19-498 C.M.R. ch. 8, § 2 - COMMUNITY DEVELOPMENT METHODS OF DISTRIBUTION

State Regulations
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A. HOUSING ASSISTANCE GRANTS

The purpose of a Housing Assistance (HA) Grant is to provide financing to address acute housing needs of low and moderate income persons residing in the State of Maine. These needs must be part of a community development strategy which will lead to future public and private investments.

1. Threshold Criteria: The State will distribute Housing Assistance funds to local governments through the annual Housing Assistance Selection Process. The threshold criteria for the process are listed below:

(a) Eligible Applicants: All units of general local government in Maine, including plantations, are eligible to apply for and receive Housing Assistance funds from the State. County governments may apply on behalf of unorganized territories. Groups of local governments may apply for regional or joint housing activities. Multi-jurisdictional applications require designation of one local government as the legal applicant and consent for that designation by each participating local government.

(b) Ineligible Applicants: Entitlement communities of Portland, Bangor, Lewiston and Auburn, are not eligible to receive HA funds from the State. Except as described in l(a) above, County governments are not eligible applicants.

(c) Eligible Activities: Eligible activities include Acquisition, Code Enforcement, Conversion of Non-Residential structures, Demolition, Historic Preservation, Housing Rehabilitation, New Housing Construction, Relocation Assistance, and Removal of Architectural Barriers.

(d) Project Eligibility: Upon receipt by DCD, applications will be reviewed to determine the eligibility of the activities that the applicant proposes to undertake with Housing Assistance funds. Those activities must be included in Section l(c) above and be eligible under 24 CFR, Part 570, Subpart I, .482. Applications will only be accepted for activities directly related to the assistance to, or the creation of residential housing units. In the event that an application contains any proposed activity unrelated to housing, or an activity not listed in Section 1(c) above, the entire application will be judged not to have not the project eligibility criteria. In all cases the applicant will be notified in writing of the e termination made by OCD.

(e) Federal and State Certifications for Local Governments: All communities applying for Housing Assistance funds must certify that they will:

(i) minimize displacement and adhere to a locally adopted displacement policy as set forth in Section 104(d) of the Housing and Community Development Act of 1974, as amended;

(ii) take action to affirmatively further fair housing and comply with the provisions of the Civil Rights Acts of 1964 and 1968;

(iii) adhere to MRSA Title 10, Chapter 214, Energy Efficiency Building Performance Standards Act, Section 1415-C(1) , (1A) and Section 1415-G in the construction of any new residential housing units;

(iv) not attempt to recover certain capital costs of public improvements funded in part with Housing Assistance monies;

(v) establish a community development plan;

(vi) meet all required State and Federal public participation

(vii) comply with the Federal requirements of Section 319 of Public law 101-122 regarding government-wide restriction on lobbying;

(viii) with the exception of administrative or personnel costs, verify that no person who is an employee, agent, consultant, officer, or elected official or appointed official of State or local government or of any designated public agencies, or subrecipients which are receiving CDBG funding may obtain a financial interest or benefit, have an interest in or benefit from the activity, or have an interest in any contract, subcontract or agreement with respect to CDBG activities; and

(ix) provide a local match equivalent to 10 percent of the total grant award.

(f) Prohibition on Multiple Grants: Units of local government and unorganized territories may not benefit from more than one Housing Assistance Grant per grant year.

2. Special Program Requirements: Housing Assistance applicants must also comply with the following special program requirements:

(a) Past Performance: In order to be eligible to apply for the 1993 Housing Assistance program, communities that received CR grants in 1988 must have conditionally, closed their grants by May 14, 1993. Communities that received CR grants in 1989 must have expended loot of their benefit activity funds by May 14, 1993. Communities that received CR grants in 1990 must have obligated 100% of their benefit activity funds by July 14, 1993. Communities that received CR grants in 1991 must have obligated at least 50% of their benefit activity funds by May 14, 1993. Communities that received (MR grants in 1992 must have obligated at least 25% of their benefit activity funds by May 14, 1993.

(b) Exceptions: Grant recipients may only submit a request to DECD for a waiver of this special requirement under the following extraordinary circumstances: 1) the recipient has received unanticipated program income and is unable to meet the above performance requirements or 2) program delays have occurred that are beyond the control of the grantee due to acts of nature or unforeseen changes in scheduled availability of essential leveraged funds.

(c) Maximum Housing Rehabilitation Costs: The amount of grants or loans available to participants in local housing rehabilitation programs will be no more than $15, 000 per unit rehabilitated. In cases where inadequate sewage disposal, lack of potable water, presence of asbestos, lead-based paint, radon, or other hazardous material, or the need for handicapped accessibility must be addressed, an additional $7, 000 per unit nay be made available.

3. Selection Process: The selection process will consist of two phases: an application phase (Phase I), and a project development phase (Phase II)

(a) Phase I Application: The maximum length of an application is ten pages. It is designed to be a description of a community's housing problems that it would like to address with Housing Assistance funds. The application deadline is May 14, 1993. These applications will be evaluated according to the following criteria. A. minimum score of 85 points out of a possible 100 will be required for an application to be further considered for funding.

(i) Problem Statement (20 points): The Problem Statement is a description of the problems or needs the applicant wishes to address with a Housing Assistance Grant. Points will be awarded in the following categories:

(aa) Scope of Problem (5 points) - Description of the magnitude and nature of the substandard housing in the applicant's area.

(bb) Identification of Problem (5 points) - Description of the process used in identifying the substandard housing problem.

(cc) Life Safety Considerations (5 points) - Description of the frequency, severity and nature of potential threats to health and safety contained in the housing units.

(dd) Energy Efficiency Considerations (5 points) Description of deficiencies that inhibit low and moderate income residents from being able to maintain reasonable energy efficiency standards in an affordable and comfortable manner.

(ii) Proposed Solution (30 points): The Proposed Solution is a description of how the applicant would like to use Housing Assistance funds to solve the problem(s) discussed in the Problem Statement. Points will be awarded in the following

(aa) Effectiveness (10 points) - How the proposed solution relates to problems identified in the Problem Statement and how Housing Assistance funds will be used in solving those problems in a cost effective manner.

(bb) Life Safety and Energy Efficiency (10 points) - How the proposed solution addresses serious threats to health and safety and improves energy efficiency of the units to be rehabilitated or created.

(cc) Project Feasibility (10 points) - How the proposed solution will impact the housing problems in a timely manner and the readiness of the applicant to implement the program.

(iii) Citizen Participation (20 points): Citizen Participation is a descriptive demonstration of how local citizens, community groups and others were involved in the identification of the problem(s) and solutions discussed in the application. Points will be awarded in the following categories:

(aa) Public Meetings and Hearings (10 points) - A description of the public meetings and. bearings that were bald specific to this application and their role in identifying problems, fostering public comments and proposed solutions.

(bb) Local Organizations, Residents and Public Officials: (10 points) - A description of the roles played by these groups and individuals in the process that led up to this application.

(iv) Commitment (20 points): Commitment is a description of the other resources that will be contributed to the project. These may include commitments obtained or sought to date. Commitments, along with an estimated timeframe regarding when various aspects of the program will be undertaken, may be reviewed. Points will be awarded in the following categories:

(aa) Partnerships: (10 points) A list of those groups that will work in close concert with the applicant on the housing project and a description of how each will provide financial resources or technical assistance.

(bb) Local Commitment:(10 points) A description of the technical and financial resources the applicant and private citizens will provide to the project.

(v) Distress (10 points): OCD will derive a community's distress scare from the following four areas:

(aa) Housing (2.5 points): a composite score consisting of two factors: the percent of substandard housing and the percent of households with income less than $15,000 per year and spending 25% of their income on housing costs. The percentages will be derived from the most recent data available.

(bb) Economic Conditions (2.5 points): a composite score derived from two factors: a ranking based on the unemployment rates of the applicant communities plus a quarter point for each percentage point the community's municipal unemployment rate is above the State's average unemployment rate.

(cc) Local Fiscal Capacity (2.5 points): a score determined by ranking the effective (State equalized) tax rates for each applicant within population categories (999 and less; 1,000 to 2499; 2,500 to 4,999; 5,000 and above).

(dd) Poverty Level (2.5 points): a score derived by using the percent of persons in a community below 150% of the poverty level as defined by the most recent data available. The poverty level percentages will be ranked within the four population categories discussed above.

(b) Phase II Project Development:

(i) Invitation to Proceed: Successful applicants will be invited to proceed to Phase II. An invitation into Phase II is not a guarantee of funding. These applicants continue the process by completing the following criteria:

(aa) Project Planning: Details of the project including cost estimates and structural analyses.

(bb) Project Eligibility: Proposed activities are verified for eligibility pursuant to 24 CFR, Part 570, Subpart I, .482 and are cleared through the environmental review process pursuant to 24 CFR, Part 58.

(cc) Project Benefit: The proposed activities are verified to meet one of the national objectives pursuant to 24 MR, TV& 570, Subpart I,.483 et. seq., of either providing direct benefit to low and moderate income persons or in emergency circumstances, removing slum and blighting influences within that community.

(dd) Management Plan: Details of the structure and methods established by the community for program management.

(ee) Regulations: Both State and Federal regulations will be reviewed for compliance.

(ii) Phase II Planning Grants: Pursuant to Section 4A. of this Proposed Statement, communities will receive financial assistance, on an as needed basis, in the form of Phase II Planning Grants to cover a portion of the costs associated with project development. The extent to which such assistance is needed shall be determined by OCD staff.

(iii) Two Year Grant Criteria: Housing rehabilitation activities will not be eligible for a two year grant award. Other eligible activities receiving Housing Assistance funds may be considered for a two year grant award if they meet all three of the following criteria:

(aa) The timeframe required to complete the proposed grant activities must exceed the maximum la month period allowed for a single year grant;

(bb) The total amount of requested funds mast exceed the maximum limit of $400,000 for a single community or $500,000 for a housing partnership for a single year grant; and

(cc) The activities proposed for the second year of the grant must be related to, and necessary to complete, activities proposed for the first year; OR, the proposed second year activities must be related to, and necessary to complete the overall project began in the first year.

4. Approval Process: The emphasis during the second phase will be to develop a partnership between the State, region and community to determine the best project that will meet the community's identified needs. The PDS assigned to the community will work closely with the community to identify eligible solutions. Through this process, the PDS will provide technical assistance to communities in verification of benefit, project cost justification and project budgets and schedules. Those communities successfully completing the Phase II criteria shall contract with DECD in order to receive Housing Assistance funds. Communities not having a signed contract with DECD within six months of receipt of a Phase II invitation will forfeit said invitation. The Director of the OCD reserves the right to waive this requirement in light of extenuating circumstances.

The maximum grant amount will be $400,000 for one year with an $800,000 maximum for two years. The maximum grant amount for Housing Partnerships formed by more than one applicant, will be $500,000 for one year with a $1,000,000 maximum for two years. Project implementation shall begin upon execution of a contract. OCD staff will remain involved with the community through the end of the project to provide technical assistance and to monitor compliance with federal and State regulations.

B. PUBLIC FACILITIES/INFRASTRUCTURE GRANTS

The purpose of a Public Facilities/Infrastructure Grant (PFIG) is to provide financing for local infrastructure and public facility activities which are part of a community development strategy which will lead to future public and private investments.

1. Threshold Criteria: The State will distribute PFIG funds to local through the annual Public Facilities/Infrastructure Grant Application Selection Process. The threshold criteria for the process axe listed below:

(a) Eligible Applicants: All units of general local government in Maine, including plantations, are eligible to apply for and receive PFIG funds from the State. county governments may apply on behalf of unorganized territories. Groups of local governments may apply for regional or joint public facility/infrastructure facilities. Multijurisdictional applications require designation of one local government as the lead applicant and consent for that designation by each participating local government.

(b) Ineligible Applicants: Entitlement communities of Portland, Bangor, Lewiston, and Auburn are not eligible to receive PFIG funds from the State. Except as designated in l(a) above, County governments are not eligible applicants.

(c) Eligible Activities: Eligible activities include construction, acquisition, reconstruction, installation, rehabilitation, site clearance, historic preservation, and relocation assistance associated with such projects as water and sewer facilities, non-housing rehabilitation hook-ups, wharfs, flood and drainage improvements, parking, streets, curbs, gutters, sidewalks, fire protection facilities, community, child, senior, and health centers, libraries, salt/sand storage sheds, shelters for the homeless, sheltered workshops, recreational facilities, parks, removal of architectural barricades, downtown revitalization, and new housing construction. An application may include more than one eligible PFIG activity.

(d) Project Eligibility: Upon receipt by the OCD, applications will be reviewed to determine the eligibility of the activities that the applicant proposes to undertake with PFIG funds. Those activities mist be included in 1(c) above and be eligible under 24 CFR, Part 570, Subpart I, .482. In the event that an application contains an activity not listed in l(c) above, the entire application will be judged not to have met the project eligibility criteria. In all cases, the applicant will be notified in writing of the determination made by OCD.

(e) Federal and State for Local Governments: All communities applying for PFIG funds must certify that they will:

(i) minimize displacement and adhere to a locally adopted displacement policy in compliance with Section 104(d) of the Housing and Community Development Act of 1974, as amended;

(ii) take action to affirmatively further fair housing and comply with the provisions of the Civil Rights Acts of 1964 and 1968;

(iii) not attempt to recover certain capital costs of public improvements, funded in part with CDBG monies;

(iv) establish a community development plan;

(v) meet all required State and Federal public participation

(vi) comply with the Federal requirements of Section 319 of Public Law 101-122 regarding government-wide restriction on lobbying;

(vii) with the exception of administrative or personnel costs, verify that no person who is an employee, agent, consultant, officer, or elected official or appointed official of State or local government or of any designated public agencies, or subrecipients which are receiving CDBG funding may obtain a financial interest or benefit, have an interest in or benefit from, the activity, or have an interest in any contract, subcontract or agreement with respect to CDBG activities;

(viii) adhere to ASHRAE/IES 90.1-1989 for energy efficient design and ASHRAE 62-1989 for ventilation requirements in the construction of all commercial and institutional buildings; and

(ix) provide a local match equivalent to 20 percent of the total grant award.

(f) Prohibition on Multiple Grants: Units of local government and unorganized territories may not benefit from more than one PFIG per grant year.

2. Special Program Requirements: PFIG, applicants must also comply with the following special program requirements:

(a) Past Performance: In order to be eligible to apply bar the 1993 program, communities that received CR grants in 1988 must have conditionally closed their grants by May 14, 1993. Communities that, received CR grants in 1989 must have expended 100% of their benefit activity funds by May 14, 1993. Communities that received CR grants in 1990 must have obligated 100% of their benefit activity funds by May 14, 1993. Communities that received CR grants irk 1991 mist have obligated at least 50% of their benefit activity funds by May 14, 1993. communities that received CR grants in 1992 must have obligated at least 25% of their benefit activity funds by May 14, 1993.

(b) Exceptions: Grant recipients nay submit a request to DECD for a waiver of this special requirement only under the following extraordinary circumstances: 1) the recipient has received unanticipated program income and is unable to meet the above performance requirements or 2) program delays have occurred that are beyond the control of the grantee due to acts of nature or unforeseen changes in scheduled availability of essential leveraged funds.

(c) Funding Restrictions PFIG funds may not be used to assist infrastructure for the purpose of job creation. Job creation infrastructure activities are eligible in the Economic Development Infrastructure Grant program. With the exception of proposals for infrastructure in support of new housing construction, no housing activities may be assisted with PFIG funds. All other housing activities are eligible in the Housing Assistance Grant program.

3. Selection Process: The selection process will consist of two phases: an application phase and a project development phase.

(a) Phase I Application: The maximum length of a Phase I application is ten pages. It is designed to be a description of a community's problem(s) relating directly to public facilities and infrastructure that it would like to address with CDBG assistance. The application deadline is May 3.4, 1993. Each application will be rated in relation to all other applications.

A minimum score of 85 out of 100 will be necessary for an application to be considered further for funding.

(i) Problem Statement (20 points): The Problem statement is a description of the infrastructure/public facility problems or needs the applicant wishes to address with CDBG assistance. Points will be awarded in the following

(aa) Identification (10 points) - Scope and magnitude of the problems or needs to be addressed with CDBG funds.

(bb) Priority (5 points) - Rank of problems or needs with other local, regional, and/or State problems or needs.

(cc) Health, Safety, Welfare (5 points) - Impact of problem on public health, safety, and welfare.

(ii) Proposed Solution (30 points): The Proposed Solution is a description of what the applicant will do to address problems discussed in the Problem Statement, when the applicant will take actions to solve these problems, and how this will provide a solution to the problems presented. Points will be awarded in the following categories:

(aa) Identification (10 points) - Description of what will be done to solve problems included in the Problem Statement.

(bb) Action Plan (15 points) - Timetable and responsible parties in implementing the solution and solving the problem.

(cc) Feasibility (5 points) - Potential for success and workability of the solution in solving the problem.

(iii) Citizen Participation (20 points): Citizen Participation is a descriptive demonstration of how local citizens, community groups and others were involved in the identification of the problems) and solutions) discussed in the application. Points will be awarded in the following categories:

(aa) Process (5 points) - Discussion of process followed at the local level, including descriptions of public meetings, hearings and other methods to used to solicit citizen involvement.

(bb) Content (10 points) - Extent and results of the participation of citizens in the local process.

(cc) Relevance (5 points) - Connection between citizen participation and Problem Statement and Proposed Solution.

(aa) Process (5 points) - Description of what has been done to obtain additional resource commitments.

(bb) Commitments (10 points) - List and description of the status of each resource committed to the solution.

(cc) Relevance (5 points) - Relationship between commitments and Proposed Solution.

(v) Distress (10 points): OCD will derive a community's distress score from the following four areas:

(aa) Housing (2.5 points): a composite score of two factors: the percent of substandard housing and the percent of households with income less than $15,000 per year and spending 25% of their income on housing costs. The percentages will be derived from the most recent data available.

(dd) Poverty Level (2.5 points): a score derived by using the percent of persons in a community below 150% of the poverty level as defined by the most recent data available. Poverty level percentages will be ranked within the four population categories discussed above.

(b) Phase II Project Development:

(i) Invitation to Proceed: Successful applicants will be invited to proceed to Phase II. An invitation into Phase II is not a guarantee of funding. The following must be completed by Phase II participants in order for proposals to be eligible for funding:

(aa) Project Planning: Details of the project including engineering, cost analysis, and market feasibility study.

(bb) Project Eligibility: Proposed activities are verified for eligibility pursuant to 24 CFR, Part 570, Subpart 1, .482 and are cleared through the environmental review process pursuant to 24 CFR Part 58.

(cc) Project Benefit: The proposed activities are verified to meet one of the national objectives pursuant to 24 CFR, Part 570, Subpart I., .483 et. seq., of either providing direct benefit to low and moderate income persons or removing slum and blighting influences within that community.

(dd) Management Plan: Details of the structure and methods established by the community for program management.

(ee) Regulations: Both State and Federal regulations will be reviewed for compliance.

(ii) Phase II Planning Grants: Pursuant to Section 4A of this Proposed Statement, Phase II participants will be eligible for planning grant funds on an as needed basis to assist payment of project development costs. Extent of assistance shall be determined by OCD staff.

(iii) Two Year Grant Criteria: Applicants may be awarded a two year grant if they meet all three of the following criteria:

(aa) The timeframe required to complete the proposed grant activities must exceed the maximum 18 month period allowed for a single year grant;

(bb) The total amount of requested funds must exceed the maximum $400,000 limit for a single year grant; and

(cc) The activities proposed for the second year of the grant must be related to, and necessary to complete, activities proposed for the first year; OR, the proposed second year activities mist be related to, and necessary to complete, the overall project begun in the first year.

4. Approval Process: The emphasis during Phase II will be to finalize project development. The goal is to develop a local-regional-state partnership that will facilitate project development that best meets the community's identified needs, supports regional development, and is in accordance with State goals. A PDS will be assigned to the Phase II participant and will work closely with the community in finalizing project design. Through this process, the community Will be provided technical assistance in verification of benefit, project cost justification, and project budgets and schedules. Successful completion of Phase II criteria will allow the applicant to contract with DECD and became eligible to receive CDBG funds. Communities not having a signed contract with DECD within six months of receipt of a Phase II invitation will forfeit said invitation. The Director of the OCD reserves the right to waive this requirement in light of extenuating circumstances.

The maximum grant amount will be $400,000 for one year with an $800,000 maximum for two years. Project implementation shall begin upon execution of a contract; all activities mist be cleared through an environmental review process prior to obligating funds. OCD staff will remain involved with the community through the end of the project to provide technical assistance and to monitor compliance with federal and State regulations.

C. PUBLIC SERVICES GRANTS

The purpose of a Public Service Grant (PSG) is to address human resource needs in a community by providing funding for operating expenses, equipment and programs materials for public service programs.

1. Threshold Criteria: The State will distribute PSG funds for public service activities to local governments through semi-annual Public Service Grant Selection Processes. The threshold criteria for the processes are listed below:

(a) Eligible Applicants: All units of general local government in Maine, including plantations, are eligible to apply for and receive CDBG funds from the State. County governments may apply on behalf of unorganized territories. Groups of local governments may apply for programs that serve regions, provided one local government is designated as applicant and participating, local governments consent to such designation. A local government may apply on behalf of a non-profit organization that provides public services in its community.

(b) Ineligible Applicants: Entitlement communities of Portland, Bangor, Lewiston and Auburn, and established counties and unorganized territories, except as described in (a), above. Non-profit organizations that provide public services are not eligible to apply directly to DECD for PSG funding.

(c) Eligible Activities: Eligible activities include operating and program material expenses for child care, health care, job trailing, recreation programs, education programs, public safety services, fair housing activities, senior citizen services, homeless services, drug abuse counseling and treatment, and energy conservation counseling and testing.

(d) Project Eligibility: Upon receipt by the OCD, applications will be reviewed to determine the eligibility of the activities that the applicant proposes to undertake with PSG funds. Those activities mist be included in 1(c) above and be eligible under 24 CFR, Part 570, Subpart I, .482. In the event that an application contains any activity that is ineligible, the entire application will be judged not to have met the project eligibility criteria. In all cases the applicant will be notified in writing of the determination made by OCD.

(e) Federal and State Certifications for Local Governments: All communities applying for PSG funds must certify that they will:

(i) minimize displacement and adhere to a locally adopted displacement policy in compliance with Section 104(d) of the Musing and Community Development Act of 1974, as amended;

(ii) take action to affirmatively further fair housing and comply with the provisions of the Civil Rights Acts of 1964 and 1968;

(iii) not attempt to recover certain capital costs of public improvements funded in part with CDBG monies;

(iv) establish a community development plan;

(v) meet all required State and Federal public participation

(vi) comply with the Federal requirements of Section 319 of Public law 101-122 regarding government-wide restriction on lobbying;

(vii) with the exception of administrative or personnel costs, verify that no person who is an employee, agent, consultant, officer, or elected official or appointed official of State or local government or of any designated public agencies, or subrecipients which are receiving CDBG funding may obtain a financial interest or benefit, have an interest in or benefit from the activity, or have an interest in any contract, subcontract or agreement with respect to CDBG activities;

(viii) provide a local match equivalent to 20 percent of the total grant award; and

(ix) certify that the public service to be provided represents: 1) a new service to the community or, 2) is a quantifiable increase in the level of an existing service above that which has been provided by or on behalf of the unit of general local government (through funds raised by such unit, or received by such unit from the State in which it is located) during the 12 months prior to submission of the application.

(f) Prohibition on Multiple Grants: Units of local government and unorganized territories may not benefit from more than one PSG per grant year.

2. Special Program Requirements: PSG applicants must also comply with the following special program requirements:

(a) Past Performance: In order to be eligible to apply for the 1993 PSG program, communities that received CR grants in 1988 must have conditionally closed their giants by May 14, 1993. Communities that received CR grants in 1989 must have expended 100% of their benefit activity funds by May 14, 1993. Communities that received CR grants in 1990 must have obligated 100% of their benefit activity funds by May 14, 1993. Communities that received CR grants in 1991 must have obligated at least 50% of their benefit activity funds by May 14, 1993. Communities that received CR grants in 1992 must have obligated at least 25% of their benefit activity funds by May 14, 1993, or November 14, 1993 depending on the cycle in which an application is submitted.

(b) Exceptions: PSG recipients may only submit a request to DECD for a waiver of this special requirement under the following extraordinary circumstances: 1) the recipient has received unanticipated program income and is unable to meet the above performance requirements 2) program delays have occurred that are beyond the control of the grantee due to acts of nature or unforeseen changes in scheduled availability of essential leveraged funds.

(c) Funding Restrictions: PSG funding is restricted to nonconstruction activities such as program operating, equipment and materials expenses. If applicable, funding for "bricks and mortar" development of public service facilities such as child care centers, homeless shelters and handicapped accessibility renovations must be in place prior to submitting a PSG application. Public service construction activities are considered public facilities and can be included in an application to the PSG program.

3. Selection Process: The selection process will consist of two phases: an application phase, and a project development phase.

(a) Phase I Application: The maximum length of an application is ten pages. It is designed to be a description of a community's human resource problems that it would like to address with PSG assistance. The application deadlines are May 14, 1993 and November 19, 1993. These applications will be evaluated according to the following criteria. A minimum score of 85 points out of a possible 100 will be required for an application to be further considered for funding.

(i) Problem Statement (20 points): The Problem Statement is a description of the problems or needs the applicant wishes to address with PSG assistance. Points will be awarded in the following categories:

(aa) Identification (10 points): Description/definition of the nature and magnitude of the public service need or problem confronting the applicant.

(bb) Health, Safety and Welfare (10 points): Description of the impact of the problem on individuals within the community and on the community as a whole.

(ii) Proposed Solution(30 points): The Proposed Solution is a description of how the applicant would like to use PSG assistance to solve the problem(s) discussed in the Problem Statement. Points will be awarded in the following categories:

(aa) Identification (10 points): Description of how PSG funds will be used to solve the problem described in the Problem Statement.

(bb) Action Plan (10 points): Description of the project timetable and parties responsible for implementing the solution.

(cc) Capacity (10 points): Description of the abilities of the implementing parties to conduct the project activities.

(aa) Process and Content (10 points): Description of the process used to involve citizens and a summary of time comments and issues raised.

(bb) Relevance (10 points): Discussion of the connection between the citizen participation and the problems and solutions discussed in the application.

(aa) Effort (5 points): Description of how the applicant sought other resources to assist the project.

(bb) Status (10 points): A list of commitments and their availability/readiness.

(cc) Relevance (5 points): Discussion of the connection of the other resources to the solution.

(v) Distress (10 points): OCD will derive a community's distress score tram the following two areas:

(aa) Economic Conditions (5 points): a composite score derived from two factors: a ranking based on the unemployment rates of the applicant communities plus a quarter point for each percentage point the community's municipal unemployment rate is above the State's average unemployment rate.

(bb) LMI Percentage (5 points): a score derived by dividing the community's most recent low and moderate income (LMI) percentage by 51 percent. This figure will be multiplied by 5 to determine final score for LME percentage. Communities with an LMI of 51 percent or more will receive the total points allowed.

(b) Phase II Project Development:

(i) Invitation to Proceed: Successful applicants will be invited to proceed to Phase II. An imitation into Phase II Is not a guarantee of funding. These applicants continue the process by completing the following criteria:

(aa) Project Planning: Details of the project including management plan, equipment costs, and program

(cc) Project Benefit: The proposed activities are verified to meet one of the national objectives pursuant to 24 CFR, Part 570, Subpart I, .483 et. seq., of either providing benefit to low and moderate income persons or removing slum and blighting influences within that community.

(dd) Management Plan: Details of the structure and methods established by the community for program management. In addition, the community must provide a plan for the continuation of the service after the conclusion of the PSG funding or must demonstrate that the need will be met during the course of the PSG.

(ee) Regulations: Both State and Federal regulations will be reviewed for compliance.

(ii) Two Year Grant Criteria: Public Service Grants are not eligible for two year grant award.

4. Approval Process: The emphasis during the second phase will be to develop a partnership between the State, region and community to determine the best project that will meet the community's identified needs. The PDS assigned to the community will work closely with the community to identify eligible solutions. Through this process, the PDS will provide technical assistance in verification of benefit, project cost justification and project budgets and schedules. Those communities successfully completing the Phase II criteria shall contract with DECD in order to receive PSG funds. Communities not having a signed contract with DECD within six months of receipt of a Phase II invitation will forfeit said invitation. The Director of the OCD reserves the right to waive this requirement in light of extenuating circumstances.

The maximum grant amount will be $50,000 for a single grant year. Project implementation shall begin upon execution of a contract. OCD staff will remain involved with the community through the end of the project to provide technical assistance and to monitor compliance with federal and State regulations.

D. EMERGENCY IMPLEMENTATION GRANTS

The purpose of the Emergency Implementation Grant (EIG) Program is to provide financing that enables a community to address emergency situations that pose immediate and urgent threats to health and safety. The Program is designed to address emergencies that occur due to natural or man-made disasters as well as emergencies that develop from natural or man-made causes over a short period of time into imminent threats of widespread or severe injury or loss of life.

1. Threshold Criteria: EIG Program applicants must meet the following threshold criteria:

(a) Eligible Applicants: All units of general local government in Maine, including plantations, are eligible to apply for and receive Emergency Implementation funds from the State. County governments may apply on behalf of unorganized territories. Groups of local governments nay apply for regional or joint emergency situations. Multijurisdictional applications require designation of one local government as the lead applicant and consent for the designation by each participating local government.

(b) Ineligible Applicants: Entitlement communities of Portland, Bangor, Lewiston and Auburn, are not eligible to receive EIG funds from the State. Except as described in l(a) above, County governments are not eligible applicants.

(c) Project Eligibility: Pursuant to 24 CFR Part 570 Subpart I, .483, the applicant must seek to address a community development need which:

(i) poses a serious and immediate threat to the health or welfare of the community;

(ii) originated or became a direct threat to public health and safety no more than 9 months prior to the submission of an application;

(iii) requires response within 60 days to halt the threat to health and safety;

(iv) the applicant is unable to finance implementation on its own; and.

(v) cannot be addressed with other sources of funding.

(d) Federal and State Certifications for Local Governments: All communities applying for EIG funds must certify that they will:

(i) minimize displacement and adhere to a locally adopted displacement policy in compliance with Section 104(d) of the Housing and Community Development Act of 1974, as amended;

(ii) take action to affirmatively further fair housing and comply with the provisions of the Civil Rights Acts of 1964 and 1968;

(iii) not attempt to recover certain capital costs of public improvements funded in part with CDBG monies;

(iv) establish a community development plan;

(v) meet all required State and Federal public: participation

(vi) comply with the Federal requirements of Section 319 of Public Law 101-122 regarding government-wide restriction an lobbying; and

(vii) with the exception of administrative or personnel costs, verify that no person who is an employee, agent, consultant, officer, or elected official or appointed official of State or local government or of any public agencies, or subrecipients which are receiving CDBG funding nay obtain a financial interest or benefit, have an interest in or benefit tram the activity, or have an interest in any contract, subcontract or agreement with respect to CDBG activities.

2. Special Program Requirements: EIG applicants must meet the following special program requirement:

(a) Necessary Documentation: The emergency situation to be addressed must be of such a nature that it requires immediate action to alleviate the occurrence of or the imminent threat, of widespread or severe injury or loss of life resulting from any natural or man-made cause. EIG applicants will be required to document that the emergency situation bad not developed at the time of the most recent and applicable CDBG assistance program application process and will need to be addressed prior to the next applicable CDBG assistance program application process.

(b) Application Submittal: Applicants must submit a complete EIG application that includes all required information and documentation.

3. Selection Process: Communities seeking to undertake a project on the basis of need for emerge implementation mist submit an EIG Program application which includes the following:

(a) documentation that the emergency situation was prompted by natural or man-made disasters or emerged over a short period of time from natural or man-made causes as an imminent threat of widespread or severe injury or loss of life;

(b) certification that the proposal is designed to address an emergency situation and a response is essential within 60 days to initiate action that will halt the threat of widespread or severe injury or loss of life;

(d) evidence confirming the Applicant is unable to finance implementation on its own and application for CDBG Community Development funding Is not a viable alternative; and

(e) documentation that other financial resources are not available to implement the proposal.

Emergency Implementation Grants will be made on a first come basis. Prior to consideration of a grant award, all EIG Program proposals must meet the five Threshold Criteria in 1(c) above plus the Special Program requirements in 2 above. Grant proposals that meet these requirements may be awarded grants from the EIG Program, until the amount of funds available in the program has been committed. Having committed all funds in the program, the State reserves the right not to accept any other applications.

4. Approval Process: The EIG funds will be available after May 14, 1993. Applications for other emergency proposals will be accepted on the first Thursday of each month. Following acceptance of a complete application, the CDBG Program Manager in OCD shall review the application and verify the information contained therein. If all requirements are verified and funds remain available in the program, staff of the OCD will evaluate each proposal and make recommendations to the Director of the OCD. Notification to the Applicant of the Director's decision will initiate completion of processes necessary for contract award.

The maximum grant amount for an EIG is $150,000.

E. RESERVED GRANTS

The purpose of a Reserved Grant is to provide funding for the second year of a CDBG project Grant initially determined in the previous grant year.

1. Threshold Criteria: reserved grantees meet the following threshold criteria;

(a) Eligible Applicants: All units of general local government in Maine, including plantations, are eligible to apply for and receive Reserved Grants from the State. County governments may apply on behalf of unorganized territories.

(b) Ineligible Applicants: Entitlement communities of Portland, Bangor, Lewiston and Auburn are not eligible to receive Reserved Grant funds from the State. Wept as described in l(a) above, county governments are not eligible applicants.

(d) undertake eligible activities, pursuant to 24 CFR, Part 570, Subpart I, .482, and approved during the 1993 Phase II process;

(e) Federal and State Certifications for Local Governments: All communities applying for CR Reserved Grants must certify that they will:

(i) minimize displacement and adhere to a locally adopted displacement policy in compliance with Section 104(d) of the Housing and Community Development Act of 1974, as amended;

(ii) take action to affirmatively further fair housing and comply with the provisions of the Civil Rights Acts of 1964 and 1968;

(iii) not attempt to recover certain capital costs of public improvements funded in part with CDBG monies;

(iv) establish a community development plan;

(v) meet all required State and Federal public participation

(vi) comply with the Federal requirements of Section 319 of Public law 101-122 regarding government-wide restriction on lobbying;

(vii) with the exception of administrative or personnel costs, verify that no person who is an employee, agent, consultant, officer, or elected official or appointed official of State or local government or of any designated public agencies, or subrecipients. which are receiving CDBG funding may obtain a financial interest or benefit, have an interest in or benefit from the activity, or have an interest in any contract, subcontract or agreement with respect to CDBG activities; and

(viii) provide a local match equivalent to 20-50 percent of the total grant award or total project cost.

(f) complete the required CR Reserved Grant application materials.

2. Special Program Requirements: reserved grantees must meet the following special program requirements:

(a) Restriction on Applicants: eligible applicants are restricted to the following communities:

Millinocket

Norridgewock

Orland

Patten

Washburn

(b) Reasonable Progress: evidence that applicants are on line with the 1992 expenditure schedule as submitted in their contract. Reserved Grant communities must have demonstrated reasonable progress in staffing, program design and contracting for their current program.

(c) LMI Expenditures: in the aggregate, 70% of the expenditures proposed by Reserved Grantees must result in benefit to low and moderate income persons.

3. Selection Process: Not applicable.

4. Approval Process: The following actions constitute the approval process for reserved grants:

(a) Applications from Reserved Grant communities will be invited during the 1993 Phase II Process.

(b) Each Reserved Grant application will be reviewed by the community's PDS. The PDS will:

(i) Review status reports of Reserved Grant communities;

(ii) Compare the reserved grant application to the second year of lime project as proposed in the previous year's Phase II process;

(iii) Review activity schedule and management plan for acceptability based on project design and budget; and

(iv) Develop recommendations for the CDBG Program Manager regarding the application's acceptability, grant conditions and funding level.

(c) Recommendations on Reserved Grant applications will be reviewed by the CDBG Program Manager. Based on the information presented, the Program Manager will recommend to the Director and the Commissioner of the DECD that the Reserved Grant community:

(i) Be funded at the requested level;

(ii) Not receive a reserved grant (if ineligible costs were incurred during the administration of the previous year or the project is no longer feasible); or

(iii) Be funded at a reduced level (the amount of reduction will be determined by the changes in the project's activities and schedules as originally proposed or by evidence that the project cannot accomplish its original goals).

(d) The Commissioner of the DECD will announce reserve grant awards during the 1993 Phase II process.

Notes

19-498 C.M.R. ch. 8, § 2

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