i. If the Work Schedule and Proposal is in the proper manner and format to be sent out for bid, the Coordinator (OKC) proceeds to the next step; ii. If the Work Schedule and Proposal is not in the proper manner and format to be sent out for bid, the Coordinator (OKC) works with the RS-2 OKC to rectify the problems; and 29

30 iii. Restarts the procedure c. That all other required documentation is present and in its proper format; i. If all other required documentation is present and in its proper format, the Coordinator (OKC) proceeds to the next step; ii. If all other required documentation is not present or is not in its proper format, the Coordinator (OKC) works with the PS-II to rectify the problems; and iii. Restarts the procedure 9. Utilizing the Scope Summary (CDBG-DR-HR 15) the Coordinator (OKC) summarizes the package in an to the CDBG-A including: a. The overall scope; b. The cost estimate; and c. Any environmental requirements and the Environmental Statutory Checklist (CDBG-DR-HR 12-B); d. A recommendation on whether or not to proceed to bidding; 10. The Initial Inspection procedure is complete. Approval By Moore 1. The CDBG-M receives the Scope Summary form (CDBG-DR-HR 15) from the CDBG-A, and determines: a. If the CDBG-DR funds are available; i. If CDBG-DR funds are available, the CDBG-M proceeds to the next step; ii. If CDBG-DR funds are not available the CDBG-M: 1. Notifies the Coordinator (OKC) at Oklahoma City; and 2. Notifies the CDBG-A to move the project to Closeout. b. If the project is financially feasible with CDBG-DR funds alone, the CDBG-M proceeds to the next step; c. If project is not feasible with CDBG-DR funds alone the CDBG-M: i. Notifies the CDBG-A to contact the Applicant to determine if the Applicant has other resources; 1. If the Applicant has or can obtain other resources to complete the rehabilitation, the CDBG-A: a. Arranges with the Applicant to have the funds deposited in an escrow account; and b. When the funds are deposited in the Applicant s escrow account the CDBG-A notifies the CDBG-M that funds are available to complete the rehabilitation; c. The CDBG-M proceeds to the next step. 30

31 2. If the Applicant does not have or cannot obtain other resources to complete the rehabilitation, the CDBG-A: a. Notifies the CDBG-M b. The CDBG-M notifies the Coordinator (OKC) at Oklahoma City; c. The CDBG-A initiates the Closeout procedure. 2. The CDBG-M notifies the CS to complete the Verification of Benefit procedure and the Environmental Review procedure; a. Once the CS has successfully completed the Verification of Benefits procedure the CS notifies the CDBG-M and CDBG-A by and proceeds to the next step; 3. The CS reviews the Environmental Statutory Checklist (CDBG-DR-HR 12-B); and a. Determines if the Environmental Statutory Checklist (CDBG-DR-HR 12-B) is complete and ready for signature; i. If the Environmental Statutory Checklist (CDBG-DR-HR 12-B) is complete and ready for signature the CS proceeds to the next step; ii. If the Environmental Statutory Checklist (CDBG-DR-HR 12-B) is not complete, the CS contacts the RS-I in Oklahoma City to resolve the problems; and iii. Restarts the procedure until the Environmental Statutory Checklist (CDBG-DR-HR 12-B) is complete; b. The CS prepares, signs and sends the appropriate documentation for approval to the State Historic Preservation Officer (SHPO); i. If written clearance is provided by the SHPO the CS proceeds to the next step; ii. If the SHPO has not responded to a properly documented request for concurrence within 30 days of receipt of the request, the CS will document the request and lack of response as part of the record and proceed to the next step; iii. If the SHPO responds and requires additional information or actions, the CS notifies the CDBG-M and take actions as directed; 1. The procedure restarts until completed. c. The CS enters the Environmental Review in the HUD Environmental Review Online System (HEROS) and i. Notifies the CDBG-M and the CDBG-A by ii. CDBG-M Notifies the Oklahoma City HUD Field Office by ; 4. The CS prepares the Finding of No Significant Impact (FONSI) and the Request for Relief of Funds (RROF); a. The CS submits the FONSI/RROF to the CDBG-M: 31

32 i. If the CDBG-M approves the FONSI/RROF the CDBG-M returns the FONSI/RROF to the CDBG-A who proceeds to the next step; ii. If the CDBG-M finds deficiencies, the CDBG-M returns the FONSI/RROF to the CS for corrections; 1. After correcting the FONSI/RROF, the CS returns the FONSI/RROF to the CDBG-M and the process starts over. 5. The CDBG-A publishes the FONSI/RROF and a. The CDBG-A notifies and provides tear sheets to the CS; b. The CS adds the FONSI/RROF and tear sheets to the Environmental Review file; c. The CS proceeds to the next step; 6. If there has been no response to the Environmental Review by the OKC HUD Field Office by the close of business on the fifteenth day following the date of publication of the FONSI, the Environmental Review has cleared; 7. The CS determines if a remediation or mitigation scope is required; a. If a remediation or mitigation scope is not required, the CS proceeds to the next step; b. If a remediation or mitigation scope is required, the CS provides the Mitigation Scope and Resolution (CDBG-DR-HR 12-C) to the Coordinator (OKC) at OKC by i. The Coordinator (OKC) at OKC insures the Mitigation Scope and Resolution (CDBG-DR-HR 12-C) is included in the specifications for the Project; c. The CS places the Mitigation Scope and Resolution (CDBG-DR-HR 12-C) in the Environmental File; a. The CS Notifies the City Manager (CM) that the Environmental Review is ready to sign 8. The CM reviews a. If the CM finds problems with the Environmental Review, the CM returns the review to the CS for corrections; b. If the Environmental Review meets all requirements, the CM signs the Environmental Review and returns the signed Environmental Review to the CS; c. The CS notifies the CDBG-M and CDBG-A by that the Environmental Review is complete; i. The CS files the Environmental Review in the Environmental File and updates the Environmental Review Checklist (CDBG-DR-HR 12-A); d. The Environmental Review is complete. 9. The CDBG-A checks the contractor and all subcontractors against the Excluded Parties List System (EPLS) at the System for Award Management (SAM) a. If the contractor or any sub-contractor is excluded, the CDBG-A prints all exclusion page(s) and notifies the CDBG-M; 32

33 i. The CDBG-M notifies the Coordinator (OKC) at Oklahoma City; b. If the contractor is not excluded, the CDBG-A prints all exclusion page(s) and notifies the CDBG-M the contractor is not debarred; 10. The CDBG-M approves the Project by: a. Sending an to the Coordinator (OKC) at Oklahoma City and the CDBG-A i. The RS 2 at Oklahoma City initiates the Construction Procedure. 11. The ACTII reviews and compares the cost estimate to the Initial Duplication of Benefits Summary (CDBG-DR-HR 11- A); determines if the project will require a contribution from the Applicant s funds; and proceeds to the next step; a. If a contribution is not required, the ACTII notifies the CDBG-A b. If a contribution is required, the ACTII notifies the CDBG-A 12. The CDBG-A takes the following steps a. Assembles the Loan Agreement package between the City and the owner(s); i. Includes the term of five years, an interest rate of 0%, the recapture provision for sale during the grant period, and the forgiveness of 1/5 th of the grant per year; b. Notifies the Applicant of the approval; c. Schedules a Loan Agreement closing with the owner(s); d. Places a copy of the approval in the Applicant s file; 13. The CDBG-A meets with the owner(s) for the loan agreement closing; a. The owner(s) and the City sign and date the Loan Agreement; i. A copy of the Loan Agreement is provided to the Owner(s); ii. A copy of the Loan Agreement is placed in the Applicant s file; iii. The CDBG-A proceeds to the next step 14. The CDBG-A notifies the ACT II of the transfer to construction and provides the ACT II with a revised Work Order (CDBG-DR-HR 01) 15. The Approval by Moore procedure is complete. Verification of Benefits Policy 1. The City requires Verification of Benefits (VOB) of all Applications for the CDBG-DR Housing Rehabilitation program; 33

34 2. Verification of Benefits (VOB) is a procedure completed by the Compliance Specialist (CS) which results in a verification of the Eligibility and Duplication and Benefits (DOB) requirements of the program. 3. VOB is used to combat the potential for waste, fraud and abuse of CDBG-DR funds Procedures 1. The CS opens the Verification of Benefits (VOB) Checklist (CDBG-DR-HR-11-E) for the Applicant; a. The VOB Checklist (CDBG-DR-HR-11-E) for the Applicant is already populated with the elements which require verification; 2. The CS accesses the FEMA database and searches for the property by street address; a. The CS determines the total amount of funds disbursed for a FEMA Housing Grant - Interim Housing Rent; b. If the FEMA record for the FEMA Housing Grant - Interim Housing Rent matches the amount entered in the VOB Checklist (CDBG-DR-HR-11-E), the CS enters the date verified and proceeds to the next step; c. If the FEMA record for the FEMA Housing Grant - Interim Housing Rent does not match the amount entered in the VOB Checklist (CDBG-DR-HR-11-E), the CS enters the reason, or discrepancy in the Notes or Comments column and proceeds to the next step; 3. The CS accesses the FEMA database and searches for the property by street address; a. The CS determines the total amount of funds disbursed for a FEMA Housing Grant - Permanent Housing; b. If the FEMA record for the FEMA Housing Grant - Permanent Housing matches the amount entered in the VOB Checklist (CDBG-DR-HR-11-E), the CS enters the date verified and proceeds to the next step; c. If the FEMA record for the FEMA Housing Grant - Permanent Housing does not match the amount entered in the VOB Checklist (CDBG-DR-HR-11-E), the CS enters the reason, or discrepancy in the Notes or Comments column and proceeds to the next step; 4. The CS accesses the State database and searches for the property by street address; a. The CS determines the total amount of funds disbursed as a National Flood Insurance Program (NFIP) payment; b. If the NFIP record for the address matches the amount entered in the VOB Checklist (CDBG-DR-HR-11-E) the CS enters the date verified and proceeds to the next step; c. If the NFIP record for the does not match the amount entered in the VOB Checklist (CDBG-DR-HR-11-E) the CS enters the reason, or discrepancy in the Notes or Comments column and proceeds to the next step; 34

35 5. The CS accesses the SBA database and searches for the property by street address; a. The CS determines the total amount of funds disbursed for a SBA Loan; b. If the SBA record for the loan matches the amount entered in the VOB Checklist (CDBG-DR-HR-11-E), the CS enters the date verified and proceeds to the next step; c. If the SBA record for the SBA Loan does not match the amount entered in the VOB Checklist (CDBG-DR-HR- 11-E) the CS enters the reason, or discrepancy in the Notes or Comments column and proceeds to the next step; 6. The CS accesses the Applicants file and searches for the Award Letter named; a. The CS determines the total amount of funds disbursed for an Other Award; b. If the Award Letter matches the amount entered in the VOB Checklist (CDBG-DR-HR-11-E) the CS enters the date verified and proceeds to the next step; c. If the Award Letter for the Other Award does not match the amount entered in the VOB Checklist (CDBG- DR-HR-11-E) the CS enters the reason, or discrepancy in the Notes or Comments column; and d. Repeats the procedure as many times as is necessary, then proceeds to the next step; 7. Upon completion of the VOB Checklist (CDBG-DR-HR-11-E) the CS notifies the CDBG-M and the CDBG-A; and a. Files the VOB Checklist (CDBG-DR-HR-11-E) in the Compliance Review File; b. Updates the Compliance Checklist (CDBG-DR-HR-15) Construction Procedure (OKC) Policy 1. The City has entered into an Interlocal Agreement with Oklahoma City to complete the rehabilitation of units selected and approved by the City; 2. Oklahoma City has agreed to complete all work to the Moore Building Code (2009 International Residential Code) and the applicable Federal requirements; 3. Oklahoma City s procedures for completing rehabilitation of units is adopted by reference; a. Oklahoma City is required to insure permitting and inspections are properly completed; 4. Moore s Construction Procedures only define the interaction between the City of Moore and Oklahoma City. 35

36 5. By agreement, Oklahoma City will invoice Moore for the reimbursable total rehabilitation expense at project completion; 6. By agreement, Oklahoma City will invoice Moore for a fee for completion of the rehabilitation separately, and Moore will pay the fee from the Moore s General Fund. Procedure Approval 1. The CDBG-A posts the following information to the City s Envision Moore webpage: ( a. Project name and Work Order number (CDBG-DR-HR 01) b. Category c. Project Eligibility file; d. Project Open file including: i. Work Order (CDBG-DR-HR 01) ii. Scope of Work iii. Cost Estimate e. Contract Package 2. The Coordinator (OKC) receives the approval from the CDBG-A; 3. The Coordinator (OKC) notifies the RS-1 OKC and the RS-2 OKC to initiate Oklahoma City s rehabilitation procedures; 4. The Coordinator (OKC), the RS-1 OKC and RS-2 OKC complete Oklahoma s rehabilitation procedures to the point the final bids have been evaluated and a contractor has been chosen; 5. The RS-II provides the Coordinator (OKC) with: a. The Contractors contact information b. The accepted bid; c. The debarment list clearance; d. The contract between the Applicant and the Contractor; e. The proposed closing place, time & date; 6. The Coordinator (OKC) reviews the information and forwards the information to the CDBG-A at the City of Moore; 7. The CDBG-A forwards the information provided to the information to the CDBG-M, the ACT II, and the CS; 36

37 i. The ACTII: 1. Enters the Contract Budget into the Work Order (CDBG-DR-HR 01-B); 2. Revises the balance of the Contract Budget (CDBG-DR-HR 01-B) to: a. Reflect any project delivery expenses incurred thus far including; i. The costs of the environmental review; ii. Staff time associated with the project; iii. Any other expenditures or anticipated costs; ii. The ACTII forwards the revised Work Order (CDBG-DR-HR 01) to the CDBG-A 1. Updates the Applicant File and Applicant File Checklist (CDBG-DR-HR 07); and 2. Contacts the Applicant to offer support and/or assistance; and 3. Initiates the purchase order process iii. The CDBG-M updates the activity in DRGR based on the Contract Budget (CDBG-DR-HR 01-B); iv. The CS prepares a Risk Analysis (CDBG-DR-HR 16) for the Project (see Compliance Review) 8. The CDBG-A and the CS attend the closing on behalf of the City; Change Orders 1. If a change order is required during construction, the following procedure will be followed: a. If the change order or cumulative change orders is within the 10% contingency, Oklahoma City will follow the applicable Oklahoma City rehabilitation procedure; b. If the change order or cumulative change orders exceeds the 10% contingency, the Coordinator (OKC) at Oklahoma City follows the Contract Amendment procedure Contract Amendment Procedure 1. The Coordinator (OKC) at Oklahoma City makes a Change Order (CDBG-DR-HR 14) request to the CDBG-M for an allowable change which affects the quality, budget, or schedule for the project and will cause the cumulative budget to be reduced or exceed the contracted budget by 10%; 2. The CDBG-M reviews the request and determines if the request is reasonable, exceeds the cumulative allowable contingency, and meets the Contract Amendment requirements; a. The CDBG-M may require a substitute change; accept the change as written; negotiate the change; deny the change; or determine that the change should be completed at the Change Order level. 37

38 38 b. If the CDBG-M determines the Contract Amendment is reasonable and meets the Contract Amendment requirements the CDBG-M prepares: i. A Contract Amendment scope of services ii. A Contract Amendment budget; iii. A cost reasonableness statement; and iv. A Contract Amendment schedule; c. The CDBG-M signs and forwards the Contract Amendment to the ACM-B; d. The ACM-B determines if the Contract Amendment is required, reasonable, and in the best interests of the City; e. If the ACM-B determine the Contract Amendment is required, reasonable, and in the best interests of the City the ACM-B signs the Contract Amendment and proceeds to the next step; i. If the ACM-B determines the Contract Amendment is not required or is not reasonable, or is not in the best interests of the City; ii. The ACM-B returns the Contract Amendment to the CDBG-M; 1. The CDBG-M either makes revisions to the Contract Amendment and resubmits to the ACM-B; or 2. The CDBG-M notifies the Coordinator (OKC) at Oklahoma City that the Contract Amendment has been denied f. The CDBG-M, forwards the approved Contract Amendment to the ACTII, the CS and the CDBG-A; g. The CDBG-A, in consultation with the Coordinator (OKC) at Oklahoma City, the Applicant, and the CS, schedules a signing date for the Contract Amendment; h. The Vendor and the Applicant sign the Contract Amendment; i. The CDBG-A provides copies of the signed Contract Amendment to: 1. The Applicant; 2. The Coordinator (OKC) at Oklahoma City; 3. The ACT II; and 4. The CS ii. The CDBG-A files a copy of the Contract Amendment in the Applicant File. i. The Coordinator (OKC) at Oklahoma City re-engages Oklahoma s rehabilitation procedures; j. The ACTII completes the Post Award Duplication of Benefits Worksheet (CDBG-DR-HR 11-D); k. The ACTII modifies the Project Budget to reflect the Contract Amendment and notifies CDBG-M; l. The CDBG-M updates the budget in DRGR;

39 m. The CS determines if the Contract Amendment affects the Risk Analysis (CDBG-DR-HR 16) for the project; n. The Contract Amendment procedure is complete. Construction Completion 1. Construction is complete when the following items (collectively, the completion package ) have been submitted by the Coordinator (OKC) for Oklahoma City to the CDBG-M at Moore: a. Certificate of Occupancy; b. Owner s Release c. Copy of all Warranties; d. Copy of the final Release of Liens; e. Evidence of the clearance of environmental conditions specified in the Environmental Review f. Invoice for Reimbursable Rehabilitation Expenses; g. Invoice for the agreed to Fee 2. The CDBG-M reviews the completion package for completeness and forwards the completion package to the CDBG- A; 3. The CDBG-A distributes the package as follows: a. Copies of the Certificate of Occupancy, Owner s Release, the Warranties and the Release of Final Liens are placed in the Applicants file; b. The CS receives the environmental clearance; i. If applicable, the CS compares the environmental clearance to the requirements stipulated in the Environmental Review; 1. If the environmental clearance is complete, the CS proceeds to the next step; 2. If the environmental clearance is not complete, the CS s the CDBG-M with the deficiencies; 3. The CDBG-M contacts the Coordinator (OKC) at Oklahoma City to correct the deficiency; a. Oklahoma City corrects the deficiency and resubmits to the CDBG-M; and b. The procedure is repeated until complete. ii. The CS files the environmental clearance in the Environmental Review file; iii. The CS updates the Environmental Checklist (CDBG-DR-HR 12) iv. Notifies the CDBG-M by that the Environment Review file is complete and proceeds to the next step: 39

40 Final Draw 1. Upon receiving confirmation from the CS that the Environmental Review file is complete and compliant, the CDBG- A inputs the invoice into the accounting software. 2. The ACTII reviews and approves the invoice; a. The ACTII reviews the invoice for ineligible costs; i. If there are no ineligible costs the ACTII proceeds to the next step; ii. If there are ineligible costs the ACTII notes the ineligible costs and subtracts the costs from the total Invoice; 3. The PS reviews and approves the invoice; 4. The CDBG-M reviews and approves the invoice; 5. The ACM-B reviews and approves the invoice; 6. The FD reviews and approves the invoice; 7. The FD transfers the Invoice to the Accounts Payable Clerk (APC) in Finance; 8. The APC reviews the invoice and enters the invoice in under the appropriate purchase order; 9. The APC prints out a payment voucher; a. The APC forwards the Payment Voucher to the Finance Director or, in their absence the Assistant Finance Director for approval; b. The Finance Director enters a code into INCODE which establishes payment approval; c. The APC prints out the checks and mails the check to Vendor; d. The APC creates a Claim Register which comes before City Council which ratifies the claims paid at the next regularly scheduled Council Meeting; e. Whenever a Claim Register is published, a Department Register is created by INCODE and is forwarded to the ACTII; f. The ACTII provides the CDBG-A with a copy of the Department Register; g. The CDBG-A s the Coordinator (OKC) at Oklahoma City that the Invoice was paid on the applicable date; 10. The CDBG-A: a. Enters the actual costs into the Work Order Actual Expenditures (CDBG-DR-HR 01-C) b. Records the Loan Agreement and Lien with the Cleveland County Clerk s Office c. Places the recorded Loan Agreement and Lien in the Applicant s file; and d. Updates the Applicant File Checklist (CDBG-DR-HR 07) 11. The final draw is complete. 40

41 Compliance Review Policy 1. The City utilizes an Internal Auditor to provide quarterly updates of the City s management and compliance with the CDBG-DR program. The Internal Auditor process is necessarily separate from the City s Compliance Review. 2. The Compliance Review and all associated tasks are the responsibility of the CS. The CS answers to directly to the ACM-B. 3. The City utilizes an integrated systemic approach to Compliance Review a. Integrated is defined as a methodology whereby the CS works directly with financial, management and development team members to encourage and maintain compliance throughout the development process. i. The CS attends key meetings and makes recommendation to address potential compliance issues; ii. Financial, management and development team members are encouraged by the CS to ask direct questions when the team member is either unsure of the compliance requirement or runs into a potential compliance problem; b. Systemic is defined as an approach that insures compliance at key points in the process through risk analysis and ongoing desk reviews by the CS from the documentation provided by financial, management and development team members; 4. Desk Reviews of specified documents are undertaken throughout the process; 5. Risk Analysis is conducted at the beginning of the project by the CS in consultation with the CDBG-M; 6. Risk Analysis is reviewed by the CS in consultation with the CDBG-M when any of following occur; a. The Vendor failed to meet a City, State, or Federal compliance standard; b. The Vendor failed to meet performance benchmarks; c. A Contract Amendment is required; or d. The CDBG-M may require an updated Risk Analysis (CDBG-DR-HR 16) at any time; Procedures 1. The CS establishes a Compliance File for the Project upon receipt of the signed Work Order (CDBG-DR-HR 01) from the CDBG-A; a. The CS inserts a Compliance File Checklist (CDBG-DR-HR 15) and the Work Order (CDBG-DR-HR 01) into the file; 2. The CS utilizes the Compliance Checklist (CDBG-DR-HR 15) to add to and maintain the Compliance file over the full procedure. 41

42 3. The CS determines if the National Objective is correct for the activity defined in the Work Order (CDBG-DR-HR 01); a. The CS reviews the National Objective Determination worksheet (CDBG-DR-HR 15-A) i. If the National Objective is correct for the activity defined in the work order, the CS proceeds to the next step; 1. If the National Objective is not correct for the activity defined in the work order, the CS contacts the CDBG-A to resolve; 2. Upon resolution, the CDBG-A amends the Work Order (CDBG-DR-HR 01); and 3. Resubmits the amended Work Order to the CS 4. The CS restarts the procedure until complete. 4. The CS completes the Verification of Benefits (CDBG-DR-HR 11-E) procedure; 5. The CS reviews the Statutory Environmental Checklist (CDBG-DR-HR 12-B) prior to the City granting approval to Oklahoma City to proceed; 6. The CS attends the project closing and provides input on potential compliance issues and potential environmental issues; 7. The CS prepares a Risk Analysis (CDBG-DR-HR 16) for the Project based on the following Vendor factors: a. Past performance of the Vendor for similar size and scope projects; b. Past performance of the Vendor for the City for similar size and scope projects; c. Familiarity and experience with Federal Programs; d. Such other factors determined by the CDBG-M and the CS as necessary or prudent; 8. The CS evaluates the Risk Analysis (CDBG-DR-HR 16) and establishes a plan for monitoring, evaluation and/or desk review. 9. Desk Reviews of key documents are contained within Project segments. The CS reviews the following documents for compliance as they are produced; a. The Work Order (CDBG-DR-HR 01); b. The Duplication of Benefits Certification (CDBG-DR-HR 11-C); c. Contract Amendments; (CDBG-DR-HR 14) 42

43 Closeout Policy 1. The Closeout and all associated tasks are the responsibility of the CDBG-DR Assistant (CDBG-A) who answers directly to the Associate Planner/Grants Manager (CDBG-M). a. The CDBG-M, ACTII, and the CS assist the CDBG-A in completing Closeout; 2. Projects are closed out after construction is complete, inspections are complete, all invoices have been paid, and all compliance reviews are complete; 3. The purpose of closeout is to insure financial accuracy, permanent file integrity, and overall compliance with program requirements. Procedures 1. The CDBG-A s each project team member requesting a signed and dated copy of: a. The CS provides the CDBG-A with the following completed checklists i. The Compliance Checklist (CDBG-DR-HR 15); ii. The Verification of Benefits Checklist (CDBG-DR-HR-11-E) b. The ACTII provides the CDBG-A with the following completed checklists: i. Financial; (CDBG-DR-HR 02) c. The CDBG-A contributes i. The Applicant File Checklist (CDBG-DR-HR 07); ii. The final Duplication of Benefits Certification (either CDBG-DR-HR 11-C or CDBG-DR-HR 11-D); 2. Utilizing the submitted checklists, the CDBG-A: a. Reviews each submitted checklist for completeness, date and signature; i. If the checklist is complete the CDBG-A checks the appropriate box in the Master Closeout Checklist (CDBG-DR-HR 01-D) and proceeds to the next step; 1. If the checklist is incomplete, the CDBG-A notifies the staff person responsible and requests an updated submission; 2. Upon submission of the updated checklist, the CDBG-A restarts the review ii. If the checklist has been dated and signed, the CDBG-A proceeds to the next step; 1. If the checklist has not been dated and signed, the CDBG-A notifies the staff person responsible and requests an updated submission 43

44 2. Upon submission of the updated checklist, the CDBG-A restarts the review. b. The CDBG-A enters completion and review data in the Master Closeout Checklist (CDBG-DR-HR 01-D) c. CDBG-A signs and dates the Master Closeout Checklist (CDBG-DR-HR 01-D); d. The CDBG-A sends an to the CDBG-M; the CS; and ACTII notifying each that the Project is closed out e. The CDBG-M; the CS; and ACTII transfer project records to the CDBG-A; f. The CDBG-A prepares the project records for storage; g. The CDBG-A transfers the project records to the Community Development Storage facility; 3. The CDBG-A updates the following information on the City s Envision Moore webpage: a. Project Close file including: i. Updated Work Order (CDBG-DR 01) ii. Updated Scope of Work including Change Orders iii. Actual Costs (CDBG-DR-HR 01-C) b. Contract Package 4. Close out is complete. 44

45 Appendix 1: Forms 45

46 List of Forms Form Name Rehab Work Order Initial Budget Contract Budget TABLE 1: Descriptive List of Forms Originating Form Number Staff INTERNAL FORMS CDBG-DR-HR 01 CDBG-DR-HR 01-A CDBG-DR-HR 01-B CDBG-M CDBG-A CDBG-A Purpose Summarizes Key Project Information; Establishes Account Number; Timeframe; and National Objective Budget establish at scheduling of Interview Estimated costs for Environmental; Project Delivery and compliance; and Proposed construction budget with contingency from OKC Scope Summary Actual CDBG-DR-HR Expenditures 01-C CDBG-A Actual Costs of the Project Master Closeout CDBG-DR-HR Checklist 01-D CDBG-A Used to close each project file Financial Checklist CDBG-DR-HR 02 ACTII Overall Project Financial File Checklist Application Log CDBG-DR-HR 03 CDBG-A Log for requests for applications for the program Application CDBG-DR-HR 04 CDBG-A Completed by the Applicant for Submission to determine eligibility General Release CDBG-DR-HR 05 CDBG-A Completed by the Applicant & Notarized Agreement to Recapture Applicant File Checklist Interview Summary Affidavit of One and the Same Name Income Self- Certification Form Duplication of Benefits Workbook Initial Duplication of Benefits Worksheet SBA Worksheet DOB Award Worksheet CDBG-DR-HR 06 CDBG-A Completed by the Applicant & Notarized CDBG-DR-HR 07 CDBG-A Completed by the CDBG-A to Maintain file integrity CDBG-DR-HR 08 CDBG-A Completed by the CDBG-A during the interview CDBG-DR-HR 09 CDBG-A Completed by applicant(s) when there is a discrepancy between the name on Deed and owners CDBG-DR-HR 10 CDBG-A Completed by Applicant CDBG-DR-HR 11 CDBG-DR-HR 11-A CDBG-DR-HR 11-B CDBG-DR-HR 11-C CDBG-A and ACTII ACTII ACTII ACTII DOB Workbook Initial DOB completed by ACTII Utilized only for SBA Loans Declined Calculates Award 46

47 Post-Award DOB Worksheet Verification of Benefits Environmental Review File Checklist Statutory Checklist Mitigation Scope & Resolution 47 CDBG-DR-HR 11-D CDBG-DR-HR 11-E CDBG-DR-HR 12-A CDBG-DR-HR 12-B CDBG-DR-HR 12-C ACTII CS CS CS CS Scope Summary CDBG-DR-HR 13 PM Contract Amendment Change Order Compliance Checklist Recalculates the Award if new resources are received Reviews the DOB Award Worksheet Environmental Review Process File requirements Statutory Checklist Utilized when environmental hazards are found Summary of Scope of Services, environmental review mitigation requirements and estimated costs. Utilized by OKC to obtain approval for Moore CDBG-DR-HR 14 CDBG-M When costs exceed contingency CDBG-DR-HR 15 CS Checklist of documentation to be reviewed by compliance Risk Analysis CDBG-DR-HR 16 CS Monitoring Risk Analysis Grievance CDBG-DR-HR CDBG-A Handout for Home Owners Procedure 17-A Grievance CDBG-DR-HR Acknowledgement of receipt of Grievance Procedure CDBG-A 17-B Procedure Acknowledgement Outline of Rehab Process CDBG-DR-HR 17-C CDBG-A Handout for Home Owners VENDOR GENERATED FORMS Form Name Form Number Originating Staff Purpose Bid Instructions VDR-HR 01 OKC Bid instructions to the homeowner Hold Harmless VDR-HR 02 OKC Agreement Hold Harmless Agreement Voluntary Moving VDR-HR 03 OKC Expenses Relocation During Construction Affidavit for Direct VDR-HR 04 OKC Payment to Payment Administration Contractor Recurring Cracks VDR-HR 05 OKC and Separations Warranty Exclusion Loan Closing Summation VDR-HR 06 OKC Explains home owners responsibilities during construction Memorandum of Understanding VDR-HR 07 OKC Agreement between OKC, homeowner and contractor Notice to Proceed VDR-HR 08 OKC Notice to proceed

48 Rehabilitation Contract Written Notice of Defects Change Order Developer Change Order Rehab VDR-HR 09 VDR-HR 10 VDR-HR 11 VDR-HR 12 OKC OKC OKC OKC Contract between Owner and Contractor Warranty Repairs Change order Rehab Change Order 48

49 CDBG-DR-HR 01: Rehab Work Order (In the Work Order (CDBG-DR-HR 01) Workbook under the Tab: Work Order) CDBG-DR-HR 01-A: Initial Budget (In the Work Order (CDBG-DR-HR 01) Workbook under the Tab: Initial Budget) CDBG-DR-HR 01-B: Contract Budget (In the Work Order (CDBG-DR-HR 01) Workbook under the Tab: Contract Budget) CDBG-DR-HR 01-C: Actual Expenditures (In the Work Order (CDBG-DR-HR 01) Workbook under the Tab: Actual Expenditures) CDBG-DR-HR-01-D: Master Closeout Checklist (In the Work Order (CDBG-DR-HR 01) Workbook under the Tab: Master Closeout Checklist) 49

50 CDBG-DR-HR 02: Financial Checklist CDBG-DR-HR 02 Financial Project Checklist CDBG DR Grant #B-13-MS Budgeted Obligated Project Name Work Order # Status Funds Funds Expended Funds $ - $ - $ - Drawn Funds LOC B $ - $ Financial Project file contains: Financial Checklist Document Status Date Completed Signature Work Order Initial Budget DOB Determination & supporting docs Contract Budget Change Orders, if applicable Project Accounting Detail Register Lien Releases Actual Expenditures Leverage Reconciliation 50

51 51

52 CDBG-DR-HR-03: Application Log Date Requested Housing Rehabilitation Application Package Request Log Name Address Phone Date Received or Mailed Initials 52

53 CDBG-DR-HR 04: Application Package CDBG-DR-HR 04 Housing Rehabilitation Application Address of the Property Damaged APPLICATION Part I Household Information APPLICANT Applicant Name Home or Cell Phone Work Phone US Citizen? (Circle Resident Alien (Circle Yes No Applicable) Applicable) Yes No N/A Race Ethnicity Social Security Number Current Address JOINT APPLICANT Joint Applicant Name Phone US Citizen? (Circle Resident Alien (Circle Yes No Applicable) Applicable) Yes No N/A Race Ethnicity Social Security Number Current Address HOUSEHOLD MEMBERS All persons currently living in the household must be identified Name Age Social Security Number US Citizen or Resident Alien (Indicate Which) Full Time Student (Yes or No) Race Ethnicity Relationship to Applicant or Joint Applicant 53