[Federal Register Volume 60, Number 37 (Friday, February 24, 1995)]
[Notices]
[Pages 10452-10465]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-4451]
[[Page 10451]]
_______________________________________________________________________
Part V
Department of Housing and Urban Development
_______________________________________________________________________
Office of the Assistant Secretary for Public and Indian Housing
_______________________________________________________________________
Community Development Block Grant Program for Indian Tribes and Alaska
Native Villages; Notice of Fund Availability
Federal Register / Vol. 60, No. 37 / Friday, February 24, 1995 /
Notices
[[Page 10452]]
DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
Office of the Assistant Secretary for Public and Indian Housing
[Docket No. N-95-3870; FR-3798-N-01]
Community Development Block Grant Program for Indian Tribes and
Alaska Native Villages; Notice of Fund Availability
AGENCY: Office of the Assistant Secretary for Public and Indian
Housing, HUD.
ACTION: Notice of Fund Availability for Fiscal Year 1995.
-----------------------------------------------------------------------
SUMMARY: This Notice of Fund Availability (NOFA) announces HUD's
funding for the Community Development Block Grant Program for Indian
Tribes and Alaska Native Villages (hereafter referred to as the ICDBG
Program) for Fiscal Year 1995. In the body of this document is
information concerning the following:
(a) The purpose of the NOFA, and information regarding eligibility,
available amounts, and selection criteria;
(b) Application processing, including how to apply and how
selections will be made; and
(c) A checklist of steps and exhibits involved in the application
process.
DATES: Applications must be received by the appropriate field office of
the HUD Office of Native American Programs (ONAP) no later than 3:00
P.M. May 14, 1995. Application materials will be available from each
field office. General program questions may be directed to the field
office serving your area or by contacting Dom Nessi, Office of Native
American Programs, Office of Public and Indian Housing, Department of
Housing and Urban Development, Room B-133, 451 Seventh Street SW,
Washington, DC 20410. Telephone (202) 755-0068. The Telecommunications
Device for the Deaf (TDD) number is (202) 708-0850. (These are not
toll-free numbers.)
SUPPLEMENTARY INFORMATION:
Paperwork Requirements
The information collection requirements contained in this Notice
have been approved by the Office of Management and Budget, under
section 3504(h) of the Paperwork Reduction Act of 1980 (44 U.S.C. 3501-
3520), and have been assigned OMB control number 2506-0043.
Table of Contents
I. Purpose and Substantive Description
(a) Authority
(b) Funding
(c) Eligible Activities
(d) Applicant Eligibility
(e) Screening for Acceptance
(f) Application Review Process Description
(g) Overall thresholds
1. Applicant-Specific Thresholds--Capacity and Performance
A. Capacity
B. Performance
2. Community Development Appropriateness
A. Costs are Reasonable
B. The Project is Appropriate for the Intended Use
C. Project is Usable/Achievable within Two Years
(h) General definitions
(i) Project definitions, thresholds and selection criteria
1. Housing
A. Threshold for all housing category projects
B. Rehabilitation
(1) Thresholds
(2) Grant Limits
(3) Selection Criteria
a. Project Need and Design
b. Planning and Implementation
c. Leveraging
C. Land to Support New Housing
(1) Thresholds
(2) Selection Criteria
a. Project Need
b. Planning and Implementation
D. New Housing Construction/Direct
Home Ownership Assistance
(1) Thresholds
(2) Selection Criteria
a. Project Need and Design
b. Planning and Implementation
c. Leveraging
2. Community Facilities
A. Infrastructure
(1) Selection Criteria
a. Project Need and Design
b. Planning and Implementation
c. Leveraging
B. Buildings
(1) Thresholds
(2) Selection Criteria
a. Project Need and Design
b. Planning and Implementation
c. Leveraging
3. Economic Development
(A) Thresholds
(B) Selection Criteria
(1) Organization
(2) Project Success
(3) Leveraging
(4) Permanent Full time Job Creation and Training
(5) Additional Considerations
4. Selection System Criteria and Point Award Summary
II. Application Process
III. Application Submission Requirements and Checklist
IV. Procedural Error and Appeals
V. Other Matters
(a) Federalism Executive Order
(b) Family Executive Order
(c) Registration of Consultants
(d) Prohibition of Advance Disclosure of Funding Decisions
(e) Economic Opportunities for Low and Very Low Income Persons
I. Purpose and Substantive Description
(a) Authority
Title I, Housing and Community Development Act of 1974, as amended
(42 U.S.C. 5301 et seq.); sec. 7(d) of the Department of Housing and
Urban Development Act (42 U.S.C. 3535(d)); 24 CFR part 953.
(b) Funding
Amendments to Title I of the Housing and Community Development Act
of 1974 have required that the allocation for Indian Tribes be on a
competitive basis in accordance with selection criteria contained in a
regulation promulgated by the Secretary after notice and public
comment. The interim regulation containing the selection criteria was
issued July 27, 1994, and is published in the Federal Register at 59 FR
38326. All grant funds awarded in accordance with this NOFA are subject
to the requirements of 24 CFR Part 953.
Documentation and Public Access Requirements; Applicant/Recipient
Disclosures: HUD Reform Act
Documentation and public access requirements. HUD will ensure that
documentation and other information regarding each application
submitted pursuant to this NOFA are sufficient to indicate the basis
upon which assistance was provided or denied. This material, including
any letters of support, will be made available for public inspection
for a five-year period beginning not less than 30 days after the award
of the assistance. Material will be made available in accordance with
the Freedom of Information Act (5 U.S.C. 552) and HUD's implementing
regulations at 24 CFR part 15. In addition, HUD will include the
recipients of assistance pursuant to this NOFA in its Federal Register
notice of all recipients of HUD assistance awarded on a competitive
basis. (See 24 CFR 12.14(a) and 12.16(b), and the notice published in
the Federal Register on January 16, 1992 (57 FR 1942), for further
information on these documentation and public access requirements.)
Disclosures. HUD will make available to the public for five years
all applicant disclosure reports (HUD Form 2880) submitted in
connection with this NOFA. Update reports (also Form 2880) will be made
available along with the applicant disclosure reports, but in no case
for a period less than three years. All reports--both applicant
disclosures and updates--will be made available in accordance with the
Freedom of Information Act (5 U.S.C. 552) and HUD's implementing
regulations at 24 [[Page 10453]] CFR part 15. (See 24 CFR part 12
subpart C, and the notice published in the Federal Register on January
16, 1992 (57 FR 1942), for further information on these disclosure
requirements.)
1. Allocations. The requirements for allocating funds to field
offices responsible for program administration are found at 24 CFR
953.101. Following these requirements, the allocation for FY 1995 is as
follows:
Eastern Woodlands.......................................... $3,577,545
Southern Plains............................................ 8,322,000
Northern Plains............................................ 7,028,048
Southwest.................................................. 19,008,484
Northwest.................................................. 2,751,491
Alaska..................................................... 3,812,432
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Total.................................................. 44,500,000
The total FY 1995 ICDBG allocation is $46,000,000. As indicated in
Section I(b)3 below, $1,500,000 has been retained to fund Imminent
Threat grants.
2. Grant Ceilings. The authority to establish grant ceilings is
found at 24 CFR 953.100(b)(1). Grant ceilings are established for FY
1995 funding at the following levels:
------------------------------------------------------------------------
Field offices Population Ceiling
------------------------------------------------------------------------
Eastern Woodlands................. ALL $300,000
Southern Plains................... ALL 750,000
Northern Plains................... ALL 800,000
Southwest......................... 50,001+ 5,000,000
10,501-50,000 2,500,000
9,001-10,000 2,000,000
7,501-9,000 1,500,000
6,001-7,500 1,000,000
4,501-6,000 750,000
3,001-4,500 650,000
1,501-3,000 550,000
1-1,500 450,000
Northwest......................... ALL 320,000
Alaska............................ ALL 500,000
------------------------------------------------------------------------
3. Imminent Threats
The criteria for grants to alleviate or remove imminent threats to
health or safety that require an immediate solution are described at 24
CFR part 953, subpart E. In accordance with the provisions of that
subpart, $1,500,000 is being retained to meet the funding needs of
imminent threat applications submitted to any of the field offices. The
grant ceiling for imminent threat applications for FY 1995 is
350,000. This ceiling is established pursuant to the requirements of 24
CFR 953.100(c).
(c) Eligibility of Activities
Activities that are eligible for ICDBG funds are identified at 24
CFR part 570 subpart C, as modified by 24 CFR part 953 subpart C. Both
the National Affordable Housing Act (NAHA) (P.L. 101-625) and the
Housing and Community Development Act of 1992 (the 1992 Act) (P.L. 102-
550) amended Title I of the Housing and Community Development Act of
1974 (HCD Act). Various amendments made by these two acts are
applicable.
(d) Applicant Eligibility
To apply for funding in a given fiscal year, an applicant must be
eligible as an Indian Tribe or Alaska Native Village (or as a tribal
organization) by the application submission date.
Tribal organizations are permitted to submit applications under 24
CFR 953.5(b) on behalf of eligible tribes or villages when one or more
eligible tribe(s) or village(s) authorize the organization to do so
under concurring resolutions. As is stated in this regulatory section,
the tribal organization must itself be eligible under Title I of the
Indian Self-Determination and Education Assistance Act.
If a tribe or tribal organization claims that it is a successor to
an eligible entity, the field office must review the documentation to
determine whether it is in fact the successor entity.
Due to the unique structure of tribal entities eligible to submit
ICDBG applications in Alaska, and as only one ICDBG application may be
submitted for each area within the jurisdiction of an entity eligible
under 24 CFR 953.5, a Village Corporation, Regional Corporation or
Tribal Organization which submits an application for activities in the
jurisdiction of one or more eligible tribes or villages, must include a
concurring resolution from each such tribe or village authorizing the
submittal of the application. Each such resolution must also indicate
that the tribe or village does not itself intend to submit an ICDBG
application for that funding round. The hierarchy for funding priority
continues to be the IRA Council, the Traditional Village Council, the
Village Corporation and the Regional Corporation.
On October 21, 1993, the Bureau of Indian Affairs (BIA) published a
Federal Register Notice entitled ``Indian Entities Recognized and
Eligible to Receive Services From the United States Bureau of Indian
Affairs''. This Notice provides a listing of Indian Tribal Entities in
Alaska found to be Indian Tribes as the term is defined and used in 25
CFR 83. Additionally, pursuant to Title I of the Indian Self-
Determination and Education Assistance Act, ANCSA Village Corporations
and Regional Corporations are also considered tribes and therefore
eligible applicants for the ICDBG program.
Any questions regarding eligibility determinations and related
documentation requirements for entities in Alaska should be referred to
the Alaska field office prior to the deadline for submitting an
application. (See 24 CFR 953.5 for a complete description of eligible
applicants.)
(e) Screening for Acceptance
Each field office will initially screen applications for single
purpose grants. Applications failing this initial screening shall be
rejected and returned to the applicants unrated. Field offices will
accept applications if all the criteria listed below as items 1.
through 6. are met:
1. The application is received by the appropriate field office no
later than 3:00 p.m. on the deadline date.
2. The applicant is eligible;
3. The proposed activities are eligible;
4. The application contains substantially all the components
specified in Section III of this notice; and
5. At least 70% of the grant funds are to be used for activities
that benefit low and moderate income persons, in accordance with the
requirements of 24 CFR 953.201(a). [[Page 10454]]
6. The application is for an amount which does not exceed the grant
ceilings that are established by the NOFA.
(f) Application Review Process Description
1. Threshold review. The field office will review each application
that passes the initial screening process to ensure that each applicant
and each proposed project meets the applicable threshold requirements
set forth in 24 CFR 953.302(a), as implemented by this NOFA. If an
applicant fails to meet any of the applicant-specific thresholds, its
application cannot be accepted for rating and ranking. Project(s) that
do not meet the community development appropriateness or applicable
project-specific thresholds will not be considered for funding.
2. All projects that meet the acceptance criteria and threshold
requirements will be reviewed and rated by a field office rating team
of at least three voting members. The field office will examine each
project to determine in which one of the three rating categories set
forth in 24 CFR 953.303 through 24 CFR 953.305 the project most
appropriately belongs. The project will be rated on the basis of the
criteria identified in the rating category component to which the
project has been assigned. The total of points for a rating component
is 100, which is the maximum any project can receive.
3. Public service projects. Due to the statutory 15 percent cap on
public services activities, applicants may not receive single purpose
grants solely to fund public services activities. However, any
application may contain a public services component for up to 15
percent of the total grant. This component may be unrelated to the
application's other project(s). If an application does not receive full
funding, the public services allocation will be proportionately reduced
to comprise no more than 15 percent of the total grant award.
4. Corrections to deficient applications and supplemental
information. HUD will not accept unsolicited information regarding the
application after the application deadline has passed. The field office
will advise applicants of technical deficiencies in applications and
permit them to be corrected. A technical deficiency is an error or
oversight which, if corrected, would not alter, in either a positive or
negative fashion, the review and rating of the application. Examples of
curable technical deficiencies would be a failure to submit proper
certifications or failure to submit an application containing an
original signature by an authorized official. HUD will notify
applicants in writing of any curable technical deficiencies in
applications.
The field office also may, at its discretion, request supplemental
information to resolve inconsistencies or ambiguities in the
application or information that may help clarify an application that,
in the field office's view, contains information that is inconsistent
with known facts or data.
Applicants will have 14 calendar days from the date of HUD's
correspondence to reply and correct the technical deficiency or provide
the requested supplemental information. If the technical deficiency is
not corrected within this time period, HUD will reject the application
as incomplete. If the supplemental information is not provided in this
time period and, as a consequence, the field office determines that the
applicant has failed to establish compliance with the requirements of
24 CFR part 953, the application will be returned, unrated.
Applicants may not submit information that would enhance a project's
rating, and a new project may not be substituted for one included in
the application.
5. Final ranking. All projects will be ranked against each other
according to the point totals they receive, regardless of the rating
category or component under which the points were received. Projects
will be selected for funding based on this final ranking, to the extent
that funds are available. Individual grant amounts will be determined
in a manner consistent with the considerations set forth in 24 CFR
953.100(b)(2). If the field office determines that an insufficient
amount of money is available to adequately fund a project, it may
decline to fund that project and fund the next highest ranking project
or projects for which adequate funds are available. HUD may select, in
rank order, additional projects for funding if one of the higher
ranking projects is not funded, or if additional funds become
available.
6. Tiebreakers. When rating results in a tie among projects and
insufficient resources remain to fund all tied projects, field offices
shall approve projects that can be fully funded over those that cannot
be fully funded. When that does not resolve the tie, the following
factors should be used in the order listed to resolve the tie:
A. Eastern Woodlands Office.
(1) The project that would benefit the highest percentage of low
and moderate income persons.
(2) The project that would benefit the most low and moderate income
persons.
B. Southern Plains Office.
(1) The project that would benefit the highest percentage of low
and moderate income persons.
(2) The applicant with the fewest active grants.
(3) The project that would benefit the most low and moderate income
persons.
C. Northern Plains Office.
(1) The project that would benefit the highest percentage of low
and moderate income persons.
(2) The project that would benefit the most low and moderate income
persons.
D. Southwest Office.
(1) The applicant with the fewest active grants.
(2) The applicant that has not received an ICDBG grant over the
longest period of time.
(3) The project that would benefit the highest percentage of low
and moderate income persons.
E. Northwest Office.
(1) The applicant that has not received an ICDBG grant over the
longest period of time.
(2) The applicant that has received the fewest ICDBG dollars since
the inception of the program.
(3) The project that would benefit the highest percentage of low
and moderate income persons.
F. Alaska Office.
(1) The applicant that has not received an ICDBG grant over the
longest period of time.
(2) The project that would benefit the highest percentage of low
and moderate income persons.
(3) The project that would benefit the most low and moderate income
persons.
(g) Overall Thresholds
Two types of general thresholds are set forth in 24 CFR 953.302(a):
those that relate to applicants, and those that address the overall
community development appropriateness of the project(s) included in the
application. Project-specific thresholds will be addressed within the
pertinent project selection criteria categories.
Applicant thresholds focus on the administrative capacity of the
applicant to undertake the proposed project, and on its past
performance in the ICDBG and Housing programs. An applicant that has
previously participated in the ICDBG program must have performed
adequately. In cases of previously documented deficient performance,
the applicant must have taken appropriate corrective action to improve
its performance prior to submitting an ICDBG application to HUD.
In order to rate and rank a project contained in an application
that has passed the screening tests outlined in [[Page 10455]] Section
III of this NOFA, field offices must determine that the proposed
project meets the community development appropriateness thresholds,
i.e., the project has costs that are reasonable; the project is
appropriate for the intended use; and the project is usable or
achievable in a timely manner, generally within two years of grant
award.
1. Applicant-Specific Thresholds--Capacity and Performance
A. Capacity. The field office will assume, absent evidence to the
contrary, that the applicant possesses, or can obtain the managerial,
technical or administrative capability necessary to carry out the
proposed project. The application should address who will administer
the project and how the applicant plans to handle the technical aspects
of executing the project. If the field office determines, based on
substantial evidence, that the applicant does not have or cannot obtain
the capacity to undertake the proposed project, the application will
not receive further consideration.
B. Performance.
(1) Community Development. If an applicant has previously
participated in the ICDBG Program, the field office shall determine
whether the applicant has performed adequately in grant administration
and management. Where an applicant was found to be performing
inadequately, the field office shall determine whether the applicant is
following a schedule to correct performance to which the applicant and
the field office have agreed. In cases of previously documented
deficient performance, the field office must determine that the
applicant has taken appropriate corrective action to improve its
performance. The applicant is presumed to be performing adequately
unless the field office makes a performance determination to the
contrary during periodic monitoring.
(2) Housing assistance. The applicant is presumed not to have taken
actions to impede the provision of housing assistance for low and
moderate income members of the tribe or village. Any action taken by
the applicant to prevent or obstruct the provision or operation of
assisted housing for low and moderate income persons shall be evaluated
in terms of whether it constitutes inadequate performance by the
applicant. If an applicant has established or joined an Indian Housing
Authority (IHA), and this IHA has obtained housing assistance from HUD,
the applicant's compliance with the obligations and responsibilities to
the IHA set forth in the tribal ordinance which was the basis for the
establishment or joining of the IHA will be a performance
consideration.
An applicant will not be held accountable for the poor performance
of its IHA unless this inadequate performance is found to be a direct
result of the applicant's action or inaction. If this is true, the
application will be removed from further consideration. Applicants
which are members of ``umbrella'' IHAs will be judged only on their
individual performance and will not be held accountable for the poor
performance of other tribes that are members of the IHA.
If an applicant has received ICDBG funds for the provision of new
housing through a subrecipient, the field office will consider the
following in making its determination regarding housing assistance
performance: a. whether the proposed units were constructed; b. whether
housing assistance was provided to the beneficiaries identified in the
funded application, and if not, why not; c. whether the applicant
followed the provisions of its housing plan and procedures; and d.
whether there were sustained complaints from tribal members regarding
provision and/or distribution of ICDBG housing assistance.
(3) Audits. This threshold requires the applicant to meet the
following performance criteria:
a. The applicant cannot have an outstanding ICDBG obligation to HUD
or a ICDBG program that is in arrears, or it must have agreed to a
repayment schedule. An applicant that has an outstanding ICDBG
obligation that is in arrears, or one that has not agreed to a
repayment schedule, will be disqualified from the current competition
and from subsequent competitions until the obligations are current. If
a grantee that was current at the time of application submission
becomes delinquent during the review period, the application may be
rejected.
b. The applicant cannot have an overdue or unsatisfactory response
to an audit finding. If there is an overdue or unsatisfactory response
to an audit finding, the applicant will be disqualified from current
and subsequent competition until the applicant has taken final action
necessary to close the audit finding. The field office administrator
may provide exceptions to this disqualification in cases where the
applicant has made a good faith effort to clear the audit finding. An
exception may be granted when funds are due HUD or an ICDBG program as
a result of a finding only when a satisfactory arrangement for
repayment of the debt has been made and payments are current.
2. Community Development Appropriateness. The following criteria
must be met by each project:
A. Costs are reasonable. The project must be described in
sufficient detail so that the field office can determine: (1) that
costs are reasonable; and (2) that the funds requested from the ICDBG
program and all other sources are adequate to complete the proposed
activity(ies) described in the application.
B. The project is appropriate for the intended use.
C. The project is usable or achievable in a timely manner,
generally within a two year period. The applicant must include its
timetable for project implementation and completion. A period of more
than two years is acceptable in certain circumstances, if it is
established that such circumstances are beyond the applicant's control.
(h) General Definitions
Adopt. To approve by formal tribal resolution, as defined at 24 CFR
part 953.4.
Assure. To comply with a specific NOFA requirement. The applicant
should state its compliance or its intent to comply in its application.
Document. To supply supporting written information and/or data in
the application, which satisfies the NOFA requirement.
Leverage. Resources the grantee will use in conjunction with ICDBG
funds to achieve the objectives of the project. Resources include, but
are not limited to: tribal trust funds, loans from individuals or
organizations, state or Federal loans or guarantees, other grants, as
well as noncash contributions and donated services. Written
verification of an application or request for the leveraged resources
which would be provided by an entity other than the applicant must be
included in the application for ICDBG funds. To be considered in the
award of points, resources to be provided by the applicant must be
verified by a tribal council resolution which identifies and commits
these resources. A copy of this resolution must be included in the
application. With respect to resources to be provided by an entity
other than the applicant, to be considered in the award of points, the
following requirements apply:
--For grants or other contributed resources from a public agency,
foundation, or other private party, a written commitment which may be
contingent on approval of the ICDBG award must be received by the field
[[Page 10456]] office no later than 30 days after the application
deadline. This commitment must specifically identify or indicate: the
dollar amount committed (or dollar value of the noncash resource and
the basis for the valuation); that the resources are currently
available or will be available when necessary for successful project
implementation; and the project. If delays in the Federal funding
process preclude an agency from making a firm funding commitment in
this timeframe, such resources will be considered in the award of
points if the Federal entity issues a written statement indicating that
it is extremely likely that the applicant will be funded within six
months of the anticipated date of grant approval notification from HUD.
This statement must be received by the field office no later than 30
days after the application deadline.
With respect to the contribution of land as a leveraged resource,
the value of the land to be contributed will only be considered when
the use of the land and the land area are integral to the development
of the project. To be considered for point award, the value of the land
must be verified by any of the following means or methods and this
documentation and a written confirmation of the proposed contribution
must be included in the application:
--A site specific appraisal no more than two years old;
--An appraisal of a near-by comparable site also no more than two years
old;
--A reasonable extrapolation of land value based on current area
realtors value guides.
Donated goods and services will be considered for point award if
the applicable requirements listed above are met; if the items or
services are demonstrated and determined necessary to the actual
development of the project; and comparable cost and/or time estimates
are submitted which support the donation.
Project Cost. The total cost to implement the project. Project cost
includes both ICDBG and non ICDBG funds and resources.
Section 8 standards. Housing quality standards contained in the
Section 8 Housing Assistance Payments Program Existing Housing (24 CFR
882.109).
Standard Housing/Standard Condition. Housing which meets the
housing quality standards (HQS) adopted by the applicant. The adopted
standards must provide for the following:
--That the house is safe, in a physically sound condition with all
systems performing their intended design functions;
--A livable home environment;
--An energy efficient building and systems which incorporate energy
conservation measures;
--Adequate space and privacy for all intended household members. The
HQS adopted by the applicant must be at least as stringent as the
Section 8 standards unless the field office approves less stringent
standards based on a determination that local conditions make the use
of Section 8 standards infeasible. Applicants may submit their request
for the approval of standards less stringent than Section 8 standards
prior to the application due date. If the request is submitted with the
application, applicants should not assume automatic approval by the
field office.
Tribe. Indian Tribe, band, group or nation, including Alaska
Indians, Aleuts, Eskimos and Alaska Native Villages.
(i) Project Definitions, Thresholds and Selection Criteria
1. Housing.
A. General Threshold for Housing Category Projects Households that
have been evicted from HUD assisted housing within the past five years
may not be assisted, except in emergency situations. The field office
administrator will review each emergency situation proposed by an
applicant on a case-by-case basis to determine whether an exception is
warranted.
B. Rehabilitation.
(1) Thresholds.
a. All applicants for housing rehabilitation grants shall adopt
rehabilitation standards and rehabilitation policies, prior to
submitting an application. These standards and policies must be
submitted with the application.
b. Any units to be rehabilitated must be the permanent non-seasonal
residence of the occupant(s). The resident(s) must live in the unit at
least nine months per year.
c. Housing units slated for eventual replacement may only receive
repairs essential for the health and safety of the occupants.
d. The applicant shall provide an assurance that it will use
project funds to rehabilitate HUD assisted units only when the tenant/
homeowner's payments are current or the tenant/homeowner is current in
a repayment agreement that is subject to approval by the field office.
In emergency situations the field office administrator may grant
exceptions to this requirement on a case-by-case basis.
e. Houses that have received comprehensive rehabilitation
assistance from any ICDBG or other Federal grant program within the
past 8 years cannot be assisted with ICDBG funds to make the same
repairs if the repairs are needed as a result of abuse or neglect.
(2) Grant limits. Rehabilitation grant limits for each field office
jurisdiction are as follows:
a. Eastern Woodlands--$15,000
b. Southern Plains--$15,000
c. Northern Plains--$33,500
d. Southwest--$25,000
e. Northwest--$18,000
f. Alaska--Lesser of $45/ sq.ft. or $35,000
(3) Selection Criteria.
a. Project Need and Design. (45 points)
(i) The percentage of ICDBG funds committed to bring the housing up
to a standard condition as defined by the applicant. Administrative,
planning and technical assistance expenditures are excluded in
computing the percentage of ICDBG funds committed to bring housing up
to a standard condition. The percentage of ICDBG funds not used to
bring housing up to a standard condition must be used for emergency
repairs, demolition of substandard units or another purpose closely
related to the housing rehabilitation project.
Percentage of ICDBG Funds Committed to bring housing up to a
standard condition:
91-100%--20 points
81-90.9%--15 points
80.9 and less--0 points
(ii) The applicant's selection criteria give first priority to the
neediest households. ``Neediest'' is defined as households whose
current residences are in the greatest disrepair (but still suitable
for rehabilitation treatment) in the project area, or very low-income
households.
YES 10 points
NO 0 points
(iii) Documentation of project need with a housing survey of all of
the units to be rehabilitated with ICDBG funds. This survey should
include standard housing data on each unit surveyed (e.g., age, size,
type, number of rooms, number of habitable rooms, number of bedrooms/
sleeping rooms, type of heating). The survey should indicate the
deficiencies for each unit. A definition of ``suitable for
rehabilitation'' must be included. At a minimum, this definition must
not include units that need only minor repairs, or units that need such
major repairs that rehabilitation is structurally or financially
infeasible. [[Page 10457]]
Submission of acceptable survey of units to be assisted.
The application contains all the required survey data. (15 points)
The application does not contain all the survey data, but does
contain sufficient data to enable the project to proceed effectively.
(10 points)
The application does not contain survey data Or the survey data it
does contain is not sufficient to enable the project to proceed
effectively. (0 points)
b. Planning and Implementation. (50 points)
(i) Rehabilitation Policies including:
a Adopted rehabilitation standards. The rehabilitation standards
adopted by the applicant will ensure that after rehabilitation the
units assisted will be in a standard condition.
YES 5 points
NO 0 points
b Rehabilitation selection criteria. Rehabilitation selection
criteria include property selection standards, cost limits, type of
financing (e.g., loan or grant), homeowner costs and responsibilities,
procedures for selecting households to be assisted, and income
verification procedures.
The application contains all the selection criteria listed above.
(10 points)
The application does not contain all the selection criteria listed
above, but contains sufficient data to enable the project to proceed
effectively Or the application contains all the selection criteria
listed above, but in insufficient detail. (5 points)
The application does not contain the selection criteria listed
above Or if it does contain selection criteria, they are not sufficient
to enable the project to proceed effectively. (0 points)
c Project planning documents and applicable policies and
procedures. These policies and procedures must include a description of
the following items:
--The qualifications which will be required of the inspector
--The inspection procedures to be used
--The procedures to be used to select the contractor or contractors
--The manner in which the households to be assisted will be involved in
the rehabilitation process
--How disputes between the households to be assisted, the contractors
and the applicant will be resolved
--If applicable, the repayment provisions which will be required if
sale of the assisted unit occurs prior to 5 years after the
rehabilitation work has been completed
The application contains all the policies and procedures listed
above, and they will enable the project to be effectively implemented.
(10 points)
The application contains some but not all of the policies and
procedures listed above and these policies and procedures are
sufficient for the project to proceed effectively. (5 points)
The application does not contain the policies and procedures listed
above. (0 points)
(ii) Post rehabilitation maintenance policies, including counseling
and training assisted households on maintenance.
The policy contains a well-planned counseling and training program.
Training will be provided for assisted households, and provision is
made for households unable to do their own maintenance (e.g., elderly
and handicapped).
The policy includes follow-up inspections after rehabilitation is
completed to ensure the unit is being maintained. (5 points)
The policy contains a well-planned home maintenance training and
counseling program. (3 points)
The application does not contain a well-planned home maintenance
and counseling program. (0 points)
(iii) Quality of cost estimates. Cost estimates have been prepared
by a qualified individual. (Qualifications of the estimator must be
included in the application).
Costs of rehabilitation are documented on a per unit basis and are
supported by a work write-up for each unit to be assisted. The work
write-ups are based upon making those repairs necessary to bring the
units to a standard condition in a manner consistent with adopted
construction codes and requirements. The write-ups must be submitted
with the application. If national standards, e.g.,the Uniform Building
Code, have been locally adopted as the construction codes and
requirements, they must be referenced. If locally developed and adopted
codes and requirements are used, they must be submitted. (15 points)
Cost estimates have been prepared for each dwelling unit to be
rehabilitated to determine the total rehabilitation cost. The cost
estimates are included in the application. Costs to rehabilitate each
unit are documented by a deficiency list. (10 points)
Cost estimates have been prepared and are included in the
application but the estimates are based on surveys and not on
individual unit deficiency lists. (5 points)
Cost estimates are not included in the application Or the basis for
the cost estimates included is inappropriate or not provided. (0
points)
(iv) Cost effectiveness of the rehabilitation program. This is a
measure of how efficiently and effectively funds will be used under the
proposed program. Applicants must demonstrate how the proposed
rehabilitation will bring the units to be assisted to a standard
condition in an efficient and cost effective manner.
Rehabilitation project is cost effective. (5 points)
Rehabilitation project is not cost effective. (0 points)
c. Leveraging. (5 points)
Points under this component will be awarded in a manner consistent
with the definition of ``Leverage' included in this NOFA and the
following breakdown:
------------------------------------------------------------------------
Non-ICDBG percent of project cost Points
------------------------------------------------------------------------
25 and over.................................................. 5
20-24.9...................................................... 4
15-19.9...................................................... 3
10-14.9...................................................... 2
5-9.9....................................................... 1
0-4.9....................................................... 0
------------------------------------------------------------------------
C. Land to Support New Housing.
(1) Thresholds.
a. There must be a reasonable ratio between the number of net
usable acres to be acquired and the number of low and moderate income
households with documented housing needs.
b. Housing assistance needs must be clearly demonstrated and
documented with either a survey that identifies the households to be
served, their size, income levels and the condition of current housing
or an IHA approved waiting list. The survey or waiting list must be
submitted with the application.
(2) Selection Criteria.
a. Project Need. (40 Points).
The applicant has no suitable land for the construction of new
housing and the necessary infrastructure and amenities for this
housing. (40 points)
The applicant has land suitable for housing construction and needed
infrastructure and amenities, but the land is officially dedicated to
another purpose. (30 points)
The applicant will be acquiring land for housing construction and
the construction of needed infrastructure and amenities for both new
and existing housing. (25 points)
The applicant will be acquiring land for the construction of
amenities for existing housing. (15 points)
The reason for the land acquisition does not meet any of the
criteria listed above. (0 points)
b. Planning and Implementation. (60 points)
(i) Suitability of land to be acquired. A preliminary investigation
has been [[Page 10458]] conducted by a qualified entity independent of
the applicant. Based on this investigation (which must be submitted
with the application), the land appears to meet all applicable
requirements:
--Soil conditions appear to be suitable for individual and/or community
septic systems or other acceptable methods for waste water collection
and treatment have been identified.
--The land has adequate:
--Availability of drinking water;
--Access to utilities;
--Vehicular access;
--Drainage.
--The land appears to comply with environmental requirements.
--Future development costs are expected to be consistent with other
subdivision development costs in the area (subdivision development
costs include the costs of the land, housing construction, water and
sewer, electrical service, roads, and drainage facilities if required).
YES 20 points
NO 0 points
(ii) Housing resources. Evidence of a conditional commitment for
the housing units to be built on the land proposed for acquisition or
evidence that an approvable application for these units has been
submitted has been included in the application. (10 points)
The evidence required for the award of 10 points has not been
included in the application. (0 points)
(iii) Availability/accessibility of supportive services and
employment opportunities. Documentation is provided in the application
to indicate that upon completion of construction of the housing to be
built on the land to be acquired, fire and police protection will be
available to the site and medical and social services, schools,
shopping, and employment opportunities will be accessible from the site
according to the community's established norms.
YES 5 points
NO 0 points
(iv) Commitment that households will move into the new housing.
Documented commitment from households that they will move into the
new housing to be built on the land to be acquired is included in the
application.
YES 5 points
NO 0 points
(v) Land can be taken into trust and provisions have been made for
taxes and fees. There must be a written assurance from the BIA that the
land will be taken into trust. The applicant must demonstrate the
financial capability and commitment to pay the property taxes and fees
on the land for any period of time during which it anticipates it will
own the property in fee. This commitment must be in the form of a
resolution by the governing body of the applicant which indicates that
the applicant will pay or guarantee that all taxes and fees on the land
will be paid.
Documentation from the BIA that land can be taken into trust and
the required governing body resolution are included in the application.
(5 points)
Either the assurance or the resolution (or both) are missing from
the application or they are inadequate. (0 points)
(vi) A plan or commitment for any infrastructure needed to support
the housing to be built on the land to be acquired. The plan or
commitment must address water, waste water collection and treatment,
electricity, roads, and drainage facilities necessary to support the
housing to be developed.
Financial commitments for all necessary infrastructure have been
included in the application or documentation is included which
demonstrates that all necessary infrastructure is in place. (10 points)
A plan for the provision of all necessary infrastructure is
included in the application but all financial commitments required to
implement the plan have not been submitted. (5 points)
Neither a financial commitment or plan are included in the
application. (0 points)
(vii) The extent to which the site proposed for acquisition meets
the housing needs of the applicant and is reasonably priced. The
application includes documentation which indicates that the applicant
has examined and assessed the appropriateness of alternative sites and
which demonstrates that the site proposed for acquisition best meets
the documented housing needs of tribal households. The applicant must
submit comparable sales data which shows that the cost of the land
proposed for acquisition is reasonable.
Yes 5 points
No 0 points
D. New Housing Construction/Direct Home Ownership Assistance.
Unless otherwise indicated, the following thresholds and selection
criteria apply to new housing construction to be implemented through a
subrecipient as provided for under 24 CFR 570.204 and direct
homeownership assistance activities authorized under Section 105(a)(20)
of Title I of the Housing and Community Development Act of 1974 as
amended by the National Affordable Housing Act (P.L. 101-625). Please
note that all households to be assisted under a new housing
construction project or direct homeownership assistance activities must
be of low or moderate income status.
(1) Thresholds.
a. New housing construction can only be implemented through a
nonprofit organization that is eligible under 24 CFR 953.202 or a
nonprofit organization serving the development needs of the communities
of nonentitlement areas or as otherwise eligible under 24 CFR
570.207(b)(3). (This threshold does not apply to Direct Homeownership
Activities).
b. Documentation which supports the following determinations must
be included in the application:
--No other housing is available in the immediate reservation area that
is suitable for the households to be assisted;
--No other funding sources can meet the needs of the household(s) to be
served.
--The unit occupied by the household to be assisted is not in standard
condition and rehabilitation of the unit is not economically feasible,
or the household is currently in an overcrowded unit [sharing unit with
other household(s)], or the household to be assisted has no current
residence.
c. All applicants for new housing construction projects shall adopt
construction standards and construction policies, prior to submitting
an application. Applicants must identify the building code they will
comply with when constructing the units. The building code may be a
locally adopted tribal building code or a nationally recognized model
code. If the code is a locally adopted code, it must regulate all of
the areas and sub-areas identified in 24 CFR 200.925(b), and it must be
reviewed and approved by the field office. If the code is recognized
nationally, it must be the latest edition of one of the codes
incorporated by reference in 24 CFR 200.925(c). (This threshold does
not apply to Direct Homeownership Activities).
d. Any unit to be constructed must be the permanent non-seasonal
residence of the household to be assisted. This household must live in
the unit at least nine months per year.
(2) Selection Criteria.
a. Project Need and Design. (45 points)
(i) The applicant either is not served by an IHA, or if it is a
member of an umbrella IHA, this IHA has not provided assistance to the
applicant in [[Page 10459]] a substantial period of time, or the IHA
serving the applicant has not received HUD Public and Indian Housing
new construction assistance in a substantial period of time due to
limited HUD appropriations. The period of time during which the IHA
serving the applicant does not receive funding for inadequate or poor
performance by the applicant does not count towards the period of time
that no assistance has been provided by HUD.
No assistance from IHA for 10 years or longer--15 points
No assistance from IHA for 6-9.9 years--10 points
No assistance from IHA for 0-5.9 years--0 points
(ii) Adopted housing construction policies and plan. The plan must
include a description of the proposed subrecipient and its relationship
to the applicant. In addition, the policies and plan must include:
--A selection system that gives priority to the neediest households.
Neediest shall be defined as households whose current residences are in
the greatest disrepair, or very low-income households, or households
without permanent housing.
--A system effectively addressing long-term maintenance of the
constructed units.
--Estimated costs and identification of the entity responsible for
paying utilities, fire hazard insurance and other normal maintenance
costs.
--Policies governing ownership of the units, including the status of
the land.
--Description of a comprehensive plan or approach being implemented by
the tribe to meet the housing needs of its members.
--Policies governing disposition or conversion to non-dwelling uses of
substandard units that will be vacated when a replacement unit is
provided.
Acceptable policies and plan--20 points
Unacceptable policies and plan--0 points
(iii) Beneficiary identification. Households to be assisted are
identified in the application and their income eligibility is
documented. (10 points)
Households to be assisted not identified or, if identified, their
income eligibility is not documented. (0 points)
b. Planning and Implementation. (45 points)
(i) Occupancy Standards. The proposed housing will be designed and
built according to adopted reasonable standards that govern the size of
the housing in relation to the size of the occupying household (minimum
and maximum number of persons allowed for the number of sleeping
rooms); the minimum and maximum square footage allowed for major living
spaces (bedrooms, living room, kitchen and dining room). The standards
must be submitted with the application.
Applicant has adopted reasonable occupancy standards which are
included in the application. (10 points)
Applicant has not adopted reasonable occupancy standards or the
standards were not included in the application. (0 points)
(ii) Site Acceptability. The applicant (or the proposed beneficiary
household) has control of the land upon which the units will be built.
The applicant has provided documentation from the BIA that all housing
sites are in trust (or will be taken into trust within one year of the
date of the ICDBG approval notification). If the sites are not in trust
by the date of ICDBG approval notification, documentation that they are
in trust must be provided to the field office before ICDBG funds may be
obligated for construction.
A preliminary investigation of the site(s) has been conducted by a
qualified entity independent of the applicant. Based on this
investigation (which must be included in the application) the site(s)
appear to meet all applicable requirements:
--Soil conditions appear to be suitable for individual or community
septic systems or other acceptable methods for waste water collection
and treatment have been identified;
--Each site has adequate:
--Availability of drinking water
--Access to utilities
--Vehicular access
--Drainage.
YES 15 points
NO 0 points
(iii) Energy Conservation Design. The proposed housing units have
been designed in a manner which will ensure that energy use will be no
greater than that for comparable units in the same general geographic
area that have been constructed in accordance with applicable state
energy conservation standards for residential construction. Any special
design features, materials, or construction techniques which enhance
energy conservation must be described.
YES 5 points
NO 0 points
(iv) Housing Survey. The applicant has completed a survey of
housing conditions and housing needs of its tribal members. This survey
was completed within the twelve month period prior to the application
submission deadline (or if an earlier survey, it was updated during
this time period). The survey must be submitted with the application.
The following descriptive data is included for each household surveyed:
--Size of the household, inc. age and gender of any children
--Is the household occupying permanent housing or is it homeless?
--Annual household income
--Owner or renter
--Number of habitable rooms and number of sleeping rooms
--Physical condition of the unit--standard/substandard. If substandard,
is it suitable for rehabilitation? A definition of ``suitable for
rehabilitation'' must be included.
--Number of distinct households occupying the unit/degree of
overcrowding
--If there is a need for a replacement unit, what are the housing
preferences of the household, e.g. ownership or rental; location;
manufactured or stick-built.
An acceptable survey was submitted. (10 points)
The survey submitted was not acceptable or no survey was submitted.
(0 points)
(v) Cost Effectiveness of New Housing Construction. This is a
measure of how efficiently and effectively funds will be used under the
proposed program. Applicants must demonstrate how the proposed housing
activities will be accomplished in an efficient and cost effective
manner.
The applicant has demonstrated that the proposed activities are
cost effective. (5 points)
The applicant has not demonstrated that the proposed activities are
cost effective. (0 points)
c. Leveraging. (10 points)
Points under this component will be awarded in a manner consistent
with the definition of ``Leverage'' included in this NOFA and the
following breakdown:
------------------------------------------------------------------------
Non-ICDBG percent of project cost Points
------------------------------------------------------------------------
25 and over.................................................. 10
20-24.9...................................................... 8
15-19.9...................................................... 6
10-14.9...................................................... 4
5-9.9....................................................... 2
0-4.9....................................................... 0
------------------------------------------------------------------------
2. Community Facilities.
A. Infrastructure.
(1) Selection Criteria.
a. Project Need and Design. (60 points)
(i) The proposed project meets an essential community development
need by fulfilling a function that is critical to the continued
existence or orderly development of the community. [[Page 10460]]
The proposed project will fulfill a function which is critical to
the continued existence or orderly development of the community. (20
points)
The proposed project will fulfill a function which is not critical
to the continued existence or orderly development of the community. (0
points)
(ii) The proposed project benefits the neediest segment of the
population, as identified below. Applications must include tribal, BIA,
IHS or other documentation that:
More than 85 percent of the beneficiaries are low and moderate
income. (15 points)
Between 75-84.9 percent of the beneficiaries are low and moderate
income. (10 points)
Between 55-74.9 percent of the beneficiaries are low and moderate
income. (5 points)
Less than 55 percent of the beneficiaries are low and moderate
income. (0 points)
(iii) The proposed project will provide infrastructure that does
not currently exist for the area to be served Or it will eliminate or
substantially reduce a health or safety threat or problem Or it will
replace existing infrastructure that no longer functions adequately to
meet current needs.
The infrastructure does not exist Or the existing infrastructure no
longer functions Or the existing infrastructure does not contribute to
the elimination of, or causes, a verified health or safety threat or
problem. (25 points)
The existing infrastructure no longer functions adequately to meet
current needs Or is unreliable. (20 points)
The proposed project will replace or supplement existing
infrastructure which is adequate for current needs but which will not
meet acknowledged future needs. (12 points)
The proposed project will replace or supplement existing
infrastructure which is adequate to meet current needs and future needs
have not been acknowledged or documented. (0 points)
If the project is intended to address a health or safety threat or
problem, the applicant must provide documentation consisting of a
signed study or letter from a qualified independent authority which
verifies that:
--A threat to health or safety (or a health or safety problem) exists
which has caused or has the potential to cause serious illness, injury,
disease, or death; and,
--The threat or problem can be completely or substantially eliminated
if the proposed project is undertaken.
b. Planning and Implementation. (30 points)
(i) A viable plan for maintenance and operation. If the applicant
is to assume responsibility for maintenance and operation of the
proposed facility, the applicant must adopt a maintenance and operation
plan which addresses maintenance, repair and replacement of items not
covered by insurance, and operating responsibilities and resources.
This plan and the adopting resolution must be included in the
application. The plan must identify a funding source to ensure that the
facility will be properly maintained and operated. The resolution
adopting the plan must identify the total annual dollar amount the
applicant will commit.
If an entity other than the applicant commits to pay for
maintenance and operation, a letter of commitment which identifies the
responsibilities the entity will assume must be included in the
application; submission of a maintenance and operation plan is not
required. Points will only be awarded if the field office is able to
determine that the entity is financially able to assume the costs of
maintenance and operation.
An acceptable maintenance and operation plan and adopting
resolution (or letter of commitment) are included in the application.
(15 points)
The plan, resolution or the commitment letter have not been
included in the application or if included they are not acceptable. (0
points)
c. An appropriate and effective design, scale and cost. The
application includes information which demonstrates that the proposed
project is the most appropriate and cost effective approach to address
the identified need. This information demonstrates that the use of
existing facilities and resources, and alternatives, including method
of implementation and cost, have been considered. If only one approach
is feasible (there are no alternatives to the proposed project), the
application must include an explanation.
The required information is included in the application. (15
points)
The required information is not included in the application or, if
included, it is unacceptable. (0 points)
d. Leveraging. (10 points)
Points under this component will be awarded in a manner consistent
with the definition of ``Leverage'' included in this NOFA and the
following breakdown.
------------------------------------------------------------------------
Non-ICDBG percent of project cost Points
------------------------------------------------------------------------
25 and over.................................................. 10
20-24.9...................................................... 8
15-19.9...................................................... 6
10-14.9...................................................... 4
5-9.9....................................................... 2
0-4.9....................................................... 0
------------------------------------------------------------------------
B. Buildings.
(1) Threshold. An applicant proposing a facility which would
provide health care services must include in its application a letter
from the Indian Health Service (IHS) which indicates that the proposed
facility meets IHS requirements.
(2) Selection Criteria.
a. Project Need and Design. (60 points)
(i) The proposed building meets an essential community development
need by providing space so that a service or function which is critical
to the continued existence or orderly development of the community can
be provided.
The proposed building will provide space for a service or function
which is essential to the continued existence or orderly development of
the community. (20 points)
The proposed building will provide space for a service or function
which is not critical to the continued existence or orderly development
of the community. (0 points)
(ii) The proposed project benefits the neediest segment of the
population, as identified below. Applications must include tribal, BIA,
IHS or other documentation that:
More than 85 percent of the beneficiaries are low and moderate
income. (10 points)
Between 75-84.9 percent of the beneficiaries are low and moderate
income. (8 points)
Between 55-74.9 percent of the beneficiaries are low and moderate
income. (5 points)
Less than 55 percent of the beneficiaries are low and moderate
income. (0 points)
(iii) The proposed building will be used to provide services or
functions which are not provided to service area beneficiaries Or it
will replace a building currently used to provide the service or
function which does not meet health or safety standards Or it will
replace a building which is no longer able to provide the space or
amenities to meet the current need for the services or functions.
The services or functions to be provided in the proposed building
do not exist for the service area population Or the building currently
being used [[Page 10461]] does not meet health or safety standards. (25
points)
The building to be replaced by the proposed building is not able to
provide the space or amenities for the services or functions so that
current needs cannot be entirely met. (20 points)
The building to be replaced is able to provide adequate space and
current needs are being met but it cannot provide space for
acknowledged future needs. (10 points)
The proposed building is not necessary since current needs and
acknowledged future needs can be met through the use of existing
facilities. (0 points)
(If the proposed building is intended to replace an existing
building which does not meet health or safety standards, the
application must include documentation consisting of a signed letter
from a qualified independent authority which specifically identifies
the standard or standards which are not being met by the existing
building.)
(iv) Provides multiple uses or multiple benefits, or has services
available 24 hours a day. The application must show that the proposed
building will house more than one broad category of activity. ``Broad
category'' means a single activity or group of activities which serves
a particular group of beneficiaries (e.g., senior citizens) or meets a
particular need (e.g., literacy). No one category of activity will
occupy more than 75 percent of the available space for more than 75
percent of the time. A written commitment for the use of the space must
be included in the application. Multipurpose buildings do not
automatically meet these criteria, nor do buildings that provide a
variety of activities for one client group.
The proposed building will provide multiple uses or benefits or
will have services available 24 hours/day and a commitment for the use
of the space is included in the application. (5 points)
The proposed building will not provide multiple benefits or
services or will not have services available 24 hours a day or the
application does not include a commitment for the use of the space. (0
points)
b. Planning and Implementation. (30 points)
(i) A viable plan for maintenance and operation. If the applicant
is to assume responsibility for the maintenance and operation of the
proposed building, the applicant must adopt a maintenance and operation
plan which addresses maintenance, repair and replacement of items not
covered by insurance, and operating responsibilities and resources.
This plan and the adopting resolution must be included in the
application. The plan must identify a funding source to ensure that the
building will be properly maintained and operated. The resolution
adopting the plan must identify the total annual dollar amount the
applicant will commit.
If an entity other than the Tribal Council commits to pay for
maintenance and operation, a letter of commitment which identifies the
responsibilities the entity will assume must be included in the
application; submission of a maintenance and operation plan is not
required. Points will only be awarded if the field office is able to
determine that the entity is financially able to assume the costs of
maintenance and operation.
An acceptable maintenance and operation plan and adopting
resolution (or letter of commitment) are included in the application.
(15 points)
The plan, resolution or the commitment letter have not been
included in the application, or if included, they are not acceptable.
(0 points)
(ii) An appropriate and effective design, scale and cost. The
application includes information which demonstrates that the proposed
building is the most appropriate and cost effective approach to address
the identified need(s). This information demonstrates that the use of
existing facilities and resources and alternatives including method of
implementation and cost have been considered. If only one approach is
feasible (there are no alternatives to the proposed building), the
application must include an explanation.
The required information is included in the application. (15
points)
The required information is not included in the application or, if
included, it is unacceptable. (0 points)
c. Leveraging. (10 points).
Points under this component will be awarded based on the definition
of ``Leverage'' included in this NOFA and the following breakdown:
------------------------------------------------------------------------
Non-ICDBG percent of project cost Points
------------------------------------------------------------------------
25 or more................................................... 10
20-24.9...................................................... 8
15-19.9...................................................... 6
10-14.9...................................................... 4
5-9.9........................................................ 2
0-4.9........................................................ 0
------------------------------------------------------------------------
3. Economic Development.
A. Thresholds.
(1) Economic development assistance may be provided only when a
financial analysis is done which shows public benefit commensurate with
the assistance to the business can reasonably be expected to result
from the assisted project, and the project has a reasonable chance of
success. The applicant shall demonstrate the need for grant assistance
by providing documentation to support a determination that the
assistance is appropriate to implement an economic development project.
(2) All economic development projects must meet one of the national
objectives. A general claim of cash flow or benefit to the tribe as a
whole does not demonstrate benefit to low and moderate income persons.
B. Selection Criteria.
(1) Organization (8 points)
The application contains all of the following three elements:
--The applicant has an established organization system for operation of
a business, (e.g., adopted tribal ordinances, articles of
incorporation, Board of Directors in place, tribal department).
--Formal provisions exist for separation of government functions from
business operating decisions. An operating plan has been established
and is submitted.
--The Board of Directors consists of persons who have prior business
experience. A staffing plan has been developed and is submitted. (8
points)
The application contains all of the first element listed above, and
some of the items in the second and third elements. The business should
be able to operate effectively; OR, the application contains all of the
elements listed above, but in insufficient detail. (5 points)
The application does not contain any of the elements listed above.
(0 points)
(2) Project Success (45 points)
The project will be rated on the adequacy and quality of the
following subparts: ANY PROJECT NOT RECEIVING AT LEAST MODERATE POINTS
IN EACH OF THE FOLLOWING THREE RATING FACTORS WILL NOT BE CONSIDERED
FOR FUNDING.
a. Market analysis.
A feasibility/market analysis, generally not older than two years,
which identifies the market and demonstrates that the proposed
activities are highly likely to capture a fair share of the market. The
analysis must be submitted with the application.
MAXIMUM 15 points
Feasibility/Market Analysis which identifies the market and
demonstrates that the proposed activities are reasonably likely to
capture a fair share of the market. The analysis must be submitted with
the application.
[[Page 10462]] MODERATE 10 points
The submission does not meet the criteria for the award of moderate
points.
UNSATISFACTORY 0 points
b. Management capacity.
A management team with qualifying specialized training or
technical/managerial experience in the operation of a similar business
has been identified. Job descriptions of key management positions as
well as resumes showing qualifying specialized technical/managerial
training or experience of the identified management team must be
submitted with the application.
MAXIMUM 15 points
A management team with qualifying general business training or
experience will be hired if the grant is approved. Job descriptions of
key management positions must be submitted with the application.
MODERATE 12 points
The submission does not meet the criteria for the award of moderate
points.
UNSATISFACTORY 0 points
c. Financial Analysis of the Business (including microenterprises).
The financial viability of an economic development project will be
determined by an analysis of financial and other project related
information. Components of the financial analysis are: costs, sources
of funds, cash flow projections and financial statements. A detailed
cost summary, evidence of funding sources; five year operating or cash
flow financial projections; and business financial statements for the
most recent three year period for the project if it is for expansion of
an existing business, must be submitted with the application. For
start-up businesses that are not owned by the grantee, current
financial or net worth statements on principal business owners or
officers must be submitted with the application. Financial statements
include the balance sheet, income statement and statement of retained
earnings.
The information derived from the analysis will be reviewed and
compared to local or national industry standards to assess
reasonableness of development costs, financial need, profitability, and
risk as factors in determining overall financial viability. In
determining whether a project is financial viable, the field office
will also consider current and projected market conditions and
profitability measures such as cash flow return on equity, cash flow
return on total assets and the ratio of net profit before taxes to
total assets. Sources of industry standards include Marshall and Swift
Publication Company, Robert Morris Associates, Dun and Bradstreet, the
Chamber of Commerce, etc. Local standards may also be used. If one of
these standards is cited, the appropriate data must be submitted with
the application.
Based on the analysis, the project has an excellent chance of
achieving financial success.
MAXIMUM 15 points
The project has an average chance of achieving financial success.
MODERATE 8 points
The project has a minimal prospect of achieving financial success.
UNSATISFACTORY 0 points
(3) Leveraging.
Points under this component will be awarded in a manner consistent
with the definition of ``Leverage'' included in this NOFA and the
following breakdown:
------------------------------------------------------------------------
Non-ICDBG percent of project cost Points
------------------------------------------------------------------------
30% or more.................................................. 12
20-29.9%..................................................... 8
10-19.9%..................................................... 4
Less than 10%................................................ 0
------------------------------------------------------------------------
(4) Permanent Full-Time Equivalent Job Creation and Training (20
points)
The total number of permanent full-time equivalent jobs expected to
be created and/or retained as a result of the project as well as a
summary of job descriptions and skill requirements must be submitted
with the application. The number and kind(s) of jobs expected to be
available to low and moderate income persons must be identified.
a. ICDBG cost per job:
$20,000 or less--15 points
$20,001-30,000--12 points
$30,001-35,000--8 points
$35,001+--0 points
b. Quality of jobs and/or training targeted to low and moderate
income persons
--The jobs offer wages and benefits comparable to area wages and
benefits for similar jobs, provide opportunity for advancement, and
teach a transferable skill; OR
--The employer commits to provide training opportunities. A description
of the planned training program must be submitted with the application.
YES 5 points
NO 0 points
(5) Additional Considerations (15 points) A project must meet three
of the following criteria to receive 15 points. Maximum 15 points.
--Use, improve or expand members' special skills. Special skills are
those that members have developed through education, training or
traditional cultural experiences (e.g., technical expertise in
electronic assembly; making traditional native crafts).
YES 5 points
NO 0 points
--Provide spin-off benefits beyond the initial economic development
benefits to employees or to the community.
YES 5 points
NO 0 points
--Provide special opportunities for residents of federally-assisted
housing.
YES 5 points
NO 0 points
--Provide benefits to other businesses owned by Indians or Alaska
natives.
YES 5 points
NO 0 points
--Loan Repayment/Reuse of ICDBG funds. If the business is not tribal-
owned, at least 50% of the ICDBG assistance to the business will be
repaid to the grantee within a 10 year period. If the business is
tribal-owned, the tribe agrees (by submission of a tribal resolution)
within a 10 year period to use funds equal to 50% of the ICDBG
assistance for eligible activities that meet a national objective.
These funds should come from the profits of the tribal-owned business.
YES 5 points
NO 0 points
4. Selection System Criteria and Point Award Summary
Maximum
points
A. Housing:
(1) Rehabilitation:
a. Project Need and Design:
(i) % of funds for standard rehab.................. 20
(ii) applicant's selection criteria................ 10
[[Page 10463]]
(iii) housing survey............................... 15
b. Planning and Implementation:
(i) rehabilitation policies:
a rehabilitation standards....................... 5
b selection criteria............................. 10
c project planning documents, etc................ 10
(ii) post rehabilitation maintenance............... 5
(iii) cost estimates............................... 15
(iv) cost effectiveness............................ 5
------------
Total points................................... 100
(2) Land to Support New Housing:.......................
a. Project Need........................................ 40
b. Planning and Implementation:
(i) suitability of the land........................ 20
(ii) housing resources............................. 10
(iii) supportive services.......................... 5
(iv) commitment of households...................... 5
(v) land to trust status........................... 5
(vi) infrastructure commitment..................... 10
(vii) land meets need and is reasonably priced..... 5
------------
Total points................................... 100
(3) New Housing Construction/Direct Homeownership
Assistance:...........................................
a. Project Need and Design:
(i) IHA member/assistance.......................... 15
(ii) housing policies and plan..................... 20
(iii) beneficiary identification................... 10
b. Planning and Implementation:
(i) occupancy standards............................ 10
(ii) site acceptability............................ 15
(iii) energy conservation design................... 5
(iv) housing survey................................ 10
(v) cost effectiveness............................. 5
c. Leveraging.......................................... 10
------------
Total points................................... 100
B. Community Facilities:
(1) Infrastructure:
a. Project Need and Design:
(i) meets an essential need........................ 20
(ii) benefits the neediest......................... 15
(iii) provides infrastructure/health and safety.... 25
b. Planning and Implementation:
(i) maintenance and operation plan................. 15
(ii) appropriate and effective design scale and
cost.............................................. 15
c. Leveraging.......................................... 10
------------
Total Points................................... 100
(2) Buildings:
a. Project Need and Design:
(i) meets an essential need........................ 20
(ii) benefits the neediest......................... 10
(iii) provides building/health and safety.......... 25
(iv) multi-use/multi-benefit....................... 5
b. Planning and Implementation:
(i) maintenance and operation plan................. 15
(ii) appropriate and effective design scale and
cost.............................................. 15
------------
Total points................................... 100
C. Economic Development:
(1) Organization....................................... 8
(2) Project Success:
a. market analysis................................. 15
b. management capacity............................. 15
c. financial analysis.............................. 15
(3) Leveraging......................................... 12
(4) Jobs:
a. ICDBG cost/job.................................. 15
b. quality of jobs/training........................ 5
(5) Additional considerations.......................... 15
------------
Total points................................... 100
[[Page 10464]] II. Application Process
(a) An application package may be obtained from the field office in
the following geographic locations:
Eastern Woodland Office of Native American Programs, Housing and
Community Development Division, 77 West Jackson Blvd., Chicago,
Illinois 60604-3507, Telephone: (312) 353-1282, (all states east of the
Mississippi River, plus Iowa and Minnesota)
Southern Plains Office of Native American Programs, CPD Branch, Murrah
Federal Bldg., 200 N.W. 5th Street, Oklahoma City, OK 73102-3202,
Telephone: (405) 231-4101, (Louisiana, Kansas, Oklahoma, and Texas,
except West Texas)
Northern Plains Office of Native American Programs, Housing and
Community Development Division, CPD Staff, First Interstate Tower
North, 633 17th Street, Denver, CO 80202-3607, Telephone: (303) 672-
5462, (Colorado, Montana, Nebraska, North Dakota, South Dakota, Utah
and Wyoming)
Southwest Office of Native American Programs, Region IX, CPD Division,
Two Arizona Center, Suite 1650, 400 N. Fifth Street, Phoenix, Arizona
85004-2361, Telephone: (602) 379-4156, (Arizona, New Mexico, Southern
California, West Texas)
Office of Native American Programs, CPD Division, Program Management
Team, (San Francisco), Phillip Burton Federal Bldg. and U.S.
Courthouse, 450 Golden Gate Ave., P.O. Box 36003, San Francisco, CA
94102-3448, Telephone: (415) 556-9200, (Northern California and Nevada)
Northwest Office of Native American Programs, CPD Division, Federal
Office Building, 909 First Avenue, Suite 300, Seattle, WA 98104-1000,
Telephone: (206) 220-5185, (Idaho, Oregon, Washington)
Alaska Office of Native American Programs, 949 E. 36th Avenue, Suite
401, Anchorage, AK 99508-4399, Telephone: (907) 271-4633 (Alaska)
(b) Completed applications must be submitted to the appropriate
field office, listed above, from which application information and
packages were obtained.
The Telecommunications Device for the Deaf (TDD) number is (202)
708-2565. (This is not a toll-free number.)
(c) Applications must be received by the appropriate field office
no later than the 3:00 P.M. on the deadline date, May 14, 1995.
III. Application Submission Requirements and Checklist
(a) General. An applicant shall submit only one application. The
ICDBG grant amount requested shall not total more than the grant
ceiling. An application may include an unlimited number of eligible
projects, e.g., housing or public facilities. Each project within an
application will be rated separately.
(b) Demographic data. Applicants may submit data that are
unpublished and not generally available in order to meet the
requirements of this section. The applicant must certify that:
1. Generally available, published data are substantially inaccurate
or incomplete;
2. Data provided have been collected systematically and are
statistically reliable;
3. Data are, to the greatest extent feasible, independently
verifiable; and
4. Data differentiate between reservation and BIA service area
populations, when applicable.
(c) Publication of community development statement. Applicants
shall prepare and publish or post the community development statement
portion of their application according to the citizen participation
requirements of 24 CFR 953.604.
(d) Application Submission. Applicants shall submit an application
to the appropriate field office. The application shall include:
1. Standard Form 424;
2. Community Development Statement which includes:
A. Components that address the relevant selection criteria;
B. A brief description or an updated description of community
development needs;
C. A brief description of proposed projects to address needs,
including scope, magnitude, and method of implementing the project.
D. A schedule for implementing the project (form HUD-4125);
E. Cost information for each separate project, including specific
activity costs, administration, planning, and technical assistance,
total HUD share (form HUD-4123);
3. Certifications (form HUD 4126)
4. Applicant/Recipient Disclosure/Update Report (form HUD 2880), as
required under subpart C of 24 CFR part 12, Accountability in the
Provision of HUD Assistance.
5. A map showing project location, if appropriate;
6. If the proposed project will result in displacement or temporary
relocation, include a statement that identifies A. the number of
persons (families, individuals, businesses and nonprofit organizations
occupying the property on the date of the submission of the application
(or date of initial site control, if later); B. the number to be
displaced or temporarily relocated; C. the estimated cost of relocation
payments and other services; D. the source of funds for relocation; and
E. the organization that will carry out the relocation activities;
(e) Pre-award requirements. 1. Successful applicants may be
required to provide supporting documentation concerning the management,
maintenance, operation, or financing of proposed projects before a
grant agreement can be executed. Applicants will normally be given no
less than thirty (30) calendar days, to respond to such requirements.
In the event that no response or an insufficient response is made
within the prescribed time period, the field office may determine that
the applicant has not met the requirements and the grant offer may be
withdrawn. The field offices shall require supporting documentation in
those instances where:
A. Specific questions remain concerning the scope, magnitude,
timing, or method of implementing the project; or
B. The applicant has not provided information verifying the
commitment of other resources required to complete, operate, or
maintain the proposed project.
2. Grant amounts allocated for applicants unable to meet pre-award
requirements will be awarded in accordance with Part I (f) 5 of this
NOFA.
3. New projects may not be substituted for those originally
proposed in the application.
4. If the required conditions are not met within the prescribed
time, HUD may unilaterally rescind the grant award.
IV. Procedural Error and Appeals
With respect to any claims of procedural error that may be made by
unsuccessful applicants, please note that a procedural error is, by
definition, an error in process. An example is a point calculation
error which would, if corrected, raise the total point award for a
project over the cut-off point for funding. Rating panel judgements
made within the provisions of this NOFA and the program regulations (24
CFR part 953) are not subject to claims of procedural error. If a field
office makes a procedural error in the application review and rating
process which, when corrected, would result in the award of sufficient
points to warrant the funding [[Page 10465]] of an otherwise approvable
project, the field office may fund that project in the next funding
round without further competition. All appeals must be submitted to the
appropriate field office within 90 days after the applicant is notified
in writing of a funding decision.
V. Other Matters
(a) Environmental Statement. A Finding of No Significant Impact
with respect to the environment has been made in accordance with HUD
regulations at 24 CFR part 50, which implement section 102(2)(C) of the
National Environmental Policy Act of 1969. The Finding of No
Significant Impact is available for public inspection between 7:30 a.m.
and 5:30 p.m. weekdays in the Office of the Rules Docket Clerk, Office
of the General Counsel, Department of Housing and Urban Development,
Room 10276, 451 Seventh Street, S.W., Washington, D.C. 20410.
(b) Federalism Executive Order. The General Counsel, as the
Designated Official under section 6(a) of Executive Order 12612,
Federalism, has determined that this NOFA will not have substantial,
direct effects on states, on their political subdivisions, or on their
relationship with the Federal Government, or on the distribution of
power and responsibilities between them and other levels of government.
While the NOFA will provide financial assistance to Indian tribes and
Alaska native villages, none of its provisions will have an effect on
the relationship between the Federal Government and the states or their
political subdivisions.
(c) Family Executive Order. The General Counsel, as the Designated
Official for Executive Order 12606, The Family, has determined that the
policies announced in this NOFA would not have the potential for
significant impact on family formation, maintenance and general well-
being and thus is not subject to review under the Order.
(d) Registration of Consultants. Section 13 of the Department of
Housing and Urban Development Act contains two provisions dealing with
efforts to influence HUD's decisions with respect to financial
assistance. The first imposes disclosure requirements on those who are
typically involved in these efforts--those who pay others to influence
the award of assistance or the taking of a management action by the
Department and those who are paid to provide the influence. The second
restricts the payment of fees to those who are paid to influence the
award of HUD assistance, if the fees are tied to the number of housing
units received or are based on the amount of assistance received, or if
they are contingent upon the receipt of assistance.
Section 13 was implemented by final rule published in the Federal
Register on May 17, 1991 (56 FR 22912), and is codified as 24 CFR part
86. If readers are involved in any efforts to influence the Department
in these ways, they are urged to read the final rule, particularly the
examples contained in Appendix A of the rule.
Any questions regarding the statute described above should be
directed to the Director, Office of Ethics, Room 2158, Department of
Housing and Urban Development, 451 Seventh Street, S.W., Washington,
D.C. 20410. Telephone: (202) 708-3815; TDD/Voice. (This is not a toll-
free number.) Forms necessary for compliance with the rule may be
obtained from the local HUD office.
(e) Prohibition of Advance Disclosure of Funding Decisions. HUD's
regulation implementing section 103 of the Department of Housing and
Urban Development Reform Act of 1989 was published May 13, 1991 (56 FR
22088) and became effective on June 12, 1991. That regulation, codified
as 24 CFR part 4, applies to the funding competition announced today.
The requirements of the rule continue to apply until the announcement
of the selection of successful applicants.
HUD employees involved in the review of the applications and in the
making of funding decisions are restrained by part 4 from providing
advance information to any person (other than an authorized employee of
HUD) concerning funding decisions, or from otherwise giving any
applicant an unfair competitive advantage. Persons who apply for
assistance in this competition should confine their inquiries to the
subject areas permitted under 24 CFR part 4.
Applicants who have questions should contact the HUD Office of
Ethics (202) 708-3815. (This is not a toll-free number.) The Office of
Ethics can provide information of a general nature to HUD employees, as
well. However, a HUD employee who has specific program questions, such
as whether particular subject matter can be discussed with persons
outside the Department, should contact his or her Regional or Field
Office Counsel, or Headquarters counsel for the program to which the
question pertains.
(f) Economic Opportunities for Low and Very Low Income Persons. All
applicants are herein notified that the provisions of section 3 of the
Housing and Urban Development Act of 1968, as amended, and the
regulations in 24 CFR part 135 are applicable to funding awards made
under this NOFA. One of the purposes of the assistance is to give to
the greatest extent feasible, and consistent with existing Federal,
State, and local laws and regulations, job training, employment,
contracting and other economic opportunities to section 3 residents and
section 3 business concerns. Tribes that receive HUD assistance
described in this part shall comply with the procedures and
requirements of this part to the maximum extent consistent with, but
not in derogation of, compliance with section 7(b) of the Indian Self-
determination and Education Assistance Act (25 U.S.C. 450e(b).
Authority: Title I, Housing and Community Development Act of
1974, as amended (42 U.S.C. 5301 et seq.); sec. 7(d) of the
Department of Housing and Urban Development Act (42 U.S.C. 3535(d));
24 CFR 953.
Dated: February 8, 1995.
Michael B. Janis,
General Deputy Assistant Secretary for Public and Indian Housing.
[FR Doc. 95-4451 Filed 2-25-95; 8:45 am]
BILLING CODE 4210-33-P
