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 CDBG
National 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
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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

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 nonrespondents
– 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
% over sampling Number of Families in the Service
Area
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
Number of
Reponses
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 selfaddressed 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 Face-to-Face
Questionnaire
Moderate
Interviews
High
Telephone
Interviews
Low Cost
Data Quality:
Response rate
Respondent motivation
Interview bias
Low
Low
None
High
High
Moderate
Moderate to High
High
Low
Sample quality
Interview length
Ability to probe and clarify
Speed
Interviewer supervision
Anonymity
Ability to use computer assistance during process
Dependence on respondent’s reading and writing abilities
Control of context and question order
Low
Short
None
Low
None
High
None
High
High
High
Very Long
High
Low
Low
Low
Possible
None
High
Moderate
Long
High
High
High
Low
High
None
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 SURVEY
1. 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 SURVEY
1. 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 SURVEY
1. 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 SURVEY
1. 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 SURVEY
1. 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 moderateincomes?
– 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
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