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(5) Maintenance of central recordkeeping system;

(6) Community organization.

(b) Program experience. (1) If locality has had prior federally assisted Neighborhood Facilities Grant Program experience: The locality has expeditiously put in operation such facilities; where displacement was involved, effectively carried out relocation activities; and operated the completed facilities in accordance with contract conditions ...

5 or (2) If the locality is without federally assisted Neighborhood Facilities Grant Program experience: The applicant has adequately maintained public facilities on a neighborhood basis and operated them in a nondiscriminatory manner


8 551.12 Relevance of program objectives.

(The value of this category is the sum of paragraphs (a) to (c) in this section.)

(a) Accessibility to low- and moderate-income persons. The proposed f&cility will be made readily accessible to low- and moderate-income persons outside the immediate neighborhood

3 (b) Provision of community service. The proposed facility will provide a program of community services to meet identified needs of low- and moderate-income families and individuals where present service and facilities do not exist

(c) Coordination of existing services. The proposed Neighborhood Facility Program will coordinate and extend existing health, recreation, social or similar community services to meet the identified needs of the population of the area to be served................... 5 “Identified Needs” refer to those priority needs determined by the applicant with the participation of the community residents whose needs are to be served.

........ 8


8 551.16 Local equal employment and en

trepreneurial effort. (The value of this category is the sum of the values of paragraphs (a), (b), and (c) of this section.)

(a) Activities undertaken by the locality have provided relatively superior opportunities for training and/or employment of minority persons. 3

(b) Activities undertaken by the locality have provided relatively superior opportunities for business concerns owned, controlled or managed in substantial part by minority persons ...... 3

(c) The applicant has taken affirmative action in its own employment in the training and/or employment of minority persons with relatively superior results

4 In determining whether or not performance has been “relatively superior", the following items will be taken into consideration. Absolute numbers of persons actually trained or hired in relation to numbers of minority group persons in the labor market area; total dollar value of contracts let to mimority entrepreneurs in relation to total dollar amount of contracts let by locality; within the administering agency, racial composition at all levels of employment and absolute number of training opportunities made available to minority group persons.

8 551.14 Capacity to administer the Neigh

borhood Facility. (The value of this category is the sum of paragraphs (a) and (b) of this section.)

(a) Local commitment. The locality has committed staff and funds to provide core services for the proposed facility..

5 "Core Services" (central administrative services) cover such activities as:

(1) Coordination of services, including hiring of a center director;

(2) Outreach;

(3) Intake, referral, and follow through;

(4) Information development and dissemination;


sentatives in the areawide or metropolitan planning organization ..... 3

$ 551.18 Local need.

(The value of this category is the sum of the values of paragraphs (&) end (b) of this section.)

(a) Median income of jurisdiction. The median annual family of the geographic area of jurisdiction of the applicant compared to the State median annual family income is: (Select one, if appropriate):

(1) $1-$500 below State median. 3

(2) More than $500 below State median........

6 (b) Median income of service area. The median annual family of the service area compared to the State annual median family income is: (Select one if appropriate):

(1) $1-$500 below State median 4

(2) More than $500 below State median...............

8 Median family incomes for the service area and the State are to be obtained by utilizing the City County Data Book or other census data if possible. Or use best available data.

8551.22 Expansion of housing for low-and

moderate-income families. (The value of this category is the sum of the values of paragraphs (a), (b), and (c) of this section.)

(a) Expansion of low- and moderateincome housing (applicant). Within the applicant's geographic area of ju. risdiction, there has been significant expansion of the supply of standard housing for low- and moderate-income families in nondiscriminatory way 3

(b) Expansion of low- and moderateincome housing (iocality). Within the locality in which the project is located, there has been significant expansion of the supply of standard housing for low-and moderate-income families in a nondiscriminatory way

3 (c) Dispersion of low- and moderateincome housing. The locality has & realistic plan to expand the supply of standard low- and moderate-income housing in a nondiscriminatory way outside an area of concentration of economically disadvantaged or minority citizens


8 551.20 Commitment of local, county,

State, and Federal entities to project or

program. (The value of this category is the sum of paragraphs (a) to (d) of this section.)

(a) Local commitment. There was substantial participation by the chief executive and governing body of the locality during the planning of the project, and they are demonstrating current public commitment in support of the project

4 (b) Resident commitment. There was effective widespread participation of a representative spectrum of service area residents in the development of project objectives and there is evi. dence of current support for the execution of the project.... .................

4 (c) Coordination of resources. There was substantial participation of other local agencies during planning, and there is a current commitment including resources, from Federal, State, county, or local entities other than those necessary to satisfy the local share requirement.........

4 (d) Participation in areawide of metropolitan planning. There is active participation by the locality's repre

8 551.24 Community development.

The degree to which the project is necessary for undertaking other publicly supported community development activities

0 to 6 "Community development activities" refers to those publicly supported physical development activities and those related social or economic development activities being carried out or to be carried out within a reasonable period of time in accordance with a locally determined or areawide plan or strategy. Factors taken into consideration may include the project's responsiveness to local needs and objectives, the economics possible through coordi. nated or joint action, the degree of support by the appropriate unit(s) of local general-purpose government, and the management capacity and efforts to develop management capacity within local general-purpose government.

PART 555—GRANTS FOR BASIC (d) “Secretary" shall mean the Sec

PUBLIC WATER AND SEWER FA- retary of Housing and Urban DevelopCILITIES

ment, or an officer authorized to per

form the functions of the Secretary. Sec.

(e) “State" shall mean the several 550.1 Purpose.

States, the District of Columbia, the 555.2 Definitions.

Commonwealth of Puerto Rico, and 555.3 Grants for basic public water and territories and possessions of the sewer facilities.

United States. 555.4 Eligible projects. 555.5 Requirements for assistance.

8 555.3 Grants for basic public water and 555.6 Labor standards.

sewer facilities. 555.7 Certification of projects for sewer facilities.

(a) Grants of not more than 50 per555.8 Application of other Federal laws. cent of the development cost of eligi555.9 Information, application forms, and ble basic public water or sewer facility applications.

projects may be made to local public AUTHORITY: Secs. 702, 705, 79 Stat. 490,

bodies and agencies. 492; 42 U.S.C. 3102, 3105.

(b) Grants of not more than 90 perSOURCE: 36 FR 24730, Dec. 22, 1971, unless

cent of the development cost of an eliotherwise noted.

gible sewer facility project may be

made if the project is to serve a com8 555.1 Purpose.

munity having & population of less The purpose of section 702 of the

than 10,000, according to the most Housing and Urban Development Act

recent decennial census, which is situof 1965 (79 Stat. 490, 42 U.S.C. 3102) is

ated within a metropolitan area, and if to assist the large and small communi

such community is unable to finance ties throughout the Nation to serve

the construction of the sewer facility the needs of their citizens and to pro

without the increased grant, and if in mote efficient and orderly community

such community (1) there does not growth and development by making

exist a public or other adequate sewer available Federal grant assistance to

facility which serves a substantial porconstruct adequate basic public water

tion of the inhabitants of the commuand sewer facilities.

nity and (2) the rate of unemployment

is, and has been continuously for the $ 555.2 Definitions.

preceding calendar year, 100 percent

above the national average. (a) "Act” shall mean the Housing and Urban Development Act of 1965

8 555.4 Eligible projects. (Pub. L. 89-117, approved August 10, 1965).

(a) Grant assistance is available to (b) “Development cost" shall mean

construct new facilities and to enlarge the cost of constructing a basic public

or improve existing facilities of the water or sewer facility and the cost of following types: acquiring the land on which it is locat- (1) Basic public water facilities, in. ed, including site improvements neces

cluding facilities for the storage, sary to permit the use of the land as a supply, treatment, purification, or dissite for the facility.

tribution of water for domestic, com. (c) "Local public bodies and agen

mercial, or industrial use; and cies” shall mean any public corporate (2) Basic public sewer facilities, inbodies or political subdivisions; public cluding sanitary sewer systems for the agencies or instrumentalities of one or collection, transmission and discharge more States (including public agencies of liquid wastes; and storm sewer sysand instrumentalities of one or more tems for the collection, transmission, municipalities or other political subdi- and discharge of water caused by rainvisions of one or more States); Indian fall or ground water runoff. tribes; or boards or commissions estab- (b) The basic public water or sewer lished under the laws of any State to facility for which a grant may be made finance specific capital improvement may include all parts of the water or projects.

sewer facility except household connections and the local collection or dis- cordance with the Davis-Bacon Act, as tribution laterals.

amended (40 U.S.C. 276–276a-5), and (c) Grant assistance will not be prn- shall receive overtime compensation in vided to finance ordinary repairs or accordance with and subject to the maintenance of existing facilities. provisions of the Contract Work

(d) Grant assistance will not be pro- Hours Standards Act (40 U.S.C. 327vided for the construction of "treat- 332). The Secretary of Labor has, with ment works” as defined in the Federal respect to the labor standards speciWater Pollution Control Act (70 Stat. fied in this section, the authority and 506, 23 U.S.C. 1173).

functions set forth in Reorganization

Plan Number 14 of 1950 (15 FR 3176, 5 3 555.5 Requirements for assistance.

U.S.C. 1332-15) and section 2 of the (a) An eligible project must be neces- Act of June 13, 1934, as amended (40 sary to provide adequate water or U.S.C. 276c). No such project shall be sewer facilities for, and contribute to approved without first obtaining adethe improvement of the health or quate assurance that these labor living standards of, the people in the standards will be maintained upon the community to be served by the proj- construction work. ect. The project must be

(1) Designed so that an adequate ca- 8 555.7 Certification of projects for sewer pacity will be available to serve the facilities. reasonably foreseeable growth needs

Grant assistance may not be made of the area;

available for a project for a sewer fa(2) Consistent with a program for &

cility unless the Secretary of the Inteunified or officially coordinated

rior certifies to the Secretary that any areawide water or sewer facilities

waste material carried by the facility system as part of the comprehensively

will be adequately treated so as to planned development of the area; and

meet applicable Federal, State, inter(3) Necessary to orderly community

state, or local water quality standards development.

before such waste material is dis(b) Prior to July 1, 1968, the Secre

charged into any public waterway. tary may, in his discretion, make a grant with respect to an eligible proj.

8 555.8 Application of other Federal laws. ect if the program for an areawide water or sewer facilities system is

(a) Grants authorized by section 702 under active preparation but not yet

of the Act are subject to provisions of: completed, if the facility for which as

(1) Title VI of the Civil Rights Act sistance is sought can reasonably be

of 1964 (Pub. L. 88-352, 42 U.S.C. expected to be required as part of such

2000d), which provides that no person an areawide program, and there is an

in the United States shall, on the urgent need for the facility.

ground of race, color, or national (c) The Secretary is authorized to origin, be excluded from participation make a grant with respect to an eligi

in, or be denied the benefits of, or be ble project for a sewer facility without otherwise subjected to discrimination regard to the requirements contained under any program or activity receivin this section in the case of a commu- ing Federal financial assistance; and nity which is eligible for an increased (2) Title IV of the Housing and grant under $ 555.3(b).

Urban Development Act of 1965 (42

U.S.C. 3071-3074), which requires that, 8 555.6 Labor standards.

as a condition of eligibility for assistAll laborers and mechanics em

ance under section 702 of the Act, the ployed by contractors or subcontrac- applicant will follow certain prescribed tors on projects assisted by a grant policies in the acquisition of real propmade pursuant to section 702 of the erty by eminent domain. Act shall be paid wages at rates not (b) An applicant for grant assistance less than those prevailing on similar under section 702 of the Act will be reconstruction in the locality as deter- quired to furnish satisfactory assurmined by the Secretary of Labor in ac- ance that it will comply with the re

quirements and policies referred to in paragraph (a) of this section.

the amount of financial assistance requested. Further application procedures are described in g 556.18. (42 U.S.C. 3535(d)) [37 FR 26415, Dec. 12, 1972)

$ 555.9 Information, application forms,

and applications. Information and application forms may be obtained from, nd applications submitted to, the Regional or Area Office of the Department of Housing and Urban Development which serves the area in which the applicant is located.

8 556.2 Definitions.

The terms “Act", “development cost", "local public bodies and agencies", "Secretary”, and “State" shall have the meanings given in § 555.2 of this chapter.


Sec. 556.1 Scope. 556.2 Definitions. 556.3 Preliminary applications for assist

ance. 556.4 Criteria for evaluating preliminary

applications. 556.6 Orderly growth and development. 556.8 Financial need. 556.10 Housing. 556.12 Health. 556.14 Local job and business opportuni

ties. 556.16 Community development. 556.18 Further application procedures.

AUTHORITY: Secs. 702 and 705, 79 Stat. 490, 492; 42 U.S.C. 3102, 3105.

SOURCE: 36 FR 24731, Dec. 22, 1971, unless otherwise noted.

$ 556.3 Preliminary applications for assistance.

Preliminary applications for grants for water and sewer facilities shall be submitted on Standard Form 101, to the appropriate HUD regional or area office having jurisdiction over the geographic area involved in the application. Copies of this form may be obtained on request from the regional or area office.

(b) In general, Standard Form 101 requests the legal name and address of the applicant (an eligible local public body or agency); a brief description of the proposed project and its purpose; & list of the localities to be served; the public interest and necessity for the project; and the proposed method of financing including the total project cost and the grant amount requested.

§ 556.1 Scope.

This part sets forth the criteria and procedures used in evaluating prelimi. nary applications for Federal grant assistance to local public bodies and agencies for basic water and sewer facilities under the Act. The evaluation of preliminary applications described in this part does not result in a final decision by the Secretary to extend grant assistance to particular projects for the construction of such facilities. The provisions of this part of the regulations do not apply to projects involving New Communities, or such other critical or innovative projects as the Assistant Secretary for Commiunity Development may determine. The Department reserves the right to negotiate the modification of the scope of the proposed undertaking and/or

8 556.4 Criteria for evaluating preliminary

applications. Criteria for evaluating preliminary applications are divided into the following major categories:

(a) Orderly growth and development.

(b) Financial need.
(c) Housing.
(d) Health.

(e) Local job and business opportuni. ty.

(f) Community development. The elements considered in each category are described in the following sections, and the method of assigning rating points to each element or category is set forth. Points are awarded to each element or category in the following manner unless otherwise specifically indicated: If a statement under a particular element or category

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