Community Development Block Grant Program for Indian Tribes and Alaska Native Villages (Fiscal Year 1997) Notice of Funding Availability

Federal RegisterApr 11, 1997

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DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

[Docket No. FR-4180-N-01]

Community Development Block Grant Program for Indian Tribes and

Alaska Native Villages (Fiscal Year 1997) Notice of Funding

Availability

AGENCY: Office of the Assistant Secretary for Public and Indian

Housing, HUD.

ACTION: Notice of Funding Availability for Fiscal Year 1997.

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SUMMARY: This notice announces the availability of $67,453,491 for the

Community Development Block Grant Program for Indian Tribes and Alaska

Native Villages (ICDBG Program). In the body of this Notice of Funding

Availability (NOFA) is information concerning the following:

(a) The purpose of the NOFA and information regarding eligibility

and available amounts;

(b) A list of steps involved and a checklist of the exhibits

required in the application process, including where and how to apply

and what to submit; and

selection process and the selection criteria.

DATES: Applications must be received by the appropriate Area ONAP of

the HUD Office of Native American Programs (ONAP) no later than 3:00

P.M. on Friday, July 25, 1997. Application materials will be available

from each Area ONAP. General program questions may be directed to the

Area ONAP serving your area or to Robert Barth, Office of Native

American Programs, Office of Public and Indian Housing, Department of

Housing and Urban Development, P.O. Box 36003, 450 Golden Gate Ave.,

San Francisco, CA 94102; telephone (415) 436-8122. The TTY number is

(415) 436-6594. (These are not toll-free numbers.)

SUPPLEMENTARY INFORMATION:

Changes From FY 1996 NOFA

1. Conformance with the Requirements of the July 31, 1996 Final

Rule. On July 31, 1996 (61 FR 40084), HUD published a final rule which

revised the requirements for the ICDBG Program (24 CFR part 953). The

FY 1996 NOFA was published on May 9, 1996 (61 FR 21338). The FY 1996

was therefore written to comply with the requirements of the interim

rule (July 27, 1994, 59 FR 38326) which preceded the July 31, 1996

final rule. All references to 24 CFR part 953 in this FY 1997 NOFA are

to the final rule.

There is one substantive difference between the interim and final

rules which affects the process or procedures covered in the NOFA; the

project specific threshold requirements for economic development

projects have been changed. The previous threshold requirement that

``an 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'' has been

deleted. This requirement has proven to be an unnecessary complication

for potential applicants for assistance.

One of the two remaining threshold requirements for economic

development projects (i.e., that an analysis demonstrates that public

benefit commensurate with the assistance requested can reasonably be

expected) has been expanded in scope and revised. The expansion/

revision of this threshold was done to state this threshold in a manner

consistent with the objectives for the evaluation and selection of

economic development projects which were set forth in section 806 of

the Housing and Community Development Act of 1992.

2. Population to be Considered for Grant Ceilings--Southwest ONAP.

Clarifying language has been included in Section III.(a)(3) so that the

population to be considered for grant ceiling levels is unambiguous. In

addition, the lowest population category has been revised to

acknowledge that there are otherwise eligible applicants which because

of recent recognition or untermination have no land base and,

therefore, no on-reservation or rancheria Native American population.

3. Imminent Threat Requirements and Process. The wording of the

NOFA has been revised (Section III.(a)(4)). The emergency nature of the

problem to be addressed has been emphasized. Also, the fact that the

deadline established by the NOFA does not apply to requests for

assistance to address an imminent threat has been clarified.

4. Southwest Area ONAP--Closing of the San Francisco Office. The

address of the San Francisco Office of the Southwest Area ONAP has been

deleted from the listing of Area ONAP offices (Section IV.(a)(1)) since

this office has been closed. Program responsibilities for applicants

and grants in the former jurisdiction of that office have been

transferred to the office in Phoenix.

5. Housing Rehabilitation Grant Limit. The grant limit set forth in

Section VIII.(b)(2) for applicants in the jurisdiction of the Northwest

Area ONAP has been increased to $25,000.

6. Land to Support New Housing--Selection Criterion VIII.(e)(2)(v).

In response to equity concerns raised by the Southern Plains Area ONAP,

the language of this criterion has been changed. It will not be

necessary for an applicant to provide documentation from the Bureau of

Indian Affairs which demonstrates that the land to be purchased can and

would be taken into trust to obtain the rating points available under

this criterion. However, if this documentation is not provided, it will

be necessary for the applicant to provide specified documentation that

all taxes and fees on the land can and would be paid.

7. Errors and Appeals. The section formerly titled Procedural Error

and Appeals has been re-titled Errors and Appeals (Section XI.). The

following substantive changes have also been made. The basis upon which

an appeal may be made has been clarified; it has been made explicit

that only a perceived arithmetic error may form the basis of an appeal.

In addition, the time period allowed for an appeal has been reduced to

thirty days after notification of a funding decision.

8. Editorial and Formatting Revisions. In addition to the changes

discussed above, this notice makes several technical changes to the FY

1996 NOFA. These editorial and formatting changes will make the NOFA

easier to understand. Among other revisions, this notice divides

several of the lengthy sections contained in the FY 1996 NOFA. For

example, this NOFA sets forth the thresholds and selection criteria for

Housing, Community Facilities, and Economic Development in separate

sections. Other technical changes include: (1) moving the necessary

definitions up front to a new Section II; (2) redesignating the NOFA

paragraphs to conform to the designations used by HUD in its other

regulations and notices; and (3) moving the information regarding the

Paperwork Reduction Act of 1995 and the HUD Reform Act to the section

titled ``Findings and Certifications'' (formerly titled ``Other

Matters'').

Promoting Comprehensive Approaches to Housing and Community

Development

HUD is interested in promoting comprehensive, coordinated

approaches to housing and community development. Economic development,

community development, public housing revitalization, homeownership,

assisted housing for special needs populations, supportive services,

and welfare-to-work initiatives can work better if linked at the local

level.

[[Page 17977]]

Toward this end, the Department in recent years has developed the

Consolidated Planning process designed to help communities undertake

such approaches.

In this spirit, it may be helpful for applicants under this NOFA to

be aware of other related HUD NOFAs that have recently been published

or are expected to be published in the near future. By reviewing these

NOFAs with respect to their program purposes and the eligibility of

applicants and activities, applicants may be able to relate the

activities proposed for funding under this NOFA to the recent and

upcoming NOFAs and to the community's Consolidated Plan. While tribes

and Indian housing authorities are not required to execute a

Consolidated Plan, comprehensive planning by tribes is encouraged.

Elsewhere in today's Federal Register, the Department is publishing

the following related NOFAs: the NOFA for Emergency Shelter Grants Set-

Aside for Indian Tribes and Alaskan Native Villages; and the NOFA for

Indian Applicants under the HOME Program. The Department expects to

publish within the next few weeks the NOFA for Indian Housing

Development.

To foster comprehensive, coordinated approaches by communities, the

Department intends for the remainder of FY 1997 to continue to alert

applicants to upcoming and recent NOFAs as each NOFA is published. In

addition, a complete schedule of NOFAs to be published during the

fiscal year and those already published appears under the HUD Homepage

on the Internet, which can be accessed at http://www.hud.gov/

nofas.html. Additional steps on NOFA coordination may be considered for

FY 1998.

For help in obtaining a copy of your community's Consolidated Plan,

please contact the community development office of your municipal

government.

Table of Contents

I. Purpose and Authority

(a) Purpose

(b) Authority

II. Definitions

III. Funding and Eligibility

(a) Funding

(b) Eligible Activities

IV. Application Process and Submission Requirements

(a) Application Process

(b) Application Submission Requirements and Checklist

V. Application Screening and Review Process

(a) Screening for Acceptance

(b) Application Review Process

VI. General Threshold Requirements

(a) General

(b) Applicant Thresholds

VII. Summary of Selection System Criteria and Point Awards

Housing

(a) Rehabilitation

(b) Land to Support New Housing

Community Facilities

(a) Infrastructure

(b) Buildings

Economic Development

VIII. Project Specific Thresholds and Selection Criteria for Housing

(a) Specific Threshold for Housing Category Projects

(b) Rehabilitation Thresholds and Grant Limits

(d) Thresholds for Land to Support New Housing

(e) Selection Criteria for Land to Support New Housing

(f) Thresholds for New Housing Construction

(g) Selection Criteria for New Housing Construction

IX. Project Specific Thresholds and Selection Criteria for Community

Facilities

(a) Infrastructure Selection Criteria

(b) Threshold for Buildings

X. Project Specific Thresholds and Selection Criteria for Economic

Development

(a) Thresholds for Economic Development

(b) Selection Criteria for Economic Development

XI. Error and Appeals

XII. Findings and Certifications

(a) Paperwork Reduction Act

(b) Environmental Statement

(d) Federalism Executive Order

(e) Family Executive Order

(f) Prohibition of Advance Disclosure of Funding Decisions

(g) Economic Opportunities for Low and Very Low Income Persons

(h) Prohibition Against Lobbying Activities

(i) Section 102 of the HUD Reform Act

I. Purpose and Authority

(a) Purpose. This notice announces the availability of $67,453,491

for the ICDBG Program.

(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 part

953.

II. Definitions

Adopt means to approve by formal tribal resolution.

Assure means to comply with a specific NOFA requirement. The

applicant should state its compliance or its intent to comply in its

application.

Document means to supply supporting written information and/or data

in the application which satisfies the NOFA requirement.

Leverage means resources the grantee will use in conjunction with

ICDBG funds to achieve the objectives of the project. Resources

include, but are not limited to:

(1) Tribal trust funds;

(2) Loans from individuals or organizations;

(3) State or Federal loans or guarantees;

(4) Other grants; and

(5) Noncash contributions and donated services.

(See section IV.(c) of this NOFA for documentation requirements for

point award for leveraged resources.)

Project Cost means the total cost to implement the project. Project

cost includes both ICDBG and non ICDBG funds and resources.

Section 8 standards means housing quality standards contained in 24

CFR 982.401 (Section 8 Tenant-Based Assistance: Unified Rule for

Tenant-Based Assistance Under the Section 8 Rental Certificate Program

and the Section 8 Rental Voucher Program).

Standard Housing/Standard Condition means housing which meets the

housing quality standards (HQS) adopted by the applicant.

(1) The HQS adopted by the applicant must be at least as stringent

as the Section 8 standards unless the Area ONAP approves less stringent

standards based on a determination that local conditions make the use

of Section 8 standards infeasible.

(2) 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 Area ONAP.

(3) The adopted standards must provide for the following:

(i) That the house is safe, in a physically sound condition with

all systems performing their intended design functions;

(ii) A livable home environment;

(iii) An energy efficient building and systems which incorporate

energy conservation measures; and

(iv) Adequate space and privacy for all intended household members.

Tribe means an Indian Tribe, band, group or nation, including

Alaska Indians, Aleuts, Eskimos, Alaska Native Villages, ANCSA Village

Corporations and Regional Corporations.

[[Page 17978]]

III. Funding and Eligibility

(a) Funding. (1) General. Amendments to Title I of the Housing and

Community Development Act of 1974 have required that the allocation for

Indian Tribes be awarded on a competitive basis in accordance with

selection criteria contained in a regulation promulgated by the

Secretary after notice and public comment. All grant funds awarded in

accordance with this NOFA are subject to the requirements of 24 CFR

part 953. Applicants within an Area ONAP's geographic jurisdiction

compete only against each other for that Area ONAP's allocation of

funds.

(2) Allocations. The requirements for allocating funds to Area

ONAPs responsible for program administration are found at 24 CFR

953.101. Following these requirements, the allocations for FY 1997 are

as follows:

Eastern/Woodlands.......................................... $5,178,418

Southern Plains............................................ 12,254,896

Northern Plains............................................ 10,336,441

Southwest.................................................. 28,199,896

Northwest.................................................. 3,949,293

Alaska..................................................... 5,534,557

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Total................................................ 65,453,491

The total allocation includes $453,491 in unused funds from the

amount reserved by the Assistant Secretary in Fiscal Year 1996 for

imminent threat grants. As indicated in Section III.(a)(4) below,

$2,000,000 will be retained to fund imminent threat grants.

(3) Grant Ceilings. The authority to establish grant ceilings is

found at 24 CFR 953.100(b)(1). Grant ceilings are established for FY

1997 funding at the following levels:

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

Area ONAPs 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

9,001-10,500.......... 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

0-1,500............... 450,000

Northwest........................... All................... 320,000

Alaska.............................. All................... 500,000

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

For the Southwest Area ONAP jurisdiction, the population used to

determine ceiling amounts is the Native American population which

resides on a reservation or rancheria.

(4) Imminent Threats. (i) 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. Please note that

the problem to be addressed must be such that an emergency situation

would exist if it were not addressed. In accordance with the provisions

of 24 CFR part 953, subpart E, $2,000,000 will be retained to meet the

funding needs of imminent threat applications submitted to any of the

Area ONAPs. The grant ceiling for imminent threat applications for FY

1997 is $350,000. This ceiling is established pursuant to the

provisions of Sec. 953.400(c).

(ii) Requests for assistance under the imminent threat set-aside

(24 CFR 953, subpart E) do not have to be submitted by the deadline

established in this NOFA; the deadline applies to application submitted

for assistance under 24 CFR 953, subpart D--single purpose grants.

(iii) If, in response to a request for assistance, an Area ONAP

issues a letter to proceed under the authority of Sec. 953.401(a), an

application must be submitted to and approved by the Area ONAP before a

grant agreement may be executed. This application must consist of the

following components:

(A) Standard Form 424--Application for Federal Assistance

(B) Brief description of the proposed project

(D) Form HUD-4125--Implementation Schedule

(E) Form HUD-2880--Applicant/Recipient Disclosure/Update Report.

(F) Form HUD-4126--Certifications.

(G) Drug-free workplace certification (24 CFR part 24, subpart F).

(b) Eligible Activities. Activities that are eligible for ICDBG

funds are identified at 24 CFR part 953, subpart C.

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.

(2) Tribal Organizations. 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.

(3) Successors to Eligible Entities. If a tribe or tribal

organization claims that it is a successor to an eligible entity, the

Area ONAP must review the documentation to determine whether it is in

fact the successor entity.

(4) Alaskan Tribal Entities. (i) 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 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.

(ii) On February 16, 1995 (60 FR 9250), 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 part 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.

(iii) Any questions regarding eligibility determinations and

related documentation requirements for entities in Alaska should be

referred to the Alaska Area ONAP prior to the deadline for submitting

an application. (See 24 CFR 953.5 for a complete description of

eligible applicants.)

IV. Application Process and Submission Requirements

(a) Application Process

(1) An application package may be obtained from the Area ONAP in

the following geographic locations:

All States East of the Mississippi River, Plus Iowa and Minnesota:

Eastern/Woodlands Office of Native American Programs, Community

Development and Tribal Relations (CD & TR) Staff, 77 West Jackson

Blvd., Chicago, IL 60604; Telephone: (312) 886-4532, Ext. 2815.

Louisiana, Kansas, Oklahoma, and Texas, except West Texas: Southern

Plains Office of Native American Programs, CD & TR Staff, Suite 400,

500 W. Main Street, Oklahoma City, OK

[[Page 17979]]

73102-3202; Telephone: (405) 553-7525.

Colorado, Montana, Nebraska, North Dakota, South Dakota, Utah and

Wyoming: Northern Plains Office of Native American Programs, CD & TR

Staff, First Interstate Tower North, 833 17th Street, Denver, CO 80202-

3607; Telephone: (303) 672-5457.

Arizona, California, and Nevada: Southwest Office of Native

American Programs, CD & TR Staff, Two Arizona Center, Suite 1650, 400

N. Fifth Street, Phoenix, AZ 85004-2361; Telephone: (602) 379-4197.

New Mexico and West Texas: Southwest Office of Native American

Programs, CD & TR Specialist, Albuquerque Plaza, 201 3rd Street N.W.,

Suite 1830, Albuquerque, NM 87102-3368; Telephone: (505) 766-1372.

Idaho, Oregon, Washington: Northwest Office of Native American

Programs, CD & TR Staff, Federal Office Building, 909 First Avenue,

Suite 200, Seattle, WA 98104-1000; Telephone: (206) 220-5271.

Alaska: Alaska Office of Native American Programs, CD & TR Staff,

949 E. 36th Avenue, Suite 401, Anchorage, AK 99508-4135; Telephone:

(907) 271-4603.

(2) Completed applications must be submitted to the appropriate

Area ONAP, listed above, from which application information and

packages were obtained. All telephone numbers listed may be accessed

via TTY by calling the Federal Information Relay Service at 1-800-877-

8339.

(3) Applications must be received by the appropriate Area ONAP no

later than 3:00 P.M. on the deadline date, Friday, July 25, 1997.

(b) Application Submission Requirements and Checklist

(1) 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.

(2) 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:

(i) Generally available, published data are substantially

inaccurate or incomplete;

(ii) Data provided have been collected systematically and are

statistically reliable;

(iii) Data are, to the greatest extent feasible, independently

verifiable; and

(iv) Data differentiate between reservation and BIA service area

populations, when applicable.

(3) 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 Sec. 953.604.

(4) Application Submission. The application shall include:

(i) Standard Form 424--Application for Federal Assistance;

(ii) 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;

including scope, magnitude, and method of implementing the project;

(D) A schedule for implementing the project (form HUD-4125

Implementation Schedule); and

(E) Cost information for each separate project, including specific

activity costs, administration, planning, and technical assistance,

total HUD share (form HUD-4123 Cost Summary);

(iii) Certifications--form HUD 4126;

(iv) Drug-free Workplace Certification (24 CFR part 24, subpart F);

(v) Applicant/Recipient Disclosure/Update Report--form HUD 2880, as

required under subpart A of 24 CFR part 4, Accountability in the

Provision of HUD Assistance;

(vi) A map showing project location, if appropriate;

(vii) If the proposed project will result in displacement or

temporary relocation, 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;

(D) The source of funds for relocation; and

(E) The organization that will carry out the relocation activities;

(viii) If applicable, evidence of the disclosure required by 24 CFR

953.606(e).

resources. (1) General. For the applicant's own resources, a council

resolution which identifies and commits the resources must be included

in the application. For resources to be provided by another entity,

written verification of an application or request for the leveraged

resources must be included in the application.

(2) Resources contributed by a public agency, foundation, or other

public party. (i) In addition to the requirement described in paragraph

(c)(1) of this section, 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 Area ONAP no later than 30 days after the

application deadline. This commitment must specifically identify or

indicate:

(A) The dollar amount committed (or dollar value of the noncash

resource and the basis for the valuation);

(B) That the resources are currently available or will be available

when necessary for successful project implementation; and

(ii) If the nature of the funding cycle of the contributing entity

precludes such an entity from making a firm funding commitment in the

30 days provided by paragraph (c)(2)(i) of this section, such resources

will be considered in the award of points if the entity provides a

written statement indicating that the application or request for

assistance has been received from the ICDBG applicant and stating the

date by which its funding determination will be made. This date cannot

be more than six months from the anticipated date of grant approval

notification by HUD.

(iii) If the proposed project rates high enough for funding

consideration, a special condition will be established in the grant

agreement for the project. This condition will indicate that if a firm

funding commitment for the leveraged resources is not provided within

six months of the date of grant approval, the grant funds approved will

be recaptured by HUD and will be used in accordance with the

requirements of Sec. 953.102.

(iv) The statement described in paragraph (c)(2)(ii) of this

section must be received by the Area ONAP no later than 30 days after

the application deadline. If the commitment or statement is not

received in the required timeframe or if the required information is

not included, points will not be awarded for the proposed contribution.

(v) If the proposed project still rates high enough to be approved,

a pre-award condition will be established which will require the

applicant to provide evidence of firmly committed resources to cover

the entire non-ICDBG

[[Page 17980]]

project cost. If this condition is not met, the grant will not be

awarded.

(3) Contributions of goods and services. In addition to the above

requirements for point award, special documentation must be included in

the application for certain contributions. The contribution of 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.

(4) Contributions of land. Land to be contributed will only be

considered for point award when its use and area are integral to the

development of the project. In addition, the value of the land must be

verified by any of the following means or methods and this

documentation must be included in the application:

(i) A site specific appraisal no more than two years old;

(ii) An appraisal of a nearby comparable site also no more than two

years old; and

(iii) A reasonable extrapolation of land value based on current

area realtors value guides.

V. Application Screening and Review Process

(a) Screening for Acceptance. Each Area ONAP will screen

applications for single purpose grants. Applications failing this

screening shall be rejected and returned to the applicants unrated.

Area ONAPs will accept applications if all the criteria listed below as

items (1) through (6) are met:

(1) The application is received by the appropriate Area ONAP no

later than 3:00 P.M. local time on the deadline date;

(2) The applicant is eligible;

(3) The proposed activities are eligible. Activities assisted with

ICDBG funds are subject to the requirements of section 504 of the

Rehabilitation Act of 1973 and HUD's implementing regulations at 24 CFR

part 8;

(4) The application contains substantially all the components

specified in Section IV.(b)(4) of this notice;

(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 Sec. 953.208; and,

(6) The application is for an amount which does not exceed the

grant ceilings that are established by the NOFA.

(b) Application Review Process.

(1) Threshold review. The Area ONAP will review each application

that passes the screening process to ensure that each applicant and

each proposed project meets the applicable threshold requirements set

forth in 24 CFR 953.301(a) and 953.302, 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) Rating Team. All projects that meet the acceptance criteria and

threshold requirements will be reviewed and rated by an Area ONAP

rating team of at least three voting members. The Area ONAP rating team

will examine each project to determine in which one of the rating

categories set forth in 24 CFR 953.303(a) 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 points for a rating component are

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

other project(s) included in the application. 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.

(i) The Area ONAP will not accept unsolicited information regarding

the application after the application deadline has passed. The Area

ONAP will notify applicants in writing 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 technical deficiencies would be a failure to submit proper

certifications or failure to submit an application containing an

original signature by an authorized official.

(ii) The Area ONAP may request information for the purpose of

clarifying the terms of an applicant's application, provided the

additional information is consistent with regulatory requirements.

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, the Area ONAP will reject the

application as incomplete. If the supplemental information is not

provided in this time period and, as a consequence, the Area ONAP

determines that the applicant has failed to establish compliance with

the requirements of 24 CFR part 953, the application will be returned,

unrated.

(iii) No information submitted after the application due date can

enhance a project's rating, and a new project may not be substituted

for one included in the application.

(5) Final ranking. (i) 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 awarded.

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).

(ii) If the Area ONAP 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. The Area ONAP 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, Area ONAPs

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 will be used in the order listed to resolve the tie:

(i) Eastern/Woodlands Office

(A) The applicant with the fewest active grants.

(B) The applicant that has not received an ICDBG grant over the

longest period of time.

and moderate income persons.

(ii) Southern Plains Office

(A) The applicant that has not received an ICDBG grant over the

longest period of time over the last 8 years.

[[Page 17981]]

(B) The applicant with the fewest active grants.

and moderate income persons.

(iii) Northern Plains and Southwest Offices

(A) The applicant that has not received an ICDBG grant over the

longest period of time.

(B) The applicant with the fewest active grants.

and moderate income persons.

(iv) Northwest Office

(A) The applicant that has not received an ICDBG grant over the

longest period of time.

(B) The applicant that has received the fewest ICDBG dollars since

the inception of the program.

and moderate income persons.

(v) Alaska Office

(A) The applicant that has not received an ICDBG grant over the

longest period of time.

(B) The project that would benefit the highest percentage of low

and moderate income persons.

persons.

(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 Area ONAP may determine that the applicant has not met the

requirements and the grant offer may be withdrawn. The Area ONAPs shall

require supporting documentation in those instances where:

(i) Specific questions remain concerning the scope, magnitude,

timing, or method of implementing the project; or

(ii) The applicant has not provided information verifying the

commitment of other resources required to complete, operate, or

maintain the proposed project.

(2) New projects may not be substituted for those originally

proposed in the application.

(3) If the required conditions are not met within the prescribed

time, HUD may unilaterally rescind the grant award.

(4) Grant amounts allocated for applicants unable to meet pre-award

requirements will be awarded in accordance with Sections VIII, IX, and

X of this NOFA.

VI. General Threshold Requirements

(a) General. Two types of general thresholds are set forth in 24

CFR 953.301(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 are set forth

in 24 CFR 953.302.

(b) Applicant thresholds. (1) General. Applicant thresholds focus

on the administrative capacity of the applicant to undertake the

proposed project, on its past performance in the ICDBG program, and on

its provision of housing assistance to low and moderate income tribal

members.

(2) Applicant-Specific Thresholds: Capacity. The Area ONAP 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 Area ONAP

determines, based on substantial evidence (which could include

information provided by the most recent risk analysis conducted by the

Area ONAP), that the applicant does not have or cannot obtain the

capacity to undertake the proposed project, the application will not

receive further consideration.

(3) Applicant-Specific Thresholds: Performance. (i) Community

development. (A) If an applicant has previously participated in the

ICDBG Program, the Area ONAP shall determine whether the applicant has

performed adequately in grant administration and management. This

determination will include an evaluation of the most recent RADAR (Risk

Analysis and Determination for Allocation of Resources) conducted by

the Area ONAP for the applicant. The applicant is presumed to be

performing adequately unless the Area ONAP makes a performance

determination to the contrary during periodic evaluations.

(B) Where an applicant was found to be performing inadequately, the

Area ONAP shall determine whether the applicant has corrected the

deficiency or is following a schedule to correct performance to which

the applicant and the Area ONAP have agreed. In cases of previously

documented deficient performance, the Area ONAP must determine that the

applicant has taken appropriate corrective action to improve its

performance prior to the application due date.

which has been determined not to meet this performance threshold no

later than 30 days prior to the application due date. If the

performance threshold is not met as of the application submission

deadline, an application will not be accepted for rating and ranking.

(ii) Housing assistance. (A) 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.

(B) 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. 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.

new housing through a subrecipient, the Area ONAP will consider the

following in making its determination regarding housing assistance

performance:

(1) Whether the proposed units were constructed;

(2) Whether housing assistance was provided to the beneficiaries

identified in the funded application, and if not, why not;

(3) Whether the applicant followed the provisions of its housing

plan and procedures; and,

(4) Whether there were sustained complaints from tribal members

regarding provision and/or distribution of ICDBG housing assistance.

(D) The Area ONAP will inform in writing any potential applicant

which has been determined not to meet the housing assistance

performance

[[Page 17982]]

threshold no later than 30 days prior to the application deadline.

(4) Audits. The thresholds described in paragraphs (b)(2) and

(b)(3) of this section require the applicant to meet the following

performance criteria:

(i) The applicant cannot have an outstanding ICDBG obligation to

HUD or an 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.

(ii) 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

the current and subsequent competitions until the applicant has taken

final action necessary to close the audit finding. The Area ONAP

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.

rank a project contained in an application that has passed the

screening tests outlined in Section V. of this NOFA, Area ONAPs must

determine that the proposed project meets the community development

appropriateness thresholds set forth below:

(1) Costs are reasonable. The project must be described in

sufficient detail so that the Area ONAP can determine:

(i) That costs are reasonable; and,

(ii) That the funds requested from the ICDBG program and all other

sources are adequate to complete the proposed activity(ies) described

in the application.

(2) Project is Appropriate. The project is appropriate for the

intended use.

(3) Project is Usable or Achievable. The project is usable or

achievable in a timely manner, generally within a two year period. The

timetable for project implementation and completion must be set forth

on the form HUD 4125--Implementation Schedule, included in the

application. 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.

VII. Summary of Selection System Criteria and Point Awards

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

Maximum

points

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

Housing (Section VIII. of this NOFA)

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

(a) Rehabilitation

(1) Project Need and Design

(i) % of funds for standard rehab............................. 20

(ii) applicant's selection criteria........................... 10

(iii) housing survey.......................................... 15

(2) Planning and Implementation

(i) rehabilitation policies

(A) rehabilitation standards.................................. 5

(B) selection policies and procedures......................... 10

(ii) post rehab maintenance................................... 5

(iii) cost estimates.......................................... 15

(iv) cost effectiveness....................................... 5

(3) Leveraging................................................ 5

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

Total points............................................ 100

---------

(b) Land to Support New Housing

(1) Project Need.............................................. 40

(2) 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

(1) Project Need and Design

(i) IHA member/assistance..................................... 15

(ii) housing policies and plan................................ 20

(iii) beneficiary identification.............................. 10

(2) Planning and Implementation

(i) occupancy standards....................................... 10

(ii) site acceptability....................................... 15

(iii) energy conservation design.............................. 5

(iv) housing survey........................................... 10

(v) cost effectiveness........................................ 5

(3) Leveraging................................................ 10

---------

Total points............................................ 100

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

Community Facilities (Section IX. of this NOFA)

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

(a) Infrastructure

(1) Project Need and Design

(i) meets an essential need................................... 20

(ii) benefits the neediest.................................... 15

(iii) provides infrastructure/health and safety............... 25

(2) Planning and Implementation

(i) maintenance and operation plan............................ 15

(ii) appropriate and effective design scale and cost.......... 15

(3) Leveraging................................................ 10

---------

Total points............................................ 100

(b) Buildings

(1) 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

(2) Planning and Implementation

(i) maintenance and operation plan............................ 15

(ii) appropriate and effective design scale and cost.......... 15

(3) Leveraging................................................ 10

---------

Total points............................................ 100

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

Economic Development (Section X. of this NOFA)

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

(a) Economic Development

(1) Organization.............................................. 8

(2) Project Success

(i) market analysis........................................... 15

(ii) management capacity...................................... 15

(iii) financial analysis...................................... 15

(3) Leveraging................................................ 12

(4) Jobs

(i) ICDBG cost/job............................................ 15

(ii) quality of jobs/training................................. 5

(5) Additional considerations................................. 15

---------

Total points............................................ 100

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

VIII. Project Specific Thresholds and Selection Criteria for

Housing

(a) Specific threshold for housing category projects. The applicant

shall provide an assurance that households that have been evicted from

HUD assisted housing within the past five years will not be assisted by

the proposed project except in emergency situations. The Area ONAP

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 Thresholds and Grant Limits. (1) Thresholds. 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. The applicant shall provide an assurance that:

(i) Any house to be rehabilitated will be the permanent non-

seasonal residence of the occupants; the residents will live in the

unit at least nine months per year.

(ii) Houses designated for eventual replacement will only receive

repairs essential for the health and safety of the occupants.

[[Page 17983]]

(iii) Project funds will be used to rehabilitate HUD assisted

houses 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 Area ONAP. In emergency situations the Area ONAP

administrator may grant exceptions to this requirement on a case-by-

case basis.

(iv) Houses that have received comprehensive rehabilitation

assistance from any ICDBG or other Federal grant program within the

past 8 years will not 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 Area ONAP

jurisdiction are as follows:

(i) Eastern/Woodlands...........................................$15,000

(ii) Southern Plains............................................$20,000

(iii) Northern Plains...........................................$33,500

(iv) Southwest..................................................$35,000

(v) Northwest...................................................$25,000

(vi) Alaska.............................Lesser of $45/sq.ft. or $35,000

(1) Project Need and Design. (45 points)

(i) The percentage of ICDBG funds committed to bring the houses to

be assisted 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

the houses up to a standard condition. The percentage of ICDBG funds

not used to bring the houses 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 houses to be assisted

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 which are included in the

application give first priority to the neediest households.

``Neediest'' is defined as households whose houses 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) (A) Documentation of project need with a housing survey of

all of the houses to be rehabilitated with ICDBG funds. This survey

should include standard housing data on each house 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 house. A definition of ``suitable for

rehabilitation'' must be included. At a minimum, this definition must

not include houses that need only minor repairs, or houses that need

such major repairs that rehabilitation is structurally or financially

infeasible.

(B) The application contains all the required survey data and the

required definition of ``suitable for rehabilitation.'' (15 points)

``suitable for rehabilitation'' and/or all the survey data, but does

contain sufficient data to enable the project to proceed effectively.

(10 points)

(D) 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)

(2) Planning and Implementation. (50 points)

(i) Rehabilitation Policies and Procedures including:

(A) Adopted rehabilitation standards. The rehabilitation standards

adopted by the applicant will ensure that after rehabilitation the

houses assisted will be in a standard condition.

YES............................................................5 points

NO.............................................................0 points

(B) Rehabilitation selection policies and procedures. (1) The

rehabilitation selection policies and procedures contained in the

application include:

(i) Property selection standards;

(ii) Cost limits;

(iii) Type of financing (e.g., loan or grant);

(iv) Homeowner costs and responsibilities;

(v) Procedures for selecting households to be assisted; and,

(vi) Income verification procedures.

(2) The application contains all the rehabilitation selection

policies and procedures listed above. (10 points)

(3) The application does not contain all the rehabilitation

selection policies and procedures listed above, but contains sufficient

data to enable the project to proceed effectively or the application

contains all the rehabilitation selection policies and procedures

listed above, but in insufficient detail. (5 points)

(4) The application does not contain the rehabilitation selection

policies and procedures listed above or if it does contain policies and

procedures, they are not sufficient to enable the project to proceed

effectively. (0 points)

policies and procedures must include a description of the following

items:

(i) The qualifications which will be required of the inspector;

(ii) The inspection procedures to be used;

(iii) The procedures to be used to select the contractor or

contractors;

(iv) The manner in which the households to be assisted will be

involved in the rehabilitation process;

(v) How disputes between the households to be assisted, the

contractors and the applicant will be resolved; and, if applicable,

(vi) The repayment provisions which will be required if sale of the

assisted house occurs prior to 5 years after the rehabilitation work

has been completed.

(2) The application contains all the policies and procedures listed

above, and they will enable the project to be effectively implemented.

(10 points)

(3) 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)

(4) The application does not contain the policies and procedures

listed above. (0 points)

(ii) Post rehabilitation maintenance policies that address

counseling and training assisted households on maintenance. (A) The

policies included in the application contain 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 persons with disabilities).

(B) The policies include follow-up inspections after rehabilitation

is completed to ensure the house is being maintained. (5 points)

and counseling program but fail to adequately address all of the items

listed above. (3 points)

(D) The application does not contain a well-planned home

maintenance training and counseling program. (0 points)

(iii) Quality of cost estimates. (A) 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 house basis and are supported by a work write-up

for each house to be assisted. The work write-ups are based upon making

those repairs necessary to bring the houses to a standard condition in

a manner consistent with adopted construction codes and requirements.

The write-ups must be submitted with the application.

[[Page 17984]]

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)

(B) Cost estimates have been prepared for each house to be

rehabilitated to determine the total rehabilitation cost. The cost

estimates are included in the application. Costs to rehabilitate each

house are documented by a deficiency list. (12 points)

application but the estimates are based on surveys and not on

individual house deficiency lists. (5 points)

(D) 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. (A) 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 houses to be assisted to a standard

condition in an efficient and cost effective manner.

(B) Rehabilitation project is cost effective. (5 points)

(3) 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 % 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

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

(d) Thresholds for Land to Support New Housing. (1) The application

contains information and documentation which establishes that there is

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.

(2) 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.

(e) Selection Criteria for Land to Support New Housing.

(1) Project Need and Design. (40 Points)

Information included in the application establishes that:

(i) The applicant has no suitable land for the construction of new

housing and the necessary infrastructure and amenities for this

housing. (40 points); or,

(ii) The applicant has land suitable for housing construction and

needed infrastructure and amenities, but the land is officially

dedicated to another purpose. (30 points); or,

(iii) 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); or,

(iv) The applicant will be acquiring land for the construction of

amenities for existing housing. (15 points); or,

(v) The reason for the land acquisition does not meet any of the

criteria listed above. (0 points)

(2) Planning and Implementation. (60 points)

(i) Suitability of land to be acquired. A preliminary investigation

has been 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:

(A) 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.

(B) The land has adequate:

(1) Availability of drinking water;

(2) Access to utilities;

(3) Vehicular access;

(4) Drainage;

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. (A) Evidence of a conditional commitment

for at least 25 percent of 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)

(B) 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 to trust status. (A) Land can be taken into trust or

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 or 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.

(B) Documentation from the BIA that land can be taken into trust or

the required governing body resolution is included in the application.

(5 points)

application or they are inadequate. (0 points)

(vi) Infrastructure commitment. (A) A plan or commitment for any

infrastructure needed to support the housing to be built on the land to

be acquired has been included in the application. 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.

(B) 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)

included in

[[Page 17985]]

the application but all financial commitments required to implement the

plan have not been submitted. (5 points)

(D) 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 application must

include comparable sales data which shows that the cost of the land

proposed for acquisition is reasonable.

Yes............................................................5 points

No.............................................................0 points

(f) Thresholds for New Housing Construction. The following

thresholds and the selection criteria set forth in paragraph (g) of

this section apply to new housing construction to be implemented

through a Community-Based Development Organization (CBDO) as provided

for under 24 CFR 953.204. Please note that all households to be

assisted under a new housing construction project must be of low or

moderate income status.

(1) New housing construction can only be implemented through a

Community-Based Development Organization (CBDO). Eligible CBDOs are

described in 24 CFR 953.204(c). The applicant must provide an assurance

that it understands this requirement.

(2) Documentation which supports the following determinations must

be included in the application:

(i) No other housing is available in the immediate reservation area

that is suitable for the households to be assisted;

(ii) No other funding sources can meet the needs of the

household(s) to be served.

(iii) The house occupied by the household to be assisted is not in

standard condition and rehabilitation is not economically feasible, or

the household is currently in an overcrowded house [sharing house with

another household(s)], or the household to be assisted has no current

residence.

(3) 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

to be used when constructing the houses and must document that this

code has been adopted. The building code may be a tribal building code

or a nationally recognized model code. If it is a tribal code it must

regulate all of the areas and subareas identified in 24 CFR 200.925b,

and it must be reviewed and approved by the Area ONAP. If the code is

recognized nationally, it must be the latest edition of one of the

codes incorporated by reference in 24 CFR 200.925c.

(4) The applicant must provide an assurance that any house to be

constructed will be the permanent non-seasonal residence of the

household to be assisted; this household must live in the house at

least nine months per year.

(g) Selection Criteria for New Housing Construction.

(1) Project Need and Design. (45 points)

(i) IHA member/assistance. (A) The application includes

documentation which establishes that the applicant either is not served

by an Indian Housing Authority (IHA), or if it is a member of an

umbrella IHA, this IHA has not provided assistance to the applicant in

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 has not

received 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.

(B) No assistance from IHA for 10 years or longer. (15 points)

(D) No assistance from IHA for 0-5 years, 11 months. (0 points)

(ii) Adopted housing construction policies and plan. (A) The plan

must include a description of the proposed CBDO and its relationship

(or proposed relationship) to the applicant. In addition, the policies

and plan must include:

(1) 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.

(2) A system effectively addressing long-term maintenance of the

constructed houses.

(3) Estimated costs and identification of the entity responsible

for paying utilities, fire hazard insurance and other normal

maintenance costs.

(4) Policies governing ownership of the houses, including the

status of the land.

(5) Description of a comprehensive plan or approach being

implemented by the tribe to meet the housing needs of its members.

(6) Policies governing disposition or conversion to non-dwelling

uses of substandard houses that will be vacated when a replacement

house is provided.

(B) The policies and plan include all of the information listed

above. (20 points)

listed above, but do include sufficient information to allow the

project to proceed effectively or, all of the information is included,

but in insufficient detail. (10 points)

(D) The information included in the application is not sufficient

to meet the requirements for the award of 10 points. (0 points)

(iii) Beneficiary identification. (A) Households to be assisted are

identified in the application and their income eligibility and

household size are documented. (10 points)

(B) Households to be assisted are not identified or, if identified,

their income eligibility and household size are not documented. (0

points)

(2) Planning and Implementation. (45 points)

(i) Occupancy Standards. (A) 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.

(B) Applicant has adopted reasonable occupancy standards which are

included in the application. (10 points)

standards were not included in the application. (0 points)

(ii) Site Acceptability. (A) The applicant (or the proposed

beneficiary household) has control of the land upon which the houses

will be built. The application includes documentation that all housing

sites are in trust or documentation from the BIA that the sites 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 Area

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ONAP before ICDBG funds may be obligated for construction.

(B) 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;

(1) Each site has adequate:

(2) Availability of drinking water

(3) Access to utilities

(4) Vehicular access

(4) Drainage;

(5) Each site appears to comply with environmental requirements.

YES...........................................................15 points

NO.............................................................0 points

(iii) Energy Conservation Design. The application includes

documentation which demonstrates that the proposed houses have been

designed in a manner which will ensure that energy use will be no

greater than that for comparable houses 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. (A) 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:

(1) Size of the household, inc. age and gender of any children.

(2) Is the household occupying permanent housing or is it homeless?

(3) Annual household income.

(4) Owner or renter.

(5) Number of habitable rooms and number of sleeping rooms.

(6) Physical condition of the house--standard/substandard. If

substandard, is it suitable for rehabilitation? A definition of

``suitable for rehabilitation'' must be included.

(7) Number of distinct households occupying the house/degree of

overcrowding.

(8) If there is a need for a replacement house, what are the

housing preferences of the household, e.g. ownership or rental;

location; manufactured or stick-built.

(B) An acceptable survey was submitted. (10 points)

submitted. (0 points)

(v) Cost effectiveness of new housing construction. (A) 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.

(B) The applicant has demonstrated that the proposed activities are

cost effective. (5 points)

are cost effective. (0 points)

(3) 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 % 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

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

IX. Project Specific Thresholds and Selection Criteria for

Community Facilities

(a) Infrastructure Selection Criteria.

(1) Project Need and Design. (60 points)

(i) Meets an essential need. (A) The application includes

documentation which demonstrates that 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.

(B) The proposed project will fulfill a function which is critical

to the continued existence or orderly development of the community. (20

points)

critical to the continued existence or orderly development of the

community. (0 points)

(ii) Benefits the neediest. (A) The proposed project benefits the

neediest segment of the population, as identified below. Applications

must include information which demonstrates that income data was

collected in a statistically reliable and independently verifiable

manner and that:

(B) 85 percent or more of the beneficiaries are low and moderate

income. (15 points)

moderate income. (10 points)

(D) Between 55-74.9 percent of the beneficiaries are low and

moderate income. (5 points)

(E) Less than 55 percent of the beneficiaries are low and moderate

income. (0 points)

(iii) Provides infrastructure/health and safety. (A) The

application includes documentation which demonstrates that 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.

(B) 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)

meet current needs or is unreliable. (20 points)

(D) 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)

(E) 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)

(F) 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:

(1) 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,

(2) The threat or problem can be completely or substantially

eliminated if the proposed project is undertaken.

(2) Planning and Implementation. (30 points)

(i) A viable plan for maintenance and operation. (A) If the

applicant is to assume responsibility for maintenance and operation of

the proposed facility, the applicant must adopt a maintenance

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and operation plan which addresses maintenance, repair and replacement

of items not covered by insurance, and which clearly identifies

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.

(B) 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 and which documents its

financial ability to assume these responsibilities must be included in

the application; submission of a maintenance and operation plan is not

required. Points will only be awarded if the Area ONAP is able to

determine that the entity is financially able to assume the costs of

maintenance and operation.

resolution (or letter of commitment) are included in the application.

(15 points)

(D) 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. (A) 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.

(B) The required information is included in the application. (15

points)

if included, it is unacceptable. (0 points)