Community Development Block Grant Program for Indian Tribes and Alaska Native Villages; Notice of Fund Availability

Federal RegisterFeb 24, 1995

Ask Donna

What actually matters in this document.

Text

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

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

(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

(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

------------

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).

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.