cdbg income survey requirements for grant administrators

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CDBG Income Survey Requirements

For Grant Administrators

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Purpose of Surveys

• Determine if a CDBG National Objective can be met by proposed project activity

• Obtain demographic information from survey area residents

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Meeting a CDBGNational Objective (Area Benefit)

• At least 51% of the residents benefiting from the CDBG program live in households earning 80% or less than the area's Median Family Income as Determined by HUD

• The Median Family Income Thresholds change every year

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State Program Service Area

• HUD will generally accept the state and local determination of the service area unless the nature of the activity or its location raises serious doubt about the area claimed by the state and its grant recipients.

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State Program Service Area

Keys to meet LMI area national objective.

• Service area decided based on the activity beneficiaries

• Critical that the service area be the entire area served by the activity (see 24 CFR 570.483(b)(1)(i)).

• Need not be coterminous with census tracts or other officially recognized boundaries

• At least 51% residents service area LMI persons.

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State Program Service Area

Service area boundaries…why need for survey

– may or may not coincide with census or other geographic boundaries,

– one census tract covers an entire city or there may be only two or three census tracts in an entire county.

– smaller communities and rural areas where block groups or census tracts with low population densities cover large areas.

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State Program Service Area

Service area boundaries…examples

– Street paving project serves residents in part of community

– Fire station project serves community and rural unincorporated area of 2 or more counties

– Rural water district serves community and portion of the rural area

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State Program Service Area

True or False? The service area…• Is always the legal boundaries of the

community or county applicant?• Needs to meet Census tract boundaries?• Is based on the area the benefiting residents

live in the community?

• At least ?? % residents must be LMI persons.

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State Program Service Area

True or False? The service area…• Is always the legal boundaries of the

community or county applicant? False• Needs to meet Census tract boundaries?• Is based on the area the benefiting residents

live in the community?

• At least ?? % residents must be LMI persons.

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State Program Service Area

True or False? The service area…• Is always the legal boundaries of the community

or county applicant? False• Needs to meet Census tract boundaries? False• Is based on the area the benefiting residents live

in the community?

• At least ?? % residents must be LMI persons.

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State Program Service Area

True or False? The service area…• Is always the legal boundaries of the community

or county applicant? False• Needs to meet Census tract boundaries? False• Is based on the area the benefiting residents live

in the community? True

• At least ?? % residents must be LMI persons.

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State Program Service Area

True or False? The service area…• Is always the legal boundaries of the community or

county applicant? False• Needs to meet Census tract boundaries? False• Is based on the area the benefiting residents live in the

community? True

• At least 51% residents of the service area must be LMI persons.

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State Program Service Area

Service area boundaries…examples

– Street paving project serves residents in part of community

– Fire station project serves community and rural unincorporated area of 2 or more counties

– Rural water district serves community and portion of the rural area

Survey Methodology

• Two Methods of Surveys

– Census (100% survey of service area)

– Sampling (random sample of survey area

• Which Method to Use?

– Ask State for guidance

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Census Method

• Census method for survey of population for small communities and rural areas okay if…

– Local unit of government illustrates how calculated

– LMI persons calculated from entire population local unit of government

– Service area population not calculated based on the respondents to the survey

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Census Method

Census method for survey of population for small communities and rural areas…

Census survey conducted entire population.640 residents with return rate 80%, which =512 residents respond to family income based on distribution to households,Thus, 51% respondents must be LMI?or 261 respondents of the community?

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Census Method

Census method for survey of population for small communities and rural areas…Thus, 51% respondents must be LMI?or 261 respondents of the community? Incorrect.

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Census Method

Census method for survey of population for small communities and rural areas…Thus, 51% respondents must be LMI?or 261 respondents of the community? Incorrect.

51% of the population surveyed (640) must be LMI residents, which means 326 respondents of the community census survey must be LMI.Correct.

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Sampling Surveys

• Selecting the Sample

– Need to define survey population (service area)

– Determine how many households need to be interviewed

– Make allowances for “unreachables” and non-respondents

– Actual sample selection

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Sample Size

• Use Table B to determine how many household need to be interviewed

• Do not try to interview everyone unless the small sample size dictates it!

• All households in survey area must have an equal chance of selection

• Use random numbers table or on-line randomizer like www.randomizer.org or www.random.org.

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Table B – Required Number of completed Interviews randomly selected for the identified Service Area that must be obtained for the survey process to be valid for areas of

Various Sizes

Number of Families in the Service Area

Number of Reponses

% over sampling

1 –55

56 – 63

64 – 70

71 – 77

78 – 87

88 – 99

100 – 115

116 – 138

139 – 153

154 – 180

181 – 238

239 – 308

309 – 398

399 – 650

651 – 1200

1,201 – 2,700

2,701 or more

50

55

60

65

70

80

90

100

110

125

150

175

200

250

300

350

400

0 0 0 0 0 0

10

10

10

10

10

15

15

20

20

20

20

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Defining the Population

• Need an accurate method to identify all households in survey area

• City indexes and telephone books and 911 maps are helpful• Not everyone has a telephone• Tax rolls can mislead• www.reversephonedirectory.com

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“Unreachables” and Non-Respondents

• Make follow-up contacts• Goal of 80% is good target• Go back to random sampling to complete

survey• Must not exceed % on Table B

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Survey Steps

• Select the Survey Type• Developing a Questionnaire• Conducting the Survey• Determine the Results• Documenting Your Results

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Step 1: Select the Survey Type

• Mail• Door to Door (In Person)• Telephone

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Mail Surveys

• Basic method for collecting data• Survey form should be mailed with self-

addressed stamped envelope• Usually has lowest response rate

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Door to Door Surveys

• Interviewer visits households directly • Survey form completed on-site• Interviewers need maximum training• Follow-up visits usually needed• Highest response rate

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Telephone Surveys

• Questions asked via telephone• Need to assure proper responder answers questions• Need to develop method to contact those without

phone or with unlisted number• Moderate to high response rate

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Table A – Summary Comparison of the Three Survey Methods

Dimension of Comparison Mailed Questionnaire

Face-to-Face Interviews

Telephone Interviews

Cost

Moderate

High

Low

Data Quality: Response rate Respondent motivation Interview bias

Low Low

None

High High

Moderate

Moderate to High High Low

Sample quality

Low

High

Moderate

Interview length

Short

Very Long

Long

Ability to probe and clarify

None

High

High

Speed

Low

Low

High

Interviewer supervision

None

Low

High

Anonymity

High

Low

Low

Ability to use computer assistance during process

None

Possible

High

Dependence on respondent’s reading and writing abilities

High

None

None

Control of context and question order

High

High

High

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Step 2: Developing a Questionnaire

• Determine content, wording, format and placement of questions

• For CDBG, must contain income and demographic information

• All respondents must be asked the same questions• Exact responses must be recorded as they are

presented

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Step 3: Conducting the Survey

• Give advance notice of survey• Do not bias the results• Interviewer must follow process• Survey etiquette must be followed• Turn surveys over to tabulator• Each survey needs to be reviewed and edited for completeness

and accuracy

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Conducting the Survey

• Remember-- People are leery of surveys, especially regarding income information!

• Keep documentation regarding income simple

• Good PR is key

• Interviewers must be tactful

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Confidentiality

• You should do your best to maintain confidentiality. Emphasize to respondents that their answers will be kept confidential.

• The respondent’s name, address, and telephone number should appear only on the cover sheet of the questionnaire.

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Confidentiality

• After the survey is completed, the cover sheet may be numbered and separated from the actual interview sheet. If the cover sheets and the questionnaires are both numbered, they can be matched if necessary.

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Step 4: Determining the Results

For Sampling Surveys??• Add numbers for all data• Tabulate the responses and calculate

estimated LMI %• Compare family sizes and percentages of

LMI and Non-LMI responder families• Compare to existing Census data• Analyze non-respondents

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Step 4: Determining the Results

For LMI Area Benefit Activities not using HUD Census data PART I. INFORMATION CONTAINED IN YOUR SURVEY1. Total number of families (including single person families)…….1.________

in the activity service area. 2. Total number of families in the service area that were…………..2.________

contacted (include not reachable, refused to answer, incomplete interview/questionnaire)

3. Total number of completed interviews……………………………….…….3.________4. Percent of families responding (3/2)………………………………….…….4. ________%5. Total number of persons in the families interviewed……….………5.________6. Total number of persons in the families interviewed ……….…….6.________

who are LMI persons. 7. Divide Line 6 by Line 5 and multiply by 100……………………….……7.________%8. Total number of persons in the service area …………………….…….8.________

(if community wide, use 2000 Census). 9. Total number of LMI persons benefiting (7 x 8)……………………….9.________      

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Step 4: Determining the Results

For LMI Area Benefit Activities not using HUD Census data PART I. INFORMATION CONTAINED IN YOUR SURVEY1. Total number of families (including single person families)…….1._450____

in the activity service area. 2. Total number of families in the service area that were…………..2._257____

contacted (include not reachable, refused to answer, incomplete interview/questionnaire)

3. Total number of completed interviews……………………………….…….3._228____4. Percent of families responding (3/2)………………………………….…….4. _88.7___%5. Total number of persons in the families interviewed……….………5.________6. Total number of persons in the families interviewed ……….…….6.________

who are LMI persons. 7. Divide Line 6 by Line 5 and multiply by 100……………………….……7._______%8. Total number of persons in the service area …………………….…….8._______

(if community wide, use 2000 Census). 9. Total number of LMI persons benefiting (7 x 8)……………………….9._______      

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Step 4: Determining the Results

For LMI Area Benefit Activities not using HUD Census data PART I. INFORMATION CONTAINED IN YOUR SURVEY1. Total number of families (including single person families)…….1._450____

in the activity service area. 2. Total number of families in the service area that were…………..2._257____

contacted (include not reachable, refused to answer, incomplete interview/questionnaire)

3. Total number of completed interviews……………………………….…….3._228____4. Percent of families responding (3/2)………………………………….…….4. _88.7___%5. Total number of persons in the families interviewed……….………5._796__6. Total number of persons in the families interviewed ……….…….6._412__

who are LMI persons. 7. Divide Line 6 by Line 5 and multiply by 100……………………….……7._51.76__%8. Total number of persons in the service area …………………….…….8._1,395__

(if community wide, use 2000 Census). 9. Total number of LMI persons benefiting (7 x 8)……………………….9.__722__      

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Step 4: Determining the Results

For LMI Area Benefit Activities not using HUD Census data PART I. INFORMATION CONTAINED IN YOUR SURVEY1. Total number of families (including single person families)…….1._450____

in the activity service area. 2. Total number of families in the service area that were…………..2._257____

contacted (include not reachable, refused to answer, incomplete interview/questionnaire)

3. Total number of completed interviews……………………………….…….3._228____4. Percent of families responding (3/2)………………………………….…….4. _88.7___%5. Total number of persons in the families interviewed……….………5._796__6. Total number of persons in the families interviewed ……….…….6._412__

who are LMI persons. 7. Divide Line 6 by Line 5 and multiply by 100……………………….……7._51.76__%8. Total number of persons in the service area …………………….…….8._1,395__

(if community wide, use 2000 Census). 9. Total number of LMI persons benefiting (7 x 8)……………………….9.__722__      

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Step 4: Determining the Results

For LMI Area Benefit Activities not using HUD Census data PART I. INFORMATION CONTAINED IN YOUR SURVEY1. Total number of families (including single person families)…….1._450____

in the activity service area. 2. Total number of families in the service area that were…………..2._257____

contacted (include not reachable, refused to answer, incomplete interview/questionnaire)

3. Total number of completed interviews……………………………….…….3._228____4. Percent of families responding (3/2)………………………………….…….4. _88.7___%5. Total number of persons in the families interviewed……….………5._796__6. Total number of persons in the families interviewed ……….…….6._412__

who are LMI persons. 7. Divide Line 6 by Line 5 and multiply by 100……………………….……7._51.76__%8. Total number of persons in the service area …………………….…….8._1,395__

(if community wide, use 2000 Census). 9. Total number of LMI persons benefiting (7 x 8)……………………….9.__722__      

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Step 5: Documenting Your Results

• Keep all completed surveys• Maintain a list of households sampled• Documentation of selection process• Keep all records per your state requirements

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Analysis of Sampling Surveys

• What to do if everything was done correctly, including random selection of the required number of families, and your estimate shows that less than 51 percent of the residents of the service area have low- and moderate-incomes?– LMI area benefit activities cannot be undertaken

in that area.

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Lifespan of a Survey

• How long is an income survey good for? • What if there are significant changes?

• Surveys may be used more than once only for the same exact service area

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Resources and References

• HUD Notice CPD-05-06• STATE SPECIFIC REFERENCES