Community Development Block Grant Program for Indian Tribes and Alaska Native Villages Fiscal Year 1999 Notice of Funding Availability

Federal RegisterFeb 22, 1999

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SUMMARY: This notice announces the availability of $68,305,105 for the

Community Development Block Grant Program for Indian Tribes and Alaska

Native Villages (ICDBG Program). This figure consists of $67,000,000 in

fiscal year 1999 funds and $1,305,105 in fiscal year 1998 carryover

funds. The primary objective of this program is the development of

viable Indian and Alaska Native communities, including the creation of

decent housing, suitable living environments, and economic

opportunities. The program is targeted principally towards people with

low and moderate incomes. This Notice of Funding Availability (NOFA)

contains the following information: (a) The purpose of the NOFA; (b)

Information regarding eligibility and available amounts; (c) A list of

steps involved in the application process, including where and how to

apply and what to submit; (d) A checklist of the exhibits required for

the application process; and (e) A description of how applications are

processed, including the selection process and the selection criteria.

APPLICATION DUE DATE: You (the applicant) must submit your completed

application no later than 5:00 p.m., local time, on May 10, 1999 to one

of the addresses shown below. See below for specific procedures

covering the method of application submission (e.g., mailed

applications, express mail, overnight delivery, or hand carried).

Mailed Applications. We (HUD) will consider your application to be

timely filed if it is postmarked on or before 12:00 midnight on the

application due date and received by the appropriate Area ONAP within

ten (10) days after the application due date.

Applications Sent By Overnight/Express Delivery. If you send your

application by overnight delivery or express mail, we will consider it

to be timely filed if we receive it before or on the application due

date, or if you submit documentary evidence that you placed your

application in transit with the overnight delivery service by no later

than the specified application due date and we receive it within five

(5) days of the application due date.

Hand Carried Applications. You may hand carry your application to

the appropriate Area ONAP during normal business hours before the

application due date. On the application due date, we will accept

applications until 5:00 p.m., local time.

Addresses for Submitting Applications

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If you are applying from this Send your application to this

geographic location then area ONAP

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All States East of the Mississippi Eastern/Woodlands Office of

River, Plus Iowa and Minnesota. Native American Programs

Community Development and

Tribal Relations (CD & TR)

Staff, 77 West Jackson Blvd.,

Chicago, IL 60604-3507,

Telephone: (312) 886-4532,

Ext. 2815.

Louisiana, Kansas, Oklahoma, and Texas, Southern Plains Office of

except West Texas. Native American Programs CD &

TR Staff, Suite 400, 500 W.

Main Street, Oklahoma City, OK

73102-3202, Telephone: (405)

553-7525.

Colorado, Montana, Nebraska, North Northern Plains Office of

Dakota, South Dakota, Utah, and Native American Programs CD &

Wyoming. TR Staff, First Interstate

Tower North, 633 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................................. As noted in Section I.(C)(4) of

this NOFA, we will use FY 1999

ICDBG funds, allocated to the

Alaska Area ONAP, to fund the

highest rated applications

received by that office from

FY 1998. We will not accept

new applications for FY 1999.

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FURTHER INFORMATION, APPLICATION KITS, AND TECHNICAL ASSISTANCE:

For Further Information. You should direct general program

questions 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 Avenue, San Francisco, CA 94102; telephone (415) 436-

8122. The TTY number is (415) 436-6594. (These are not toll-free

numbers.)

For Application Kits. You may obtain an application kit from the

Area ONAPs identified above. You should make your request for an

application kit immediately to ensure sufficient time for application

preparation. We will distribute application kits as soon as they become

available.

For Technical Assistance. Before the application deadline, we will

be available to provide you with general guidance. We cannot, however,

provide you with guidance on the actual contents of your application.

If applicable, after selection but before award, we will be available

to assist you in clarifying or confirming information that is required

to address a pre-award requirement or condition.

SUPPLEMENTARY INFORMATION:

Changes From FY 1998 NOFA

1. Deadline for Submission of Hand Carried Applications. We have

changed the deadline for submitting hand carried applications from 6:00

p.m., local time, to 5:00 p.m., local time. Based on our experience in

FY 1998, there is no need to extend normal business hours for

acceptance of applications.

2. Grant Ceilings--Southwest ONAP. We have not changed the grant

ceilings for the Southwest ONAP. We have, however, clarified the

process used to correct or revise population levels upon which the

grant ceiling is based.

3. Application Components. We have clarified the status of two

application

[[Page 8693]]

components. First, we now indicate that, if applicable, a demographic

data certification (along with supporting documentation) is an

application component. We referenced this certification in the FY 1998

NOFA, however, it was not identified as an application component.

Second, we now indicate that a concurring resolution is an application

component, if it is part of an application submitted by a tribal

organization, as defined in 24 CFR 1003.5(b), and submitted on behalf

of a tribe, band, group, or nation. Please note that both of these

items were identified in the FY 1998 ICDBG Application Kit as possible

application components. They were not, however, identified as such in

the FY 1998 NOFA. These clarifications make the FY 1999 NOFA and

Application Kits consistent in this regard.

4. Application Review Process--Threshold Review. We have clarified

that projects that do not meet the community development

appropriateness or applicable project-specific thresholds will not be

rated or ranked. In addition, we have removed references to the term

``RADAR'' (Risk Analysis for Determining the Allocation of Resources)

from the discussion of performance threshold reviews. We did this

because we are ending the use of this term in the risk analysis process

used by the Area ONAPs.

5. Correction of Technically Deficient Applications and Provision

of Clarifying Information. We have changed the processes used by Area

ONAPs that allow you to provide corrections to technically deficient

applications and allow us to request clarifying information from you.

As we have indicated in this NOFA, a technical deficiency is an error

or oversight that, if corrected, would not alter, either in a positive

or negative fashion, the review and rating of an application. In FY

1998, we reviewed all applications that successfully passed the

screening process for technical deficiencies. If we found any such

deficiencies, we contacted each applicant, in writing and before rating

the application, and gave them an opportunity to correct the

deficiencies. Because, in most Area ONAPs, we can approve only a

relatively small percentage of submitted applications (given the

limited availability of funds), this process resulted in applicant and

our staff time being spent, too often, on explaining or addressing

technical deficiencies for applications that would not have rated high

enough to be approved. In FY 1999, we will review all applications that

pass screening for technical deficiencies, but will ask only successful

applicants to correct any deficiencies. The deficiencies must be

corrected before the grant is awarded.

In addition, we have changed what in FY 1998 was called

``supplemental information'' to ``clarifying information'' in FY 1999.

The purpose of this change is to better explain that such information,

if requested by us, cannot affect the rating of an application.

Finally, we have streamlined the process used for obtaining such

information.

6. Land to Support New Housing. We have clarified and revised the

first threshold requirement for this type of project. We have also

provided an example of the type of documentation needed to establish

that there would be a reasonable ratio between the number of net usable

acres to be acquired and documented housing needs. In addition, we have

identified a corollary consideration under this threshold: the need for

the applicant to make the most effective and economic use of the land

to be acquired.

7. New Housing Construction. We have modified the site

acceptability rating criterion to provide an option to the requirement

that the land upon which the houses would be built must be in trust (or

must be taken into trust).

8. Community Facilities Rating Factors. The rating factor ``A

viable plan for maintenance and operation'' which is similar for both

infrastructure and buildings has been revised. It is now stated that if

an entity other than the tribe commits for maintenance and operation of

the proposed facility and this entity is an established organization or

agency, its letter of commitment does not have to document its

financial ability to assume these responsibilities; the financial

ability of such entities to meet the commitments made will be assumed.

9. Documentation Requirements for Leveraged Resources. We have

clarified under paragraph (2)(b) of that section that the letter from

the contributing entity must identify the project and the amount of

funds requested from the entity by the applicant.

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

discussed above, we have made a number of non-substantive technical

changes to the FY 1998 NOFA. These editorial and formatting changes

should make the NOFA easier to understand.

Promoting Comprehensive Approaches to Housing and Community

Development

HUD is interested in promoting and supporting 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. Consistent with this effort, you must

demonstrate that housing category projects are consistent with, and

where possible, are identified in, the Indian Housing Plan (IHP)

submitted by, or on behalf of, you under the provisions of the Native

American Housing Assistance and Self-Determination Act of 1996 (25

U.S.C. 4101 et seq.). If you have not submitted the IHP for the Indian

Housing Block Grant (IHBG) program year that includes the

implementation period for the proposed ICDBG funded activity by the

ICDBG application due date, you must submit an assurance that if an IHP

is submitted, it will specifically reference the proposed housing

category project.

Table of Contents

I. Authority; Purpose; Amounts Allocated; and Eligibility.

(A) Authority.

(B) Purpose.

(D) Eligible Applicants.

(E) Eligible Activities.

II. Program Requirements.

(A) Statutory and Regulatory Requirements.

(B) Nondiscrimination and Compliance with Civil Rights Laws.

(D) Debarred and Suspended Contractors.

(E) Indian Preference.

(F) Conflict of Interest.

(G) Certifications and Assurances.

(H) Economic Opportunities for Low and Very Low Income Persons.

III. Application Selection Process.

(A) Rating and Ranking.

(B) Factors for Award Used to Evaluate and Rate Applications.

IV. Application Submission Requirements and Checklist.

(A) General.

(B) Demographic data.

(D) Application Submission.

(E) Documentation requirements for point award for leveraged

resources.

V. Clarifying Information.

VI. Correction of Technical Deficiencies.

VII. Errors and Appeals.

VIII. Findings and Certifications.

(A) Paperwork Reduction Act Statement.

(B) Environmental Impact.

(D) Federalism, Executive Order 12612.

(E) Prohibition Against Lobbying Activities.

(F) Section 102 of the HUD Reform Act--Documentation, Access and

Disclosure.

[[Page 8694]]

(G) Section 103 of the HUD Reform Act--Prohibition of Advance

Disclosure of Funding Decisions.

(H) Catalog of Federal Domestic Assistance Number.

Additional Information

I. Authority; Purpose; Amounts Allocated; and Eligibility

(A) Authority. Title I, Housing and Community Development Act of

1974, as amended (42 U.S.C. 5301, et seq.); 24 CFR part 1003;

Departments of Veterans Affairs and Housing and Urban Development, and

Independent Agencies Appropriations Act, 1999 (Pub. L. 105-276, 112

Stat. 2461, approved October 21, 1998) ($67,000,000 in fiscal year 1999

funds); and Departments of Veterans Affairs and Housing and Urban

Development, and Independent Agencies Appropriations Act, 1998 (Pub. L.

105-65, 111 Stat. 1344, approved October 27, 1997) ($1,305,105 in

fiscal year 1998 carryover funds).

(B) Purpose. This notice announces the availability of $68,305,105

for the ICDBG Program.

(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 1003.

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

1003.101. Following these requirements, the allocations for FY 1999 are

as follows:

Eastern/Woodland........................................ $5,246,027

Southern Plains......................................... 12,414,912

Northern Plains......................................... 10,471,405

Southwest............................................... 28,565,024

Northwest............................................... 4,000,851

Alaska.................................................. 5,606,886

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

Total............................................... 66,305,105

The total allocation includes $1,305,105 in unused funds from the

amount reserved by the Assistant Secretary in Fiscal Year 1998 for

imminent threat grants. As indicated in section I. (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 1003.100(b)(1). Grant ceilings are established for FY

1999 funding at the following levels:

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Area ONAP Population Ceiling

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

Eastern/Woodlands............................ All.............................................. $400,000

Southern Plains.............................. All.............................................. 750,000

Northern Plains.............................. All.............................................. 800,000

Southwest.................................... 50,001+.......................................... 5,000,000

10,501-50,000.................................... 2,500,000

7,501-10,500..................................... 2,000,000

6,001-7,500...................................... 1,000,000

1,501-6,000...................................... 750,000

0-1,500.......................................... 550,000

Northwest.................................... All.............................................. 335,000

Alaska....................................... [See (4) below]..................................

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For the Southwest Area ONAP jurisdiction, the population used to

determine ceiling amounts is the Native American population that

resides on a reservation or rancheria. Please contact that office

before submitting your application if you are unsure of the population

level to use to determine the ceiling amount for your tribe or if you

believe that the level used for previous years needs to be revised or

corrected. The Southwest ONAP must accept any corrections or revisions

before you submit your application.

(4) FY 1998 Funding process for the Alaska Area ONAP.

As stated in the August 5, 1998, amendment to the FY 1998 ICDBG

NOFA, the Alaska Area ONAP is using a biennial funding process for FY

1998 and FY 1999. Applicants prepared and submitted applications under

the provisions of the FY 1998 NOFA. We screened, reviewed, and rated

all applications under the provisions and requirements of that NOFA.

After we completed rating the applications and developed a ranked list

of projects, we made grant awards using FY 1998 allocated funds until

these funds were exhausted. Our Alaska Area ONAP retained applications

not funded.

We will use FY 1999 funds allocated to the Alaska Area ONAP for

grant offers to those applicants with the highest ranking retained

applications until these funds are exhausted. FY 1999 grant offers will

be contingent upon the successful applicant providing to the Alaska

Area ONAP within 30 days of the offer such supporting documentation as

is required and confirming, in writing, that:

(a) You continue to meet performance threshold requirements;

(b) The project still meets all community development

appropriateness and project specific threshold requirements; and

that would affect the rating or viability of the project.

(5) Imminent Threats. (a) 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 1003, subpart E. In order to

satisfy these criteria, the problem to be addressed must be such that

an emergency situation exists or would exist if the problem were not

addressed. In addition, you may use funds provided under that subpart

only to address imminent threats that are not of a recurring nature and

that represent a unique and unusual circumstance that impacts an entire

service area. In accordance with the provisions of 24 CFR part 1003,

subpart E, we will retain $2,000,000 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 1999 is $350,000.

We established this ceiling pursuant to the provisions of

Sec. 1003.400(c).

(b) You do not have to submit a request for assistance under the

imminent threat set-aside (24 CFR 1003, subpart E) by the deadline

established in this NOFA; the deadline applies only to applications

submitted for assistance under 24 CFR 1003, subpart D, Single purpose

grants.

issues you a letter to proceed under the authority of

[[Page 8695]]

Sec. 1003.401(a), then your 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:

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

(ii) Brief description of the proposed project;

(iii) Form HUD-4123, Cost Summary;

(iv) Form HUD-4125, Implementation Schedule;

(v) Form HUD-2880, Applicant/Recipient Disclosure/Update Report;

(vi) Form HUD-4126, Certifications;

(vii) Certification for a Drug-Free Workplace (form HUD 50070); and

(viii) Certification regarding lobbying activities (24 CFR part 87)

and SF-LLL (if applicable).

(D) Eligible Applicants. (1) General. To apply for funding you must

be eligible as an Indian Tribe (or as a tribal organization) by the

application submission date.

(2) Tribal Organizations. Tribal organizations are permitted to

submit applications under 24 CFR 1003.5(b) on behalf of eligible tribes

when one or more eligible tribe(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.

Please note: when used in this NOFA the word ``tribe'' means an

Indian tribe, band, group or nation, including Alaska Indians,

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

and Regional Corporations.

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

funds are identified at 24 CFR part 1003, subpart C.

II. Program Requirements

(A) Statutory and Regulatory Requirements. All applicants must meet

and comply with all statutory and regulatory requirements. Title I of

the Housing and Community Development Act of 1974, as amended (42

U.S.C. 5301 et seq.) contains the applicable program specific statutory

requirements for this program. The applicable program specific

regulatory requirements are in 24 CFR part 1003. Copies of these

regulations are available from HUD Community Connections Information

Clearinghouse.

(B) Nondiscrimination and Compliance with Civil Rights Laws. Under

the authority of section 107(e)(2) of the Housing and Community

Development Act of 1974, as amended, the Secretary has waived the

requirement that recipients comply with the anti-discrimination

provisions in section 109 of the Act with respect to race, color and,

national origin. As a recipient you must comply with the other

prohibitions against discrimination in Section 109; the Indian Civil

Rights Act (Title II of the Civil Rights Act of 1968, 24 U.S.C. 1001-

1303); the Age Discrimination Act of 1975 (42 U.S.C. 6101-6107); and,

Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794). You must

comply with the substantial rehabilitation and new construction

requirements, in addition to the other requirements of 24 CFR part 8.

or displacement of persons, the requirements of the Uniform Relocation

Assistance and Real Property Acquisition Policies Act of 1970 and the

government-wide implementing regulations at 49 CFR part 24 apply to

funding under this NOFA.

(D) Debarred or Suspended Contractors. The provisions of 24 CFR

part 24 apply to the employment, engagement of services, awarding of

contracts, subgrants, or funding of any recipients, contractors, or

subcontractors, during any period of debarment, suspension, or

placement in ineligibility status.

(E) Indian Preference. HUD has determined that programs funded

under this NOFA are subject to section 7(b) of the Indian Self-

Determination and Education Assistance Act (25 U.S.C. 450b). The

provisions and requirements for implementing this section are in 24 CFR

1003.510.

(F) Conflict of Interest. In addition to the conflict of interest

requirements with respect to procurement transactions found in 24 CFR

85.36 and 84.42, as applicable, the provisions of 24 CFR 1003.606 apply

to such activities as the provision of assistance by the recipient or

sub-recipients to businesses, individuals, and other private entities

under eligible activities that authorize such assistance.

(G) Certifications and Assurances. The specific certifications and

assurances that you must provide are included under section IV. of this

NOFA.

(H) Economic Opportunities for Low and Very Low Income Persons. You

must comply with section 3 of the Housing and Urban Development Act of

1968 (12 U.S.C. 1701u) (Employment Opportunities for Lower Income

Persons in Connection with Assisted Projects) and its implementing

regulations at 24 CFR part 135. You must ensure that training,

employment and other economic opportunities are directed, to the

greatest extent feasible, toward low and very low income persons,

particularly those persons who receive government assistance for

housing and to business concerns that provide economic opportunities to

low and very low income persons. You must comply with the reporting and

recordkeeping requirements found at 24 CFR part 135, subpart E. Tribes

that receive HUD assistance described in this part must comply with the

procedures and requirements of this part to the maximum extent

consistent with, but not in derogation of, compliance with section 7(b)

of the Indian Self-Determination and Education Assistance Act (25

U.S.C. 450e(b).

III. Application Selection Process

(A) Rating and Ranking.

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

applications for single purpose grants. The Area ONAP will reject an

application that fails this screening and will return the application

unrated. Area ONAPs will accept your application if it meets all the

criteria listed below as items (a) through (f):

(a) Your application is received or submitted in accordance with

the requirements set forth under APPLICATION DUE DATE in this NOFA;

(b) You are eligible;

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;

(d) Your application contains substantially all the components

specified in section IV.(D) of this notice;

(e) 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 1003.208; and

(f) Your application is for an amount that does not exceed the

grant ceilings that are established by the NOFA.

(2) Application Review Process.

(a) 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 1003.301(a) and 1003.302, as implemented by this NOFA.

The Area

[[Page 8696]]

ONAP will not accept your application for rating and ranking if you

fail to meet any of the applicant-specific thresholds. The Area ONAPs

will not rate and rank project(s) that do not meet the community

development appropriateness or applicable project-specific thresholds.

(b) Rating Team. An Area ONAP rating team of at least three voting

members will review and rate each project that meets the acceptance

criteria and threshold requirements. The Area ONAP rating team will

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

set forth in 24 CFR 1003.303(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.

percent cap on public services activities, you may not receive a single

purpose grant solely to fund public services activities. Your

application, however, 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 your application. If your application does

not receive full funding, we will reduce the public services allocation

proportionately so that it comprises no more than 15 percent of the

total grant award. In making such reductions, the feasibility of the

proposed project will be taken into consideration.

(d) Final ranking. (i) We will rank all projects against each other

according to the point totals they receive, regardless of the rating

category or component under which the points were awarded. We will

select projects for funding based on this final ranking, to the extent

that funds are available. We will determine individual grant amounts in

a manner consistent with the considerations set forth in 24 CFR

1003.100(b)(2). Specifically, an Area ONAP may approve a grant amount

less than the amount requested. In doing so, the Area ONAP may take

into account the size of the applicant, the level of demand, the scale

of the activity proposed relative to need and operational capacity, the

number of persons to be served, the amount of funds required to achieve

project objectives, and the administrative capacity of the applicant to

complete the activities in a timely manner.

(ii) If the Area ONAP determines that there are not enough funds

available to fund a project as proposed by the applicant, 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.

(e) Tiebreakers. When rating results in a tie among projects and

insufficient resources remain to fund all tied projects, Area ONAPs

will approve projects that can be fully funded over those that cannot

be fully funded. When that does not resolve the tie, the Area ONAP will

use the following factors in the order listed to resolve the tie:

(i) Eastern/Woodlands 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.

(ii) Southern Plains Office.

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

longest period of time over the last 8 years.

(2) The applicant with the fewest active grants.

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

and moderate income persons.

(iii) Northern Plains and Southwest Offices.

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

longest period of time.

(2) The applicant with the fewest active grants.

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

and moderate income persons.

(iv) 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) Pre-award requirements.

(i) Technical Deficiencies. If there are technical deficiencies in

successful applications, you must satisfactorily address these

deficiencies before we can make a grant award. Please see section VI.

of this NOFA for a definition of such a deficiency and a description of

the process to address and correct the deficiency. You must correct all

technical deficiencies within the timeframe established by HUD; if they

are not corrected, we will not make the grant award and will reject

your application.

(ii) We also may require a successful applicant to provide

supporting documentation concerning the management, maintenance,

operation, or financing of proposed projects before a grant agreement

can be executed. We will normally give you no less than thirty (30)

calendar days to respond to these requirements. If you do not respond

within the prescribed time period or you make an insufficient response,

the Area ONAP may determine that you have not met the requirements and

may withdraw the grant offer. The Area ONAP require you to submit

supporting documentation if:

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

timing, or method of implementing the project; or

(2) You have not provided information verifying the commitment of

other resources required to complete, operate, or maintain the proposed

project.

(iii) You may not substitute new projects for those originally

proposed in your application.

(iv) We will award, in accordance with the provisions of this NOFA,

grant amounts that had been allocated for applicants unable to meet

pre-award requirements.

(3) General threshold requirements.

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

CFR 1003.301(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 1003.302.

(b) Applicant Thresholds. (i) 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.

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

assume, absent evidence to the contrary, that you possess, or can

obtain the managerial, technical, or administrative capability

necessary to carry out the proposed project. Your application should

address who will administer the project and how you plan 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 you do not

[[Page 8697]]

have or cannot obtain the capacity to undertake the proposed project,

it will not consider your application any further.

(iii) Applicant-Specific Thresholds: Performance. (1) Community

Development. (a) If you have previously participated in the ICDBG

Program, the Area ONAP will determine whether you have performed

adequately in grant administration and management. This determination

will include an evaluation of the most recent risk analysis conducted

by the Area ONAP for you.

(b) To assess whether or not a recipient is making satisfactory

progress in completing previously approved programs, we will measure

actual progress against the most recent implementation schedule(s) for

the recipient's program(s). We will do this assessment with our

evaluation of the risk analysis and other relevant information, e.g.,

monitoring reports, which document or reflect a recipient's

performance. We will determine that a recipient which is more than

sixty days behind schedule is performing inadequately with respect to

this aspect of grant administration.

ONAP will determine whether you have corrected the deficiency or are

following a schedule to correct performance to which you and the Area

ONAP have agreed. In cases of previously documented deficient

performance, the Area ONAP must determine that you have taken

appropriate corrective action to improve your performance before the

application due date.

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

that has been determined not to meet this performance threshold no

later than 30 days prior to the application due date. In its letter,

the Area ONAP will specify what actions would have to be taken by the

potential applicant to address the identified performance deficiency.

If you have not met the performance threshold by the application

submission deadline, we will not accept your application for rating and

ranking.

(2) Housing assistance. (a) If you have taken any action to prevent

or obstruct the provision or operation of assisted housing for low and

moderate income persons we will evaluate that action to determine if it

constitutes inadequate performance by you. If you have established or

joined an Indian Housing Authority (IHA), and this IHA has obtained

housing assistance from HUD, we will take into consideration your

performance in meeting your obligations and responsibilities to the IHA

in the development and operation of housing units assisted under the

United States Housing Act of 1937 in evaluating your housing assistance

performance. This evaluation will include a review of your compliance

with the provisions of the documents that created your relationship

with the IHA and the requirements of the Native American Housing

Assistance and Self-Determination Act of 1996 (25 U.S.C. 4101 et seq.).

In addition, if you have designated another entity (a tribally

designated housing entity [TDHE]) to be the recipient of Indian Housing

Block Grant Assistance on your behalf, we will also consider in our

evaluation your compliance with your agreement with the TDHE.

(b) We will not hold you accountable for the poor performance of

your IHA (or TDHE) unless we find this inadequate performance to be a

direct result of your action or inaction. If you are a member of a

multi-tribal IHA or are associated with a multi-tribal TDHE, we will

judge you only on your individual performance and will not hold you

accountable for the poor performance of other tribes that are members

of the IHA or that are also associated with the TDHE.

a Community Based Development Organization (CBDO), the Area ONAP will

consider the following in making its determination regarding housing

assistance performance:

(i) Whether the proposed units were constructed;

(ii) Whether housing assistance was provided to the beneficiaries

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

(iii) Whether the provisions of your housing plan and procedures

have been followed; and

(iv) 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

that has been determined not to meet the housing assistance performance

threshold no later than 30 days before the application deadline.

(iv) Audits. The thresholds described in paragraphs (3)(b)(ii) and

(3)(b)(iii) of this section III.(A) require you to meet the following

performance criteria:

(1) You cannot have an outstanding ICDBG obligation to HUD or to an

ICDBG program that is in arrears, or you must have agreed to a

repayment schedule. If you have an outstanding ICDBG obligation that is

in arrears, or have not agreed to a repayment schedule, you will be

disqualified from the current competition and from subsequent

competitions until your obligations are current. If a recipient that

was current at the time of application submission becomes delinquent

during the review period, we may reject the application.

(2) You cannot have an overdue or unsatisfactory response to an

audit finding pertaining specifically to an ICDBG program. If you have

an overdue or unsatisfactory response to an audit finding, you will be

disqualified from the current and subsequent competitions until you

have taken final action necessary to close the audit finding. The Area

ONAP Administrator may provide exceptions to this disqualification if

you have made a good faith effort to clear the audit finding. When

funds are due HUD or an ICDBG program as a result of a finding, the

Area ONAP Administrator may grant an exception only if you have made a

satisfactory arrangement to repay the debt and payments are current.

rank a project contained in an application that has passed the

screening tests outlined in section III.(A) of this NOFA, Area ONAPs

must determine that the proposed project meets the community

development appropriateness thresholds set forth below:

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

sufficient detail so that the Area ONAP 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.

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

intended use.

(iii) 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

your control.

(B) Factors for Award Used To Evaluate and Rate Applications. The

factors for rating and ranking applications and the points for each

factor are provided below. The maximum number of points for a rating

component is 100, which is the maximum any project can receive.

[[Page 8698]]

(1) Summary of Rating Factors and Point Awards.

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

Maximum points

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

Housing

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

Sec. III.(B)(3):

(i) Project Need and Design

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

(2) Applicant's selection criteria.............. 5

(3) Housing survey.............................. 15

(ii) Planning and Implementation

(1) Rehabilitation policies

(a) Rehabilitation standards.................... 10

(b) Selection policies and procedures........... 10

procedures.....................................

(2) Post rehab maintenance...................... 5

(3) Cost estimates.............................. 15

(4) Cost effectiveness.......................... 5

(iii) Leveraging................................ 5

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

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

(e) Land to Support New Housing

(i) Project Need.................................... 40

(ii) Planning and Implementation

(1) Suitability of the land..................... 20

(2) Housing resources........................... 10

(3) Supportive services......................... 5

(4) Commitment of households.................... 5

(5) Land to trust status........................ 5

(6) Infrastructure commitment................... 10

(7) Land meets need and is reasonably priced.... 5

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

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

(g) New Housing Construction

(i) Project Need and Design

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

(2) Housing policies and plan................... 25

(3) Beneficiary identification.................. 5

(ii) Planning and Implementation

(1) Occupancy standards......................... 10

(2) Site acceptability.......................... 15

(3) Energy conservation design.................. 5

(4) Housing survey.............................. 10

(5) Cost effectiveness.......................... 5

(iii) Leveraging.................................... 10

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

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

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

Community Facilities

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

Sec. III.(B)(4):

(a) Infrastructure

(i) Project Need and Design

(1) Meets an essential need..................... 20

(2) Benefits the neediest....................... 15

(3) Provides infrastructure/health and safety... 25

(ii) Planning and Implementation

(1) Maintenance and operation plan.............. 15

(2) Appropriate and effective design scale and 15

cost...........................................

(iii) Leveraging.................................... 10

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

Total Points................................ 100

(i) Project Need and Design

(1) Meets an essential need..................... 20

(2) Benefits the neediest....................... 15

(3) Provides building/health and safety......... 25

(ii) Planning and Implementation

(1) Maintenance and operation plan.............. 15

(2) Appropriate and effective design scale and 15

cost...........................................

(iii) Leveraging.................................... 10

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

[[Page 8699]]

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

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

Economic Development

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

Sec. III.(B)(5):

(b) Economic Development

(i) Organization.................................... 8

(ii) Project Success

(1) Market analysis............................. 15

(2) Management capacity......................... 15

(3) Financial analysis.......................... 15

(iii) Leveraging.................................... 12

(iv) Jobs

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

(3) Quality of jobs/training.................... 5

(v) Additional considerations....................... 15

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

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

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

(2) Definitions.

Adopt means to approve by formal tribal resolution.

Assure means to comply with a specific NOFA requirement. As an

applicant, you should state your compliance or your intent to comply in

your application.

Document means to supply supporting written information and/or data

in the application which satisfies the NOFA requirement.

Leverage means resources that you 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.(E)

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 that 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) You may submit, before the application due date, a request for

the approval of standards less stringent than Section 8 standards. If

you submit the request with your application, you 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.

Housing

(3) Project Specific Thresholds and Rating Factors for Housing. (a)

Specific thresholds for housing category projects. (i) You must 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.

(ii) Consistency with Indian Housing Plan (IHP). You must provide

an assurance that the housing category project proposed is consistent

with, and to the extent possible, identified in, the Indian Housing

Plan (IHP) submitted by you or on your behalf under the provisions of

the Native American Housing Assistance and Self-Determination Act of

1996 (25 U.S.C. 4101 et seq.). (If the IHP for the IHBG program year

which coincides with the implementation of the ICDBG proposed project

has not been submitted, you must provide an assurance that when

submitted, the IHP will specifically reference the proposed housing

category project).

(b) Rehabilitation Thresholds and Grant Limits. (i) Thresholds. If

you are applying for a housing rehabilitation grant, you must adopt

rehabilitation standards and rehabilitation policies before you submit

an application. You must submit these standards and policies with the

application. You must provide an assurance that:

(1) 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.

(2) Houses designated for eventual replacement will only receive

repairs essential for the health and safety of the occupants.

(3) 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.

(4) 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.

(ii) Grant limits. Rehabilitation grant limits for each Area ONAP

jurisdiction are as follows:

(1) Eastern/Woodlands................................... $20,000

(2) Southern Plains..................................... 15,000

[[Page 8700]]

(3) Northern Plains..................................... 33,500

(4) Southwest........................................... 40,000

(5) Northwest........................................... 25,000

(i) Rating Factor 1: Project Need and Design. (40 points)

(1) 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.

(2) Your selection criteria which are included in your application

give first priority to the neediest households. ``Neediest households''

means households whose houses are in the greatest disrepair (but still

suitable for rehabilitation treatment) in the project area, or very

low-income households.

YES: 5 points

NO: 0 points

(3)(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. The survey must include a definition of

``suitable for rehabilitation.'' 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)

(ii) Rating Factor 2: Planning and Implementation. (55 points)

(1) Rehabilitation Policies and Procedures including:

(a) Adopted rehabilitation standards. The rehabilitation standards

adopted by you, the applicant, will assure that after rehabilitation

the houses assisted will be in a standard condition as defined in this

NOFA. In addition, these standards include specific requirements that

address child safety measures to be incorporated in all appropriate

rehabilitation work. Such measures may include, but are not limited to,

child safety latches on cabinets, hot water protection devices, and

window guards to prevent children from falling.

The standards you adopt will ensure that after rehabilitation the

houses assisted will be in a standard condition as defined in this NOFA

and that, where applicable, a safer living environment for children has

been created. (10 points)

The standards you adopt will ensure that after rehabilitation the

houses assisted will be in a standard condition as defined in this NOFA

but they do not address applicable specific child safety measures. (5

points)

The standards do not meet requirements for point award. (0 points)

(b) Rehabilitation selection policies and procedures. (i) The

rehabilitation selection policies and procedures contained in the

application include:

(A) Property selection standards;

(B) Cost limits;

(D) Homeowner costs and responsibilities;

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

(F) Income verification procedures.

(ii) The application contains all the rehabilitation selection

policies and procedures listed above. (10 points)

(iii) 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)

(iv) 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:

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

(B) The inspection procedures to be used;

contractors;

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

involved in the rehabilitation process;

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

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

(F) 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.

(ii) The application contains all the policies and procedures

listed above, and they will enable the project to be effectively

implemented. (10 points)

(iii) 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)

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

listed above. (0 points)

(2) 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) Your application does not contain a well-planned home

maintenance training and counseling program. (0 points)

(3) Quality of cost estimates. (a) Cost estimates have been

prepared by a qualified individual. (You must include qualifications of

the estimator in the application). You have documented costs of

rehabilitation 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. You must submit the write-ups with the application. If

national standards (e.g.,

[[Page 8701]]

the Uniform Building Code) have been locally adopted as the

construction codes and requirements, they must be referenced. If you

used locally developed and adopted codes and requirements, you must

submit them. (15 points)

(b) You have prepared cost estimates for each house to be

rehabilitated to determine the total rehabilitation cost and have

included the cost estimates in your 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) You have not included cost estimates in your application or the

basis for the cost estimates included is inappropriate or not provided.

(0 points)

(4) 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)

(iii) Rating Factor 3: Leveraging. (5 points)

We will award points under this component 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. (i) The application

contains information and documentation such as a preliminary plot plan

or its equivalent that 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. A

clear objective of the applicant must be to make the most effective and

economic use of the land proposed for acquisition.

(ii) 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, or if applicable, TDHE approved waiting list. The survey or

waiting list must be submitted with the application.

(e) Rating Factors for Land to Support New Housing.

(i) Rating Factor 1: Project Need and Design. (40 Points)

Information included in the application establishes that:

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

housing and the necessary infrastructure and amenities for this

housing. (40 points); or

(2) 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

(3) 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

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

amenities for existing housing. (15 points); or

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

criteria listed above. (0 points)

(ii) Planning and Implementation. (60 points)

(1) Suitability of land to be acquired. You had a preliminary

investigation conducted by a qualified independent entity. Based on

this investigation (which you must submit with your 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:

(i) Availability of drinking water;

(ii) Access to utilities;

(iii) Vehicular access;

(iv) Drainage.

(e) 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

(2) Commitment and availability of housing resources.

(a) The application includes evidence of a commitment and an

ability to construct at least 25 percent of the housing units to be

built on the land proposed for acquisition. This evidence consists of

one (or more) of the following.

(i) A firm or conditional commitment to construct (or to finance

the construction of) the units; or

(ii) Documentation that an approvable application for the

construction of these units has been submitted to a funding source or

entity; or

(iii) Documentation that these units are specifically identified in

the Indian Housing Plan submitted on or on behalf of the applicant as

an affordable housing resource with a commensurate commitment of Indian

Housing Block Grant (IHBG) resources. (10 points)

(b) Your application does not include evidence required for the

award of 10 points. (0 points)

(3) Availability/accessibility of supportive services and

employment opportunities. The application includes documentation

indicating 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

(4) Commitment that households will move into the new housing. The

application includes a documented commitment from households that they

will move into the new housing to be built on the land to be acquired.

YES: 5 points

NO: 0 points

(5) 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 that indicates that the applicant will pay or guarantee

that all taxes and fees on the land will be paid.

(b) Your application includes documentation from the BIA that land

can be taken into trust or the required governing body resolution. (5

points)

resolution or they are inadequate. (0 points)

(6) Infrastructure commitment. (a) Your application includes a plan

[[Page 8702]]

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.

(b) Your application includes financial commitments for all

necessary infrastructure or includes documentation demonstrating that

all necessary infrastructure is in place. (10 points)

infrastructure but you have not submitted all financial commitments

required to implement the plan. (5 points)

(d) The application does not include either a financial commitment

or plan. (0 points)

(7) The extent to which the site proposed for acquisition meets the

housing needs of the applicant and is reasonably priced. Your

application includes documentation indicating that you have examined

and assessed the appropriateness of alternative sites and demonstrating

that the site proposed for acquisition best meets the documented

housing needs of tribal households. Your application must include

comparable sales data that show 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 rating factors 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 1003.204. Please note that all households to be assisted under a

new housing construction project must be of low or moderate income

status.

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

CBDO. Eligible CBDOs are described in 24 CFR 1003.204(c). You must

provide an assurance that you understand this requirement.

(ii) You must include in the application, documentation supporting

the following determinations:

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

that is suitable for the households to be assisted.

(2) No other funding sources including an Indian Housing Block

Grant can meet the needs of the household(s) to be served.

(3) 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.

(iii) Before you submit an application for new housing construction

projects, you must adopt construction standards and construction

policies. You 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 sub-areas 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.

(iv) You 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) Rating Factors for New Housing Construction.

(i) Rating Factor 1: Project Need and Design. (45 points)

(1) IHA member/assistance. (a) Your application includes

documentation which establishes that you were not served by an Indian

Housing Authority (IHA), or if you were a member of an umbrella IHA,

this IHA had not provided assistance to you in a substantial period, or

the IHA that served the applicant had not received HUD Public and

Indian Housing new construction assistance in a substantial period due

to limited HUD appropriations. The period during which the IHA serving

you had not received funding for inadequate or poor performance by you

does not count towards the period 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)

(2) 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:

(i) A selection system that gives priority to the neediest

households. ``Neediest households'' means households whose current

residences are in the greatest disrepair, or very low-income

households, or households without permanent housing.

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

constructed houses.

(iii) Estimated costs and identification of the entity responsible

for paying utilities, fire hazard insurance and other normal

maintenance costs.

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

status of the land.

(v) Description of a comprehensive plan or approach being

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

(vi) 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 and, in addition, they specifically address the incorporation of

child safety measures in the housing to be constructed. These measures

may include, but are not limited to, child safety latches on cabinets,

hot water protection devices, and window guards to prevent children

from falling. (25 points)

above but do not specifically address the incorporation of child safety

measures. (20 points)

(d) The policies and plan do not include all of the information

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)

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

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

(3) Beneficiary identification. (a) Your application identifies

households to be assisted and documents their income eligibility and

household size. (5 points)

(b) Your application does not identify households to be assisted

or, if identified, does not document their income eligibility and

household size. (0 points)

(ii) Rating Factor 2: Planning and Implementation. (45 points)

(1) 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

[[Page 8703]]

dining room). You must submit the standards with your application.

(b) You have adopted reasonable occupancy standards and they are

included in your application. (10 points)

include the standards in your application. (0 points)

(2) Site Acceptability. (a) You (or the proposed beneficiary

household) have control of the land upon which the houses will be

built. Either: (i) 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, you must provide documentation that they

are in trust to the Area ONAP before ICDBG funds may be obligated for

construction; or

(ii) If you cannot provide documentation that the site(s) are in

trust or will be taken into trust in the timeframe established, you

have provided a formal tribal assurance. This assurance states that

deed restrictions (or legal equivalents) will be imposed so that the

owner of the site upon which the ICDBG assisted house will be built

cannot sell the house without your permission and that the owner must

reimburse you for the appraised value of the house at the time of sale

(or the value of the ICDBG assistance provided, whichever is less). You

must provide evidence that these restrictions have been recorded to the

Area ONAP before you may obligate ICDBG funds for construction. You

must treat any funds reimbursed to you as the result of future sales as

program income as defined and regulated in 24 CFR 1003.503.

(b) You had a preliminary investigation of the site(s) conducted by

a qualified independent entity. 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.

(i) Each site has adequate:

(ii) Availability of drinking water;

(iii) Access to utilities;

(iv) Vehicular access;

(v) Drainage;

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

YES: 15 points

NO: 0 points

(3) Energy Conservation Design. Your application includes

documentation demonstrating that the proposed houses have been designed

in a manner that 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. Your application

describes any special design features, materials, or construction

techniques which enhance energy conservation.

YES: 5 points

NO: 0 points

(4) Housing Survey. (a) You have completed a survey of housing

conditions and housing needs of your tribal members. You completed this

survey within the twelve months before the application submission

deadline (or if an earlier survey, you updated it during this period).

You must submit the survey with your application. You included the

following descriptive data for each household surveyed:

(i) Size of the household, including age and gender of any

children.

(ii) Is the household occupying permanent housing or is it

homeless?

(iii) Annual household income.

(iv) Owner or renter.

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

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

substandard, is it suitable for rehabilitation? The survey must include

a definition of ``suitable for rehabilitation.''

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

overcrowding.

(viii) 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) You submitted an acceptable survey. (10 points)

points)

(5) Cost effectiveness of new housing construction. (a) This is a

measure of how efficiently and effectively funds will be used under the

proposed program. You must demonstrate how the proposed housing

activities will be accomplished in an efficient and cost effective

manner.

(b) You have demonstrated that the proposed activities are cost

effective. (5 points)

effective. (0 points)

(iii) Rating Factor 3: Leveraging. (10 points)

We will award points under this component 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

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

Community Facilities

(4) Project Specific Thresholds and Rating Factors for Community

Facilities.

(a) Rating Factors for Infrastructure.

(i) Rating Factor 1: Project Need and Design. (60 points)

(1) Meets an essential need. (a) Your application includes

documentation demonstrating 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 that 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)

(2) Benefits the neediest. (a) The proposed project benefits the

neediest segment of the population, as identified below. You must

include information demonstrating that income data were 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)

(3) Provides infrastructure/health and safety.

(a) The application includes documentation demonstrating 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.

[[Page 8704]]

(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, you must provide documentation consisting of a signed study

or letter from a qualified independent authority which verifies that:

(i) A threat to health or safety (or a health or safety problem)

exists that has caused or has the potential to cause serious illness,

injury, disease, or death; and

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

eliminated if the proposed project is undertaken.

(ii) Rating Factor 2: Planning and Implementation. (30 points)

(1) A viable plan for maintenance and operation. (a) If you are to

assume responsibility for maintenance and operation of the proposed

facility, you must adopt a maintenance and operation plan which

addresses maintenance, repair and replacement of items not covered by

insurance, and which clearly identifies operating responsibilities and

resources. You must include this plan and the adopting resolution in

your 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 you will commit.

(b) If an entity other than you commits to pay for maintenance and

operation, you must include a letter of commitment that identifies the

responsibilities the entity will assume in your application. You are

not required to submit a maintenance and operations plan. If this

entity is not an established organization or agency, this letter must

also identify its financial ability to assume the indicated

responsibilities. The Area ONAP will award points only if it is able to

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

maintenance and operation.

operation plan and adopting resolution (or letter of commitment). (15

points)

(d) Your application does not include either the plan and

resolution or the commitment letter or if included, they are not

acceptable. (0 points)

(2) An appropriate and effective design, scale and cost. (a) Your

application includes information demonstrating that the proposed

project is the most appropriate and cost effective approach to address

the identified need. This information demonstrates that you have

considered the use of existing facilities and resources, and

alternatives, including method of implementation and cost. If only one

approach is feasible (there are no alternatives to the proposed

project), the application must include an explanation.

(b) Your application includes the required information. (15 points)

if included, it is unacceptable. (0 points)