| Version Release Date: 02/11/2016 |
2 |
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| SECTION 1: COVER PAGE |
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Enter the number of the grant covered by the IHP and APR sections of the form. Under the 12-month program, the recipient will have only one IHBG number and all of the recipient’s future IHBG allocations will be assigned the same grant number. The grant number will be in a format of 55IT####### or 55IH#######.
(1) Grant Number: |
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Identify the recipient’s IHBG program year by showing the start and end dates that correspond with the IHP and APR. The program year should be the same as the recipient’s fiscal year. For example, a recipient’s program year could be from October 1, 2014 to September 30, 2015; January 1, 2015 to December 31, 2015; April 1, 2015 to March 31, 2016; or July 1, 2015 to June 30, 2016. The program year period should always be 12 months.
(2) Recipient Program Year: |
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Enter the Federal Fiscal Year (FFY) that corresponds with the IHP and APR. The FFY always begins on October 1; for example, FFY 2015 runs from October 1, 2014 to September 30, 2015; or FFY 2016 runs from October 1, 2015 to September 30, 2016.
(3) Federal Fiscal Year: |
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Check the box to indicate whether the submission is an Initial IHP, an Amended IHP, or an APR. Then check whether the recipient is a tribe or a TDHE.
(4) Initial Plan (Complete this Section then proceed to Section 2) |
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Check this box if the submission is an Amended IHP. Then check the appropriate box below to identify whether the IHP or APR portion of the amendment is to be completed.
Complete the yellow portions for the IHP amendments and the green portions for the APR.
(5) Amended Plan (Complete this Section, Section 8 if applicable, and Section 16) |
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Check this box if the submission is an APR.
Complete all portions of the form highlighted in green.
(6) Annual Performance Report (Complete items 27-30 and proceed to Section 3)
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Check this box if the recipient is a tribe.
(7) Tribe |
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Check this box if the recipient is a Tribally Designated Housing Entity (TDHE).
(8) TDHE |
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Enter the name of the tribe or TDHE.
(9) Name of Recipient: |
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Enter the contact person’s name.
(10) Contact Person: |
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Enter the contact person’s telephone number.
(11) Telephone Number with Area Code: |
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Enter the contact person’s mailing address.
(12) Mailing Address: |
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| (13) City: |
(14) State: |
(15) Zip Code: |
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Enter the contact person’s fax number.
(16) Fax Number with Area Code (if available): |
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Enter the contact person’s email address.
(17) Email Address (if available): |
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If the recipient is a TDHE working on behalf of one or more tribes, list the tribes covered by the IHP or APR. If the TDHE is an umbrella organization submitting one IHP or APR on behalf of multiple tribes, each of the tribes must be listed on Line 18. It is important that all tribes intended to be covered by the IHP be listed on Line 18 and that this tribal listing match with a tribal certification provided by each tribe authorizing IHP submission on its behalf. See Section 8 for the IHP Tribal Certification form that must be completed by each tribe and included in the IHP.
(18) If TDHE, List Tribes Below: |
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Enter the DUNS number for the recipient. All recipients of federal funds must have a DUNS number. If the recipient does not yet have a DUNS number, one can be obtained for free at: http://fedgov.dnb.com/webform/displayHomePage.do;jsessionid=52851D14B430CB42326E99FC379D6F33
(20) DUNS Number: |
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Enter the date that the recipient’s Central Contractor Registration (CCR)/System for Award Management (SAM) number expires. Recipients must have an active registration to receive funding from HUD and execute a grant agreement. Recipients are required to complete a one-time registration to provide basic information relevant to procurement and financial transactions. Registrations must updated or renewed at least once a year to maintain a valid status. To register or update a current registration visit https://www.sam.gov/portal/public/SAM/.
(21) CCR/SAM Expiration Date: |
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Fill in the recipient’s actual or estimated amount of IHBG formula funds. If the grant amount has not yet been finalized for the specific FFY, the recipient may either use the IHBG estimate provided by HUD on the Formula Response Form or the previous FFY IHBG amount. Once the final IHBG grant amount is known, the recipient should update the IHP in its files to reflect that actual grant amount. HUD will not conduct a second review of the IHP once the actual grant amount is known unless the recipient chooses to add additional activities not already described in the plan, or the recipient chooses to reduce funding to protect and maintain the viability of 1937 Act housing. In that case, the recipient will be required to amend the IHP and submit it to the Area ONAP for review. See Section 16 for more information on amending an IHP.
(22) IHBG Fiscal Year Formula Amount: |
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Enter the name of the person authorized to submit the IHP.
(23) Name of Authorized IHP Submitter: |
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Enter the title of the person authorized to submit the IHP.
(24) Title of Authorized IHP Submitter: |
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The person authorized to submit the IHP must sign and enter the date of the IHP submission. By signing the IHP, the authorized person is accepting and endorsing the certifications in Section 7 (Indian Housing Plan Certification of Compliance) and Section 9 (Tribal Wage Rate Certification).
(25) Signature of Authorized IHP Submitter: |
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Enter the date of the IHP submission.
(26) IHP Submission Date: |
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Enter the name of the person authorized to submit the APR.
(27) Name of Authorized APR Submitter: |
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Enter the title of the person authorized to submit the APR.
(28) Title of Authorized APR Submitter: |
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The person authorized to submit the APR must sign and enter the date of the APR submission. By signing the APR, the authorized person is certifying that the document is accurate and reflects the activities actually accomplished during the program year.
(29) Signature of Authorized APR Submitter: |
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Enter the date of the APR submission.
(30) APR Submission Date: |
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| Certification: The information contained in this document is accurate and reflects the activities actually planned or accomplished during the program year. Activities planned and accomplished are eligible under applicable statutes and regulations. |
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| Warning: If you knowingly make a false statement on this form, you may be subject to civil or criminal penalties under Section 1001 of Title 18 of the United States Code. In addition, any person who knowingly and materially violates any required disclosure of information, including intentional disclosure, is subject to a civil money penalty not to exceed $10,000 for each violation. |
| SECTION 3: PROGRAM DESCRIPTIONS |
In this section, the recipient must provide a description of its planned eligible activities, and intended outcomes and outputs for the One-Year IHP. The recipient can select any combination of activities eligible under NAHASDA and intended outcomes and outputs that are based on local needs and priorities. There is no maximum or minimum number of eligible activities or intended outcomes and outputs. Rather, the One-Year IHP should include a sufficient number of eligible activities and intended outcomes to fully describe any tasks that the recipient intends to fund in whole or in part with IHBG funds, IHBG program income, and Title VI funds during the coming program year.
Subtitle B of NAHASDA authorizes recipients to establish a program for self-determined housing activities involving construction, acquisition, rehabilitation, or infrastructure relating to housing activities or housing that will benefit the low-income households served by the Indian tribe. A recipient may use up to 20 percent of its annual allocation, but not more than $2 Million, for this program. Section 233(a) of NAHASDA requires a recipient to include its planned self-determination program activities in the IHP, and Section 235(c) requires the recipient to report the expenditures, outputs, and outcomes for its self-determination program in the APR. For more information, see PIH Notice 2010-35 (Demonstration Program - Self-Determined Housing Activities for Tribal Governments) at http://portal.hud.gov/hudportal/documents/huddoc?id=DOC_8814.pdf
The One-Year IHP is not required to include eligible activities or intended outcomes and outputs that will not receive IHBG funding or will not be funded by IHBG program income or with Title VI funds. For example, the recipient may be planning to apply for Low Income Housing Tax Credits (LIHTC) from its state. If those tax credit projects will not receive IHBG assistance (whether grant funds, program income, or Title VI), they are not required to be described in the IHP. However, the recipient may wish to include non-IHBG activities in the IHP to provide tribal members with a more complete picture of housing activities.
• If an activity will receive partial funding from IHBG, IHBG program income, or Title VI, it must be described in the IHP.
• For example, if the recipient uses IHBG-funded staff persons to manage, inspect, or maintain an LIHTC-funded rental project, that project would be considered an IHBG-assisted project and the related activities must be described in the IHP.
Planning and Administrative expenses and loan repayments should not be identified as programs in the IHP. That is why there are dedicated rows in the Uses of Funding budget for these expenses. Instead, describe anticipated planning and administrative expenses in Section 6, Line 4 of the IHP, and describe actual planning and administration expenses in Section 6, Line 5 of the APR. Report the planned and actual amount of planning and administrative expenses in the dedicated row of the Uses of Funding table (Section 5, Line 2). Please note that Reserve Accounts to support planning and administration is an eligible activity and should be identified as a program in the IHP, and any planned or actual expenditure from the Reserve Account would be reported by its program name in the Uses of Funding table. With regard to loan repayments made with IHBG funds, describe planned loan repayments in Section 5, Line 3 of the IHP, and describe actual loan repayments in Section 5, Line 4 of the APR. Report the planned and actual amount of loan repayments in the dedicated row of the Uses of Funding table (Section 5, Line 2).
For the IHP, complete the unshaded sections to describe the planned activities, outcomes and outputs in the coming 12-month program year. The recipient must complete Lines 1.1 through 1.10 for each eligible activity or program planned for the One-Year IHP. For the APR, complete the shaded sections to describe actual activities, outcomes, and outputs for the previous 12-month program year. In particular, complete Lines 1.5, 1.8 and 1.10 for each program included in the IHP.
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| [102(b)(2)(A)], [233(a)], [235(c)], [404(b)], 24 CFR §1000.512(b)(2) and (3) |
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| Planning and Reporting Program Year Activities |
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| Eligible Activity May Include (citations below all reference sections in NAHASDA): |
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| Eligible Activity |
Output Measure |
Output Completion |
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| (1) Modernization of 1937 Act Housing [202(1)] |
Units |
All work completed and unit passed final inspection |
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| (2) Operation of 1937 Act Housing [202(1)] |
Units |
Number of units in inventory at Program Year End (PYE) |
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| (3) Acquisition of Rental Housing [202(2)] |
Units |
When recipient takes title to the unit |
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| (4) Construction of Rental Housing [202(2)] |
Units |
All work completed and unit passed final inspection |
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| (5) Rehabilitation of Rental Housing [202(2)] |
Units |
All work completed and unit passed final inspection |
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| (6) Acquisition of Land for Rental Housing Development [202(2)] |
Acres |
When recipient takes title to the land |
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| (7) Development of Emergency Shelters [202(2)] |
Households |
Number of households served at any one time, based on capacity of the shelter |
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| (8) Conversion of Other Structures to Affordable Housing [202(2)] |
Units |
All work completed and unit passed final inspection |
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| (9) Other Rental Housing Development [202(2)] |
Units |
All work completed and unit passed final inspection |
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| (10) Acquisition of Land for Homebuyer Unit Development [202(2)] |
Acres |
When recipient takes title to the land |
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| (11) New Construction of Homebuyer Units [202(2)] |
Units |
All work completed and unit passed final inspection |
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| (12) Acquisition of Homebuyer Units [202(2)] |
Units |
When recipient takes title to the unit |
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| (13) Down Payment/Closing Cost Assistance [202(2)] |
Units |
When binding commitment signed |
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| (14) Lending Subsidies for Homebuyers (Loan) [202(2)] |
Units |
When binding commitment signed |
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| (15) Other Homebuyer Assistance Activities [202(2)] |
Units |
When binding commitment signed |
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| (16) Rehabilitation Assistance to Existing Homeowners [202(2)] |
Units |
All work completed and unit passed final inspection |
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| (17) Tenant Based Rental Assistance [202(3)] |
Households |
Count each household once per year |
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| (18) Other Housing Service [202(3)] |
Households |
Count each household once per year |
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| (19) Housing Management Services [202(4)] |
Households |
Count each household once per year |
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| (20) Operation and Maintenance of NAHASDA-Assisted Units [202(4)] |
Units |
Number of units in inventory at PYE |
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| (21) Crime Prevention and Safety [202(5)] |
Dollars |
Dollars spent (report in Uses of Funding table only) |
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| (22) Model Activities [202(6)] |
Dollars |
Dollars spent (report in Uses of Funding table only) |
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| (23) Self-Determination Program [231-235] |
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| Acquisition |
Units |
When recipient takes title to the unit |
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| Construction |
Units |
All work completed and unit passed final inspection |
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| Rehabilitation |
Units |
All work completed and unit passed final inspection |
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| Infrastructure |
Dollars |
Dollars spent (report in Uses of Funding table only) |
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| (24) Infrastructure to Support Housing [202(2)] |
Dollars |
Dollars spent (report in Uses of Funding table only) |
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| (25) Reserve Accounts [202(9)] |
N/A |
N/A |
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| Outcome May Include: |
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| (1) Reduce over-crowding |
(7) Create new affordable rental units |
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| (2) Assist renters to become homeowners |
(8) Assist affordable housing for college students |
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| (3) Improve quality of substandard units |
(9) Provide accessibility for disabled/elderly persons |
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| (4) Improve quality of existing infrastructure |
(10) Improve energy efficiency |
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| (5) Address homelessness |
(11) Reduction in crime reports |
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| (6) Assist affordable housing for low income households |
(12) Other – must provide description in boxes 1.4 (IHP) and 1.5 (APR) below |
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| IHP: PLANNED PROGRAM YEAR ACTIVITIES (NAHASDA § 102(b)(2)(A)) |
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| For each planned activity, complete all the non-shaded sections below. It is recommended that for each program name you assign a unique identifier to help distinguish individual programs. This unique number can be any number of your choosing, but it should be simple and clear so that you and HUD can track tasks and results under the program and collect appropriate file documentation tied to this program. |
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| § One way to number your programs is chronologically. For example, you could number your programs 2011-1, |
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| 2011-2, 2011-3 etc. |
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| § Or, you may wish to number the programs based on type. For example rental 1, rental 2, homebuyer1, |
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| homebuyer 2 etc. This type of numbering system might be appropriate if you have many programs |
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| that last over several years. |
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| § Finally, you may wish to use an outline style of numbering. For example, all programs under your first |
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| eligible activity would start with the number 1 and then be consecutively numbered as 1.1, 1.2, 1.3 etc. |
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| APR: REPORTING ON PROGRAM YEAR PROGRESS (NAHASDA § 404(b)) |
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| Complete the shaded section of text below to describe your completed program tasks and actual results. Only report on activities completed during the 12-month program year. Financial data should be presented using the same basis of accounting as the Schedule of Expenditures of Federal Awards (SEFA) in the annual audit. For unit accomplishments, only count units when the unit was completed and occupied during the year. For households, only count the household if it received the assistance during the previous 12-month program year. |
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The program name should easily identify the program and should be unique. It is recommended that a unique identification number be used in front of each One-Year Plan program. This might be especially helpful for tracking similar program types from year to year or within a single 12-month period. This unique number can be any number of the recipient’s choosing, but it should be simple and clear so that staff can track tasks and results under the program and maintain appropriate file documentation tied to this program.
• One way to number the programs is chronologically. For example, the recipient could number its programs 2014-1, 2014-2, 2014-3 etc.
• Or, the recipient may wish to number the programs based on type. For example rental 1, rental 2, homebuyer 1, homebuyer 2 etc. This numbering system might be appropriate for a recipient with many programs that last over several years.
• Finally, the recipient may wish to use an outline style of numbering. For example, all programs under the first eligible activity would start with the number 1 and then be consecutively numbered as 1.1, 1.2, 1.3 etc. The programs under the second eligible activity would be numbered as 2.1, 2.2., 2.3 etc.
1.1. Program Name and Unique Identifier: |
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The program description summarizes each program that will be funded with IHBG resources during the 12-month program year. At a minimum, the recipient must describe what specific type of projects will be developed under the planned program.
• In writing the program description, the recipient should determine how it wants to describe the planned activities that will benefit eligible families.
For example, assume that the recipient has chosen the eligible activity of “Tenant Based Rental Assistance” and an intended outcome that will “Assist Affordable Housing for College Students.” The program description might then highlight that the recipient’s program is designed to assist college-bound, eligible Native Americans to pay their rent while attending any university in the state. It might highlight that this program is designed to assist tribal members who wish to become certified teachers or medical professionals, because these professions are needed within the tribal community. The section might also state that the assistance is to be used to pay rent in private-market rental units in the areas surrounding the educational institution. The description might go on to say that the purpose of the program is to enable low-income tribal members to better afford higher education in professional fields that are important to the tribe’s continued well-being.
• If a recipient intends to provide housing assistance to families whose incomes fall within 80 to 100 percent of the median income, this planned activity should be included as a separate program.
• If a recipient wants to track two types of outcomes for a program it must identify each program separately. For example a recipient may have a program description of Tenant Based Rental Assistance for both College Housing Students and other Rental Assistance. If the recipient wants to track outcome (6) Assist affordable housing for low income households and outcome (8) Assist affordable housing for college students, it must have two programs for Tenant Based Rental Housing.
• If a recipient chooses to establish and maintain a Reserve Account for planning and administrative expenses, the recipient should include a program for this eligible activity in its annual IHP. The program description should identify the actual amount of funds set aside to establish or maintain the Reserve Account. The recipient must also ensure that the maximum amount of reserves, whether in one or more accounts, that a recipient may have available at any one time is calculated in accordance with 24 CFR § 1000.239 and Program Guidance 2014-XX (Reserve Accounts for Administration and Planning). In Line 1.2, the recipient must describe how it determined the allowable reserve amount. NOTE: Planned or actual expenditures from a Reserve Account should be included in the allowable spending cap for planning and administrative expenses.
The One-Year Plan program descriptions should include any program that will receive IHBG resources during the upcoming 12-month program year, even if some of the program tasks will take longer than 12 months to complete.
• For example, assume the recipient is going to run a program that will construct 20 new rental units. However, during the coming program year the recipient will only acquire the land and develop the plans and specifications.
• Even though the units will not be completed during the 12-month program year, the program must still be described in the IHP, and the IHP must still be determined to be compliant by HUD before the recipient can spend IHBG funds on these tasks.
In many cases, the recipient may be funding programs on an on-going basis year after year.
• For example, some recipients have an on-going program to modernize their 1937 Act rental units. In these instances, the activity should be listed in each One-Year Plan over the entire period of the program.
• In some cases, the program will stay the same year to year. The recipient can copy the program/activity description from one IHP to the next year’s IHP.
• However, the recipient should be careful to update the budget (Section 5) and planned outputs table (Line 1.9) to reflect the actual volume of work anticipated in the coming program year.
1.2. Program Description (This should be the description of the planned program.): |
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Select one activity from the Eligible Activities list for each identified program. Select the eligible activity that best fits the program. Otherwise, the recipient may wish to establish separate programs or change the eligible activity in a subsequent year. For example: a housing construction program could be done in a phased approach and each phase would be a separate program. Land acquisition and site preparation could a program and the project’s housing construction could be another program. This approach makes it easier to plan and track a complex, multi-year project such as housing construction. Write the eligible activity number in the space provided and then write the text of the eligible activity in the space next to the number.
Eligible Activity Number: (4) Construction of Rental Housing
Do not combine homeownership and rental housing in one activity, so that when housing units are reported in the APR the units are correctly identified as homeownership or rental. Combining homeownership and rental activities will cause the APR to be incorrect and the Area ONAP may reject the APR.
Each of the eligible activities has a specific, measurable output. These output measures include the number of housing units constructed, rehabilitated, or acquired; number of acres of land purchased for the development of rental or homeownership units; number of households served with various services and assistance; and the number of dollars spent on crime prevention and safety, Model Activities, and infrastructure (roads, water/sewer, and utilities) to support housing.
Eligible activities and associated output measures may include those listed below. (Citations reference sections in NAHASDA):
Eligible Activity Output Measure Eligible Activity Output Measure
(1) Modernization of 1937 Act Housing [202(1)] Units (13) Down Payment/Closing Cost Assistance [202(2)] Units
(2) Operation of 1937 Act Housing [202(1)] Units (14) Lending Subsidies for Homebuyers (Loan) [202(2)] Units
(3) Acquisition of Rental Housing [202(2)] Units (15) Other Homebuyer Assistance Activities [202(2)] Units
(4) Construction of Rental Housing [202(2)] Units (16) Rehabilitation Assistance to Existing Homeowners [202(2)] Units
(5) Rehabilitation of Rental Housing [202(2)] Units 17) Tenant Based Rental Assistance [202(3)] Households
(6) Acquisition of Land for Rental Housing Development [202(2)] Acres (18) Other Housing Services [202(3)] Households
(7) Development of Emergency Shelters [202(2)] Households (19) Housing Management Services [202(4)] Households
(8) Conversion of Other Structures to Affordable Housing [202(2)] Units (20) Operation and Maintenance of NAHASDA-Assisted Units [202(4)] Units
(9) Other Rental Housing Development [202(2)] Units (21) Crime Prevention and Safety [202(5)] Dollars
(10) Acquisition of Land for Homebuyer Unit Development [202(2)] Acres (22) Model Activities [202(6)] Dollars
(11) New Construction of Homebuyer Units [202(2)] Units (23) Expired, No longer available. N/A
(12) Acquisition of Homebuyer Units [202(2)] Units (24) Infrastructure to Support Housing [202(2)] Dollars
(25) Reserve Accounts [202(9)] N/A
1.3 Eligible Activity Number (Select one activity from the Eligible Activity list. For any activity involving housing units as the output measure (excluding operations and maintenance), do not combine homeownership and rental housing in one activity, so that when housing units are reported in the APR they are correctly identified as homeownership or rental.): |
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Intended Outcome Number. Intended outcomes are the impacts that the recipient hopes to achieve through the implementation of the activities described in the IHP. There are 11 common outcomes and one ‘other’ outcome listed in the IHP/APR form. Intended outcomes may include those listed below.
This line is not applicable to a Reserve Account.
(1) Reduce over-crowding (7) Create new affordable rental units
(2) Assist renters to become homeowners (8) Assist affordable housing for college students
(3) Improve quality of substandard units (9) Provide accessibility for disabled/elderly persons
(4) Improve quality of existing infrastructure (10) Improve energy efficiency
(5) Address homelessness (11) Reduction in crime reports
(6) Assist affordable housing for low income households (12) Other – must provide description in Line 1.4 (IHP) and Line 1.5 (APR)
Write the intended outcome number(s) in Line 1.4 and then write the text of the intended outcomes in the space next to the number. For example:
Intended Outcome Number: (2) Assist renters to become homeowners
Choose the intended outcome that most closely corresponds with the program description in Line 2. Another option for this line would be to choose one of the “other” activity categories listed in Line 1.3 (Activity Numbers 9, 15, or 18) and use it to describe an intended outcome as described below. If the recipient is still unsure about how to categorize/describe an outcome for a program the recipient wishes to fund, the recipient should contact the Area ONAP for guidance. If a program meets more than one intended outcome, select the outcome that best matches the program type. An example for describing an intended outcome for an “other” activity category is shown below.
Intended outcome(s)
Number: (18) Other Housing Services
The intended outcome of this program is to provide self-sufficiency classes for residents of affordable housing projects.
If the intended outcome is categorized as “(12) Other,” describe the nature of the outcome in ways that distinguish it from the intended outcomes in the list. In providing the explanation, it may become clear that the “Other” outcome actually fits one of the listed outcomes.
All activities that will use IHBG funds must be eligible under the statute and regulations. The recipient should ensure that any planned “other” intended outcomes are eligible under NAHASDA if it intends to fund them with IHBG resources. If the recipient is unsure about the eligibility of an activity, contact your Area ONAP. It may be necessary to propose a model activity for HUD review and approval.
1.4 Intended Outcome Number (Select one outcome from the Outcome list. Each program can have only one outcome. If more than one outcome applies, create a separate program for each outcome.): |
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| Describe Other Intended Outcome (Only if you selected "Other" above): |
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| Describe Other Actual Outcome (Only if you selected "Other" above.): |
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Types and Level of Assistance. Describe types and level of assistance to be provided to each household. The description should include any anticipated caps on the amount of assistance.
• Continuing with the college student example, the description should include the type of rental assistance that is planned, what type and size of rental units will be considered acceptable, whether utilities will be included in the assistance, and the like. The recipient might want to determine that the amount of the rental assistance for each household will be based upon the difference between 20 percent of the household’s adjusted monthly income and the private-market rent to be charged by the owner. In addition, the recipient might set an overall rent limit of $1,000 per month. These program restrictions about how the level of assistance is determined and calculated would be described at Line 1.7
• In some cases, the recipient may choose to establish limits on the level of assistance per household based on HUD’s Total Development Cost (TDC) limits. In these cases, the recipient should explain how it will determine the amount of assistance intended for each household or project. For example, the recipient might state that it will base assistance on the work write-up for a rehabilitation program, capped by the TDC.
• This line is not applicable to a Reserve Account.
1.7. Types and Level of Assistance (Describe the types and the level of assistance that will be provided to each household, as applicable.): |
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In completing this section of the IHP for activities related to unit construction, rehabilitation, or acquisition, the recipient should estimate the number IHBG-assisted units that will be completed during upcoming the 12-month program year. If the recipient estimates that the construction/rehab/acquisition will be started in the coming 12 months but will be completed in a future program year, that unit should not be listed on Line 1.9.
The recipient should enter the number of IHBG-assisted units ONLY. When estimating the number of IHBG-assisted units to be completed, identify whole units only. For example, if a project includes 5 units and half the project is IHBG-assisted, the number of IHBG-assisted units would be 3 rather than 2.5.
Planned Number of Units to be Completed in Year Under this Program |
For assistance to households, the recipient should estimate the total number of households that will be assisted by that particular activity during the upcoming 12-month program year. In some cases, these households may also be assisted by other programs offered by the recipient and listed in the IHP. Each program should be counted separately and the recipient is not required to deduct the number of households assisted under more than one program.
Planned Number of Households To Be Served in Year Under this Program |
Enter the number of acres the recipient intends to purchase under this program.
Planned Number of Acres To Be Purchased in Year Under this Program |
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On the APR side of Line 1.9, enter the actual number of IHBG-assisted units completed, households assisted, and/or acres purchased for IHBG-assisted housing development during the 12-month program year. Use the same guidelines described in the bulleted items above when defining the actual number of outputs. NOTE: If the actual output is dollars spent (i.e., Crime Prevention and Safety, Model Activities, Self-Determination Program, or Infrastructure to Support Housing), skip Line 1.9 and enter these actual expenditures in Column O of the Uses of Funding table in Section 5. NOTE: Do not include actual outputs associated with your Native American Housing Block Grant (as funded under the Recovery and Reinvestment Act); instead, those outputs should be included in a separate APR, using form HUD-52735AS.
APR: Actual Number of Units Completed in Program Year |
APR: Actual Number of Households Served in Program Year |
APR: Actual Number of Acres Purchased in Program Year |
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APR. If applicable, the recipient must explain why the IHBG-funded activity is behind schedule, or completed fewer units than anticipated. There may have been circumstances beyond the recipient’s control that affected the program. If this is so, the recipient should describe those issues and the actions taken to address the problem(s).
• For example, severe weather or natural disasters can cause significant delays in project schedules. Explain the situation and how it affected planned programs.
• Sometimes programs simply do not turn out as planned. Perhaps demand for the housing was not at the level the recipient expected, or perhaps it took more time to design the needed administrative procedures, and thus the project is behind schedule. Explain these delays and actions taken to address any issues.
• This line is not applicable to a Reserve Account.
If desired, use the "Add Bullet" button for explaining why the program is behind schedule.
1.10: APR: If the program is behind schedule, explain why. (24 CFR § 1000.512(b)(2)) |
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| SECTION 5: BUDGETS |
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The purpose of this section is to describe the sources and uses of the recipient’s funds for eligible housing activities. In the IHP portion of this section, the recipient identifies the anticipated or planned sources and uses of the funds, including available or planned program income. In the APR portion of this section, the recipient describes the actual sources and uses of the funds.
For the IHP, the tables at Line 1 (Sources of Funding) and Line 2 (Uses of Funding) show the estimated sources of funding and then the planned uses of funding. The recipient must fill out these two tables to show the amount of IHBG resources that are expected, and how these funds are planned to be spent. The recipient is also required to report on other sources of funds (leveraged funds such as Indian Community Development Block Grant, other federal funds, Low Income Housing Tax Credit, and non federal funds) if those funds will be used in combination with IHBG resources for a project or program. If other, leveraged, sources (Rows 7-10) of funds are not combined with IHBG resources, reporting on them is optional.
• For example, assume that a recipient has $300,000 of ICDBG assistance that it plans to use to build a community center. IHBG funds will not be used to construct this center. So, these ICDBG funds do not need to be listed in the IHP or APR. The recipient could describe the community center in its IHP but would need to clarify that IHBG funds are not planned for that activity.
• Conversely, if a recipient uses IHBG funds for the operation of the ICDBG-funded community center that provides IHBG-funded services, then that ICDBG expenditure is for an IHBG-assisted project and it must be described in both tables.
• Continuing with this example, whether or not the recipient intends to use IHBG program income for the operation of the community center, the estimated amount of program income on hand and estimated amount of program income to be received must be shown on Row 2 of the Sources of Funding table.
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| NAHASDA §§ 102(b)(2)(C), 404(b) |
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For the IHP, the tables at Line 1 (Sources of Funding) and Line 2 (Uses of Funding) show the estimated sources of funding and then the planned uses of funding. The recipient must fill out these two tables to show the amount of IHBG, IHBG program income, and Title VI funds that are expected, and how these funds are planned to be spent. The recipient is also required to report on other sources of funds if those funds will be used in combination with IHBG, IHBG program income, and Title VI for a project or program. If other sources of funds are not combined with IHBG, IHBG program income, and Title VI funds, reporting on them is optional.
(1) Sources of Funding (NAHASDA § 102(b)(2)(C)(i), (404(b)) (Complete the non-shaded portions of the chart below to describe your estimated or anticipated sources of funding for the 12-month program year. APR Actual Sources of Funding -- Please complete the shaded portions of the chart below to describe your actual funds received. Only report on funds actually received and under a grant agreement or other binding commitment during the 12-month program year.) |
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Sources of Funding. For the IHP, this table identifies the estimated or anticipated sources of funding for the upcoming 12-month program year. The table is intended to cover all of the funds to be expended on IHBG-assisted activities during the One-Year Plan period. As noted above, the recipient is not required to list other sources of leveraged funds (Rows 7-10) unless those funds will be combined with IHBG in a project.
The Sources of Funding table must include the amounts of private loans or tribal loans that will be used for NAHASDA-eligible activities, which will later be reimbursed with IHBG funds. For example, assume that a tribe lends $100,000 for the acquisition of land that will be used to develop affordable housing for low-income Native American families. At a later time, the recipient will use its IHBG grant to repay this loan. The $100,000 of assistance must be listed as a source of funds in the chart as “non-federal funds.” The recipient is cautioned that all such transactions must follow all applicable NAHASDA and other federal rules, such as environmental review, labor standards, relocation/acquisition, etc.
For the IHP, fill Columns A, B, C, D, and E, as described below.
Column A (Estimated Amount on Hand at Beginning of Program Year): This column should show the amount of funds already sitting in an account for the recipient (whether at U.S. Treasury, in a local investment account, or cash on hand). This includes all “carry over” IHBG funds from previous years. The recipient is required to include all sources that will be used to leverage projects or programs with IHBG resources. In addition, the recipient is required to include program income, 1937 Act program funds that remain with the TDHE or tribe and have not yet been spent, as well as remaining 1937 Act reserves, both of which must be used for eligible affordable housing activities. The types of leveraged non-IHBG funds include:
• “ICDBG,” the Indian Community Development Block Grant is a competitive grant program available to tribes and administered by HUD;
• “Other Federal Program Funds” might include funds from the U.S. Department of Agriculture, Indian Health Service, Bureau of Indian Affairs or any other federal agency;
• “LIHTC,” the Low Income Housing Tax Credit is an IRS program that works through state agencies and provides developers with tax credits in return for funding affordable housing; and
• “Non-Federal Funds” could be any other type of funds that will be used for projects or programs in combination with IHBG resources, including tribal contributions, tribal loans, private funds, non-program income,or assistance from nonprofits.
• Note: Estimated, expected leveraged funding must be described in Line 3.
Column B (Estimated Amount to be Received During 12-Month Program Year): This column should show the new funding to be received, including the total of the new IHBG grant for the FFY and any funds that are expected to be received at any point during the 12 months (including program income), if those funds are associated with a program or activity outlined in the plan.
Column C (Estimated Total Sources of Funds): This column should show the sum of the funds on hand from Column A and the new funds received from Column B.
Column D (Estimated Funds to be Expended During 12-Month Program Year): This column should show the amount of funds from Column C that the recipient anticipates expending during the upcoming 12-month program year. The amount in Column D must never exceed the amount in Column C. The amount in Column D should be directly related to the 12-month activities listed in the One-Year Plan. Note: The total for Column D should match the total of Column N in Line 2 (Uses of Funding table).
Column E (Estimated Unexpended Funds Remaining at the End of the Program Year): This column should show the amount of funds that the recipient anticipates will be left over at the end of the 12-month program year. The calculation is based on the amount of available funds and the amount budgeted to be spent, or the amount in Column C minus the amount in Column D.
With HUD approval, the recipient is permitted to draw down IHBG funds and invest those funds for a maximum five-year period in a secure, approved type of investment. (For additional information, see Notice PIH 2010-33, extended by Notice PIH 2011-43.) The Estimated Sources of Funding table does not have a separate row for IHBG investments as a source of funds. For the purposes of the IHP, invested IHBG funds are treated exactly the same as if the IHBG funds were in the recipient’s LOCCS account.
Hypothetical Example: Assume that a recipient has $200,000 of IHBG funds currently in an investment account, it has another $250,000 of existing IHBG assistance in its LOCCS account at HUD and it anticipates receiving another $800,000 in IHBG grant funds during the year. It intends to expend $100,000 of the existing investments in the next program year and it will invest another $300,000 during the program year. In total, the recipient plans to expend $700,000 on eligible affordable housing activities during its program year, of which $100,000 will come from the investment account and $600,000 will come from its LOCCS account.
• The decision to invest an additional $300,000 of IHBG funds would have no effect on Column A. The estimated amount of IHBG on hand at the beginning of the year would be $450,000 ($250,000 in LOCCS and $200,000 in investments), regardless of whether these funds are in LOCCS, or in an approved investment.
• The amount of funds expected to be received during the program year at Column B, Row 1 would be the $800,000 in new IHBG grants. Any interest anticipated or actually earned on the investments during the program year would be reported on the Row 2 for “IHBG Program Income.”
• Thus, the estimated total sources of IHBG funds at Column C would be $1,250,000 ($800,000 plus $450,000).
• In Column D the recipient would indicate the $700,000 IHBG funds it intends to expend on eligible activities during the program year, regardless of whether the funds are drawn from LOCCS or from an investment account.
• In this example, the IHBG carryover would be $550,000 ($1,250,000 - $700,000). Of this amount, the recipient would know that $400,000 is in an investment account ($200,000 originally invested, minus $100,000 of investments withdrawn, plus $300,000 of new investments) and $150,000 will remain in its LOCCS account ($1,250,000 total available, minus $700,000 expended, minus $400,000 in investments), but this would not be separately listed in the Sources of Funding table. In Column E, if the recipient plans to leave funds in an approved investment and plans that those funds will remain at the end of the program year, or if the recipient plans to add new investments during the year, then those would be indicated together with the other IHBG funds as a part of the estimated unexpended funds, in Column E.
• Regardless of the decisions regarding investments, the recipient’s IHP must clearly indicate how the $700,000 will be used during the upcoming 12-month program year.
IHP |
Sources of Funding. For the APR, the recipient reports on the actual sources of funding received and expended during the program year. Fill Columns F, G, H, I, J, and K.
NOTE: Funds used for Title VI loan repayments should not be included in the Sources of Funding table; rather, Title VI loan repayments should be shown on the Loan Repayment line in the Uses of Funding table.
Column F (Actual Amount on Hand at Beginning of Program Year): This column should show the amount of funds actually on-hand at the beginning of the program year covered by the APR. Examples of “funds on hand” would be funds undisbursed from the recipient’s LOCCS account, funds that are in the recipient’s bank account, or any funds that are available to the recipient that have not yet been expended. In addition, “funds on hand” includes any IHBG amounts invested pursuant to 24 CFR 1000.58.
Column G (Actual Amount Received During 12-Month Program Year): This column should show the funds that were actually received under a grant agreement or other firm commitment during the previous 12-month program year. The recipient must report on any funds received that were used in conjunction with IHBG resources. Describe actual leveraged funding received in Line 4.
Note that the IHBG program income was an estimate in the IHP; for the APR it should be an accurate accounting of the entire amount of program income received in the previous12-month program year. Thus, the recipient must track the receipt and expenditure of program income throughout the year so that it can provide an accurate accounting of the total amount received in Row 2. It is not sufficient to only report on the program income “on hand” at the end of the program year. Rather, the recipient must account for all program income earned throughout the year, including that program income that has already been disbursed for an activity.
Column H (Actual Total Sources of Funding): This column should show the total amount of actual funding available during the previous 12-month program year or the sum of Columns F and G.
Column I (Actual Funds Expended During 12-Month Program Year): This column should show the actual funds expended during the previous 12-month program year. The amount should include any funds actually drawn down from LOCCS or other accounts, but not commitments or obligations for which funds have not yet been spent. Do not include IHBG deposits to HUD-approved investment accounts. Note: The total of Column I should match the total of Column Q in Line 2 (Uses of Funding table)
Column J (Actual Unexpended Funds Remaining at the End of the Program Year): This column should show the amount of unspent funds based on the amount of funds actually available less the amount spent during the program year, or the amount in Column H minus the amount in Column I.
Column K (Actual Unexpended Funds Obligated but not Expended at End of 12-Month Program Year): This column should show the amount of funds that have been obligated by the recipient through a signed contract or other legally binding agreement but have not yet been expended in the previous 12-month program year. For a definition of fund obligation, see Notice PIH 2000-26 (TDHEs) at http://www.hud.gov/offices/pih/publications/notices/00/pih2000-26.pdf. This notice provides recipients with guidance regarding what constitutes an obligation of grant funds. NOTE: Effective January 2, 2013, the IHBG regulations no longer include the two-year, 90 percent fund obligation requirement. However, the recipient must continue to report in Column K the amount of funds that have been obligated but not expended.
NOTE: Funds used for Title VI loan repayments should not be included in the Sources of Funding table; rather, Title VI loan repayments should be shown on the Loan Repayment line in the Uses of Funding table.
APR |
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| SOURCE |
This column should show the amount of funds already sitting in an account for the recipient (whether at U.S. Treasury or in a local investment account). This includes all “carry over” IHBG funds from previous years. The recipient is required to include all sources that will be used to leverage IHBG, IHBG program income, or Title VI projects or programs. In addition, the recipient is required to include 1937 Act program funds that remain with the TDHE or tribe and have not yet been spent, as well as remaining 1937 Act reserves, both of which must be used for eligible affordable housing activities. The types of leveraged non-IHBG funds include:
• “ICDBG,” the Indian Community Development Block Grant is a competitive grant program available to tribes and administered by HUD;
• “Other Federal Program Funds” might include funds from the U.S. Department of Agriculture, Indian Health Service, Bureau of Indian Affairs or any other federal agency;
• “LIHTC,” the Low Income Housing Tax Credit is an IRS program that works through state agencies and provides developers with tax credits in return for funding affordable housing; and
• “Non-Federal Funds” could be any other type of funds that will be used for projects or programs in combination with funds from IHBG, IHBG program income, or Title VI, including tribal contributions, tribal loans, private funds, or assistance from nonprofits.
• Note: Estimated, expected leveraged funding must be described in Line 3.
(A) |
This column should show the new funding to be received, including the total of the new IHBG grant for the FFY and any funds that are expected to be received at any point during the 12 months, if those funds are associated with a program or activity outlined in the plan.
For IHBG program income, the recipient may estimate the amount to be received during the upcoming 12-month program year or may opt to wait until program income is actually realized and, at that time, the recipient should update this table, as needed.
(B) |
This column should show the sum of the funds on hand from Column A and the new funds received from Column B.
(C) |
This column should show the amount of funds from Column C that the recipient anticipates expending during the upcoming 12-month program year. The amount in Column D must never exceed the amount in Column C. The amount in Column D should be directly related to the 12-month activities listed in the One-Year Plan. Note: The total for Column D should match the total of Column N in Line 2 (Uses of Funding) table.
(D) |
This column should show the amount of funds that the recipient anticipates will be left over at the end of the 12-month program year. The calculation is based on the amount of available funds and the amount budgeted to be spent, or the amount in Column C minus the amount in Column D.
(E) |
This column should show the amount of funds actually on-hand at the beginning of the program year covered by the APR. Examples of “funds on hand” would be funds undisbursed from the recipient’s LOCCS account, funds that are in the recipient’s bank account, or any funds that are available to the recipient that have not yet been expended. In addition, “funds on hand” includes any IHBG amounts invested pursuant to 24 CFR 1000.58.
(F) |
This column should show the funds that were actually received under a grant agreement or other firm commitment during the previous 12-month program year. The recipient must report on any funds received that were used in conjunction with IHBG resources. Describe actual leveraged funding received in Line 4.
Note that the IHBG program income was an estimate in the IHP; for the APR it should be an accurate accounting of the entire amount of program income received in the previous 12-month program year. Thus, the recipient must track the receipt and expenditure of program income throughout the year so that it can provide an accurate accounting of the total amount received in Row 2. It is not sufficient to only report on the program income “on hand” at the end of the program year. Rather, the recipient must account for all program income earned throughout the year, including that program income that has already been disbursed for an activity.
(G) |
This column should show the total amount of actual funding available during the previous 12-month program year or the sum of Columns F and G.
(H) |
This column should show the actual funds expended during the previous 12-month program year. The amount should include any funds actually drawn down from LOCCS or other accounts, but not commitments or obligations for which funds have not yet been spent. Do not include IHBG deposits to HUD-approved investment accounts. Note: The total of Column I should match the total of Column Q in Line 2 (Uses of Funding) table.
(I) |
This column should show the amount of unspent funds based on the amount of funds actually available less the amount spent during the program year, or the amount in Column H minus the amount in Column I.
(J) |
This column should show the amount of funds that have been obligated through a signed contract or other legally binding agreement but have not yet been expended in the previous 12-month program year. For a definition of fund obligation, see Notice PIH 2000-26 (TDHEs) at http://www.hud.gov/offices/pih/publications/notices/00/pih2000-26.pdf. This notice provides recipients with guidance regarding what constitutes an obligation of grant funds.
NOTE: Effective January 2, 2013, the IHBG regulations no longer include the two-year, 90 percent fund obligation requirement. However, the recipient must continue to report in Column K the amount of funds that have been obligated but not expended.
(K) |
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| Estimated amount on hand at beginning of program year |
Estimated amount to be received during 12-month program year |
Estimated total sources of funds (A+B) |
Estimated funds to be expended during 12-month program year |
Estimated unexpended funds remaining at end of program year (C-D) |
Actual amount on hand at beginning of program year |
Actual amount received during 12-month program year |
Actual total sources of funding (F+G) |
Actual funds expended during 12-month program year |
Actual unexpended funds remaining at end of 12-month program year (H - I) |
Actual unexpended funds obligated but not expended at end of 12-month program year |
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With HUD approval, the recipient is permitted to draw down IHBG funds and invest those funds for a maximum 5-year period in a secure, approved type of investment. (For additional information, see Notice PIH 2010-33.) The Estimated Sources of Funding table does not have a separate row for IHBG investments as a source of funds. For the purposes of the IHP, invested IHBG funds are treated exactly the same as if the IHBG funds were in the recipient’s LOCCS account.
1. IHBG Funds |
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$0 |
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$0 |
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$0 |
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$0 |
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| 2. IHBG Program Income |
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$0 |
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$0 |
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$0 |
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$0 |
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| 3. Title VI |
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$0 |
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$0 |
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$0 |
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$0 |
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| 4. Title VI Program Income |
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$0 |
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$0 |
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$0 |
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$0 |
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| 5. 1937 Act Operating Reserves |
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$0 |
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$0 |
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$0 |
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$0 |
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| 6. Carry Over 1937 Act Funds |
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$0 |
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$0 |
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$0 |
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$0 |
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For the IHP, describe any estimated leverage in Line 3 below (Estimated Sources or Uses of Funding). For the APR, describe actual leverage in Line 4 below.
LEVERAGED FUNDS |
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| 7. ICDBG Funds |
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$0 |
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$0 |
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$0 |
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$0 |
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| 8. Other Federal Funds |
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$0 |
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$0 |
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$0 |
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$0 |
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| 9. LIHTC |
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$0 |
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$0 |
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$0 |
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$0 |
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| 10. Non-Federal Funds |
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$0 |
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$0 |
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$0 |
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$0 |
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| TOTAL |
$0 |
$0 |
$0 |
$0 |
$0 |
$0 |
$0 |
$0 |
$0 |
$0 |
$0 |
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| TOTAL Columns C & H, 2 through 10 |
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$0 |
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$0 |
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| Notes: |
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| a. For the IHP, fill in columns A, B, C, D, and E (non-shaded columns). For the APR, fill in columns F, G, H, I, J, and K (shaded columns). |
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| b. Total of Column D should match the total of Column N from the Uses of Funding table below. |
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| c. Total of Column I should match the Total of Column Q from the Uses of Funding table below. |
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| d. For the IHP, describe any estimated leverage in Line 3 below (Estimated Sources or Uses of Funding). For the APR, describe actual leverage in Line 4 below. |
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NOTE: For the purposes of the Uses of Funding table, IHBG (only) refers to the grant amount. Any IHBG program income or Title VI funds should be included with ‘All Other Funds’ in Column M.
(2) Uses of Funding (NAHASDA § 102(b)(2)(C)(ii)) (Note that the budget should not exceed the total funds on hand (Column C) and insert as many rows as needed to include all the programs identified in Section 3. Actual expenditures in the APR section are for the 12-month program year.) |
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Uses of Funding. For the IHP, this table shows how the anticipated funds are planned to be used during the upcoming 12-month program year. The table is organized by the programs identified by the recipient in Section 3. Each intended program name and unique identifier from Section 3, Line 1.1 should appear as a row on this table. For the IHP, enter each program name and associated unique identifier (Line 1.1.) from Section 3 (Program Descriptions) and fill Columns L, M, and N, as described below.
• It is not acceptable to show a use of funds that does not correspond to a planned one-year program.
• If the Area ONAP cannot readily tie a planned use of funds to a stated one-year program, HUD will notify the recipient that the IHP must be revised prior to a determination that the IHP is in compliance with NAHASDA.
• For the purposes of the Uses of Funding table, IHBG (only) refers to the grant amount. Any IHBG program income, Title VI funds, or Title VI program income should be included with “All Other Funds” in Column M.
• See Section 6, Line 4 for information on calculating planning and administrative expenses.
If the recipient plans to use some of its IHBG funds during the upcoming 12-month program year to repay an existing Title VI loan or a private loan, then that planned repayment must be listed on the Loan Repayment row at the bottom of the Uses of Funding table. If the recipient lists a loan repayment, it must describe at Line 3 the associated loan and the eligible activity the loan repayment supports. The recipient must ensure that all IHBG and other federal requirements were followed at the time that the project was initially funded. The recipient should not repay any loan with IHBG resources if the program was not previously listed in an IHP that HUD determined to be in compliance with NAHASDA.
Column L (Prior and Current Year IHBG (Only) Funds to be Expended in 12-Month Program Year): This column should show the cumulative, previous FFY allocations of IHBG funds plus the current year IHBG funds that are dedicated to the planned activities. The total in Column L must not exceed the IHBG funds from Columns A and B, Row 1 in Line 2 (Estimated Sources of Funding table). The recipient’s planning and administrative expenses cannot exceed the planning and administrative spending cap without HUD approval.
Column M (Total All Other Funds to be Expended in the 12-Month Program Year): This column should show the planned expenditure of other, non-IHBG funds during the upcoming 12-month period. The total of Column M must not exceed the total from Column C, Rows 2-10 in Line 1 (Sources of Funding table).
Column N (Total Funds to be Expended in 12-Month Program Year): This column should show the sum of the IHBG-budgeted expenditures and the non-IHBG budgeted expenditures over the upcoming 12-month program year, or Column L plus Column M. The total of Column N should equal the total of Column D in Line 1 (Sources of Funding table).
IHP |
Uses of Funding. For the APR, the recipient reports on the actual expenditures during the program year by program. This section should only include actual funds expended, not commitments or planned draws. It would not include amounts drawn down and placed in investments.
If the recipient is showing actual expenditures for a program or eligible activity that was not included in the IHP found in compliance by HUD, it must submit an amended IHP before the APR can be accepted.
For the APR, the recipient will report on the actual uses of funding received during the previous 12-month program year. Fill Columns O, P, and Q. NOTE: For the purposes of the Uses of Funding table, IHBG (only) refers to the grant amount. Any IHBG program income, Title VI funds, or Title VI program income should be included with “All Other Funds” in Column P.
Column O (Total IHBG (Only) Funds Expended in 12-Month Program Year): This column should show the IHBG funds that were expended in the previous 12-month program year. If the recipient borrowed and repaid a loan or a portion of a loan in the same year using IHBG funds, show the repayment of the principal amount in the IHBG program line in the Uses of Funding table and report loan interest payments and loan expenses in the Loan Repayment line in the Uses of Funding table.
The Administrative and Planning spending cap must be based either on the actual expenditures incurred during the 12-month period or the actual grant award amount, and not on the amount shown in the IHP. These expenditures should be reported on the Planning and Administration row.
The total amount of IHBG funds expended cannot exceed the total amount in Column H, Row 1 of Line 1 (Sources of Funding table).
Column P (Total All Other Funds Expended in 12-Month Program Year): This column should show all other funds that were expended in the previous 12-month program year. Other funds include any program income, Title VI, and all non-IHBG funds used to leverage IHBG projects, such as any LIHTC or ICDBG funds in an IHBG-funded project. The total of Column P cannot exceed the total of Column H, Rows 2-10 in Line 1 (Sources of Funding table).
Column Q (Total Funds Expended in 12-Month Program Year): This column should show the total funds expended during the previous 12-month program year. It is the sum of Column O and Column P. The total for Column Q should equal the total of Column I in Line 1 (Sources of Funding table).
APR |
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This column should show the cumulative, previous FFY allocations of IHBG funds plus the current year IHBG funds that are dedicated to the planned activities. The total in Column L must not exceed the IHBG funds from Columns A and B, Row 1 in Line 2 (Estimated Sources of Funding table). The recipient’s administrative and planning expenses cannot exceed the administrative and planning cap without HUD approval.
(L) |
This column should show the planned expenditure of other, non-IHBG funds during the upcoming 12-month period. The total of Column M must not exceed the total from Column C, Rows 2-10 in Line 1 (Sources of Funding) table.
(M) |
This column should show the sum of the IHBG-budgeted expenditures and the non-IHBG budgeted expenditures over the upcoming 12-month program year, or Column L plus Column M. The total of Column N should equal the total of Column D in Line 1 (Sources of Funding) table.
(N) |
This column should show the IHBG funds that were expended in the previous 12-month program year. If the recipient borrowed and repaid a loan or a portion of a loan in the same year using IHBG funds, show the repayment of the principal amount in the IHBG program line in the Uses of Funding table and report loan interest payments and loan expenses in the Loan Repayment line in the Uses of Funding table. The total amount of IHBG funds expended cannot exceed the total amount in Column H, Row 1 of Line 1 (Sources of Funding) table.
(O) |
This column should show all other funds that were expended in the previous 12-month program year. Other funds include any program income, Title VI, and all non-IHBG funds used to leverage IHBG projects, such as any LIHTC or ICDBG funds in an IHBG-funded project. The total of Column P cannot exceed the total of Column H, Rows 2-10 in Line 1 (Sources of Funding) table.
(P) |
This column should show the total funds expended during the previous 12-month program year. It is the sum of Column O and Column P. The total for Column Q should equal the total of Column I in Line 1 (Sources of Funding) table.
(Q) |
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| PROGRAM NAME |
Prior and current year IHBG (only) funds to be expended in 12-month program year |
Total all other funds to be expended in 12-month program year |
Total funds to be expended in 12-month program year (L+M) |
Total IHBG (only) funds expended in 12-month program year |
Total all other funds expended in 12-month program year |
Total funds expended in 12-month program year (O+P) |
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$0 |
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$0 |
Section 3 (1) |
| Planning and Administration |
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$0 |
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$0 |
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| Loan repayment - describe in 3 & 4 below |
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$0 |
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$0 |
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| TOTAL |
$0 |
$0 |
$0 |
$0 |
$0 |
$0 |
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| Notes: |
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| a. Total of Column L cannot exceed the IHBG funds from Column C, Row 1 from the Sources of Funding table in Line 1 above. |
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| b. Total of Column M cannot exceed the total from Column C, Rows 2-10 from the Sources of Funding table in Line 1 above. |
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| c. Total of Column O cannot exceed total IHBG funds received in Column H, Row 1 from the Sources of Funding table in Line 1 above. |
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| d. Total of Column P cannot exceed total of Column H, Rows 2-10 of the Sources of Funding table in Line 1 above. |
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| e. Total of Column Q should equal total of Column I of the Sources of Funding table in Line 1 above. |
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Estimated Sources or Uses of Funding. This text box can be used to further explain any estimated amounts in the budget. If IHBG resources will be leveraged with other funds in the same projects or programs, the recipient must describe that planned leveraging in this box. The recipient also must use this box if it has stated that it plans to use IHBG grant funds or IHBG program income to repay an existing loan. In that case, describe the loan and the associated eligible activity and the IHP program number.
If desired, use the "Add Bullet" button for listing estimated sources or uses of funding.
(3) Estimated Sources or Uses of Funding (NAHASDA § 102(b)(2)(C)). (Provide any additional information about the estimated sources or uses of funding, including leverage (if any). You must provide the relevant information for any planned loan repayment listed in the Uses of Funding table on the previous page. This planned loan repayment can be associated with Title VI or with private or tribal funding that is used for an eligible activity described in an IHP that has been determined to be in compliance by HUD. The text must describe which specific loan is planned to be repaid and the NAHASDA-eligible activity and program associated with this loan): |
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APR. This text box can be used to further describe any actual expenditure during the previous 12-month program year. This box must be used if a loan repayment has been listed on the Uses of Funding table. The text must describe how the repayment was used, including listing the IHP program number associated with the repayment. In addition, this box should be used to describe any leveraged funds that were received during the previous 12-month program year and expended in conjunction with IHBG funds.
If desired, use the "Add Bullet" button for listing actual sources or uses of funding.
(4) APR (NAHASDA § 404(b)) (Enter any additional information about the actual sources or uses of funding, including leverage (if any). You must provide the relevant information for any actual loan repayment listed in the Uses of Funding table on the previous page. The text must describe which loan was repaid and the NAHASDA-eligible activity and program associated with this loan.): |
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| SECTION 6: OTHER SUBMISSION ITEMS |
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This section covers several IHP and APR sections required by NAHASDA or its regulations. Some of the sections must be submitted by all recipients, and others may not be applicable to a particular recipient. See the text below for more information on required submissions.
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| [102(b)(2)(C)(ii)], [201(b)(5)], [202(6)], [205(a)(2)], [209], 24 CFR §§ 1000.108, 1000.120, 1000.142, 1000.238, 1000.302 |
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Useful Life/Affordability Period(s). Sections 205(a)(2) and 209 of NAHASDA and 24 CFR § 1000.142 require that housing units that are assisted with IHBG resources remain affordable to low-income families over a period known as the “useful life” of the unit. Each recipient must determine the useful life timeframe for the units that will be assisted with IHBG resources during the One-Year Plan period. The useful life provisions apply to all housing units assisted with IHBG resources except for Mutual Help homes developed under the U.S. Housing Act of 1937 (see 24 CFR § 1000.145). See Recipient Guidance 2013-06(R) for further information on useful life and binding commitments.
The affordability period should be the remaining useful life of the property, as approved by HUD, or the longest feasible period of time consistent with sound economics and the purposes of NAHASDA, as approved by HUD. In determining a property’s affordability period or useful life, a recipient could use a tiered schedule similar to that used in HUD’s HOME program to determine the affordability period. This would specify a number of years during which the housing must remain affordable, dependent upon the amount of IHBG resources being invested in the property per occurrence. For example:
IHBG Resources Invested Affordability Period
Under $5,000..............................................................6 months
$5,000 to $15,000........................................................5 years
$15,001 to $40,000.....................................................10 years
Over $40,000............................................................15 years
New construction or acquisition of newly constructed housing....20 years
The dollar ranges and/or the corresponding number of years may differ from those shown above depending upon local conditions. The recipient may choose to assign a longer affordability period in order to ensure the availability of a larger continuing affordable housing supply for low-income families.
If the recipient chooses to use some other method of assigning the affordability period, the IHP should describe how the method provides for an affordability period with appropriate consideration given to any unique local conditions. In setting a useful life, a specific number of years should be given for the affordability period, not a range of years (e.g., 30 to 40 years) or a general statement. The designated affordability period should in no way be contingent upon the continuation of IHBG resources.
A description of the recipient’s plan or system for determining the useful life of the housing it assists with IHBG resources must be provided in the IHP. A record of the current, specific useful life for HUD-assisted housing units should be maintained in the recipient’s files and available for review.
(1) Useful Life/Affordability Period(s) (NAHASDA § 205, 24 CFR § 1000.142) (Describe your plan or system for determining the useful life/affordability period of the housing it assists with IHBG and/or Title VI funds must be provided in the IHP. A record of the current, specific useful life/affordability period for housing units assisted with IHBG and/or Title VI funds (excluding Mutual Help) must be maintained in the recipient’s files and available for review for the useful life/affordability period.): |
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Model Housing and Over-Income Activities. A Model Activity is one that is related to affordable housing, but is not specifically described as eligible in NAHASDA. (See NAHASDA Section 202(6), and 24 CFR § 1000.108.) Line 2 is only applicable if the recipient intends to fund a Model Activity or if it wishes to serve Native American households whose incomes exceed 100 percent of the median income or anticipates expending more than 10 percent of its IHBG to serve families whose incomes fall between 80 percent and 100 percent of the median.
The recipient must get HUD approval if it wants to serve households above 100 percent of median or if it wants to spend more than 10 percent of its IHBG funds to assist households at between 80 percent and 100 percent of median income.
If the recipient wishes to implement a Model Activity under Section 202(6) of NAHASDA, or if it wishes to serve non-low-income households (as identified in Section 201(b) of NAHASDA and 24 CFR § 1000.108), those activities may be described in Line 2 or as a separate submission. If the recipient has not already included a completed Section 3 with the Model Activity request the recipient must complete the IHP portions of Section 3 (Program Descriptions) for each approved Model Activity by submitting an IHP amendment. The amended IHP, including the approved model activity, must be used when submitting the APR.
Any proposed Model Activity must be approved by HUD before incurring any expenses and beginning any work on that activity.
• For more information on Model Activities, refer to Recipient Guidance 2013-09 at http://portal.hud.gov/hudportal/HUD?src=/program_offices/public_indian_housing/ih/codetalk/nahasda/guidance
• For additional information on assisting non-low-income households, refer to PIH Notice 2014-02 at: http://portal.hud.gov/hudportal/HUD?src=/program_offices/public_indian_housing/ih/regs/notices
(2) Model Housing and Over-Income Activities (NAHASDA § 202(6), 24 CFR § 1000.108) (If you wish to undertake a model housing activity or wish to serve non-low-income households during the 12-month program year, those activities may be described here, in the program description section of the 1-year plan, or as a separate submission.): |
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| (3) Tribal and Other Indian Preference (NAHASDA § 201(b)(5), 24 CFR § 1000.120) |
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Tribal and Other Indian Preference. This section is only required if the recipient will offer a preference in housing for tribal members over all other Native American households. Section 201(b)(5) of NAHASDA and 24 CFR § 1000.120 allow preference for tribal members and other Indian families. If preference will be given to tribal members or other Indian families, the preference policy must be described in the text box.
If desired, use the "Add Bullet" button for listing preferences.
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| If preference will be given to tribal members or other Indian families, the preference policy must be |
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| described. This information may be provided here or in the program description section of the 1-year plan. |
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Does the Tribe have a preference policy? 
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| If yes, describe the policy. |
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| (4) Anticipated Planning and Administration Expenses (NAHASDA § 102(b)(2)(C)(ii), 24 CFR § 1000.238) |
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NAHASDA Section 102(b)(2)(C)(ii) and 24 CFR § 1000.238 specify spending caps for administrative and planning expenses, as shown below. HUD will publish an upcoming guidance that will provide further information on spending caps. See PIH Notice 2002-29 for further information on IHBG administrative and planning expenses requirements.
Annual IHBG Grant or IHBG Expenditure Amount
(whichever is greater, and include any planned or actual expenditures from the Reserve Account amount)
$500,000 or Less........... 30% Cap
More than $500,000....... 20% Cap
HUD recommends that a recipient consistently apply either the annual grant amount or annual expenditure amount in calculating the spending cap. A recipient may request HUD approval to exceed the 20 or 30 percent spending cap.
Recipients that receive in excess of $500,000 may use up to 20 percent of the annual expenditures of grant funds or up to 20 percent of the annual grant amount, whichever is greater. The 20 percent cap also would apply to a recipient that receives IHBG funds on behalf of one or more beneficiaries if each beneficiary qualifies for the 20 percent spending cap.
Recipients that receive or expend $500,000 or less may use up to 30 percent of the annual expenditures of grant funds or up to 30 percent of the annual grant amount, whichever is greater. The 30 percent cap also would apply to a recipient that receives IHBG funds on behalf of one or more beneficiaries if each beneficiary qualifies for the 30 percent spending cap.
If a recipient receives IHBG funds on behalf of one or more beneficiaries and there is a blend of spending cap maximums among the beneficiaries, the recipient must describe if the estimated spending cap was based on a flat percentage or, if the percentage was higher for some beneficiary allocations than for others. If a different percentage was applied to each beneficiary, identify the percentage applied to each beneficiary allocation.
If the recipient applies the same percentage cap to all its beneficiary grant allocations, the recipient should state the grant amount or expenditure amount, the cap percentage applied, and the actual dollar amount of the cap.
If the recipient applies a different cap percentage for each beneficiary, the following information must be provided:
1) Name of each beneficiary
2) Amount of each beneficiary allocation
3) Applicable percentage cap for each beneficiary allocation
4) Actual dollar amount of each cap
5) Combined cap dollar amount
The calculation for the budgeted administrative and planning expense must be included on Line 4 in Section 6 of the IHP.
A recipient may use IHBG funds for expenses related to the planning and administration of affordable housing activities funded with non-IHBG funds. The total amount of IHBG funds spent on planning and administration for both IHBG and non-IHBG funded activities may not exceed the recipient’s allowable spending cap, except with HUD approval. The use of IHBG funds for planning and administration of activities funded with non-IHBG funds must comply with the IHBG restrictions on using funds for planning and administration, in addition to any requirement on administrative and planning expenses imposed by the non-IHBG funds (not including non-IHBG spending limits).
The following is an example of a recipient’s calculation of the maximum planning and administrative expenses when multiple grant beneficiaries are included in the grant.
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Do you intend to exceed your allowable spending cap for Planning and Administration? 
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| If yes, describe why the additional funds are needed for Planning and Administration. For a recipient administering funds from multiple grant beneficiaries with a mix of grant or expenditure amounts, for each beneficiary state the grant amount or expenditure amount, the cap percentage applied, and the actual dollar amount of the cap. |
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| (5) Actual Planning and Administration Expenses (NAHASDA § 102(b)(2)(C)(ii), 24 CFR § 1000.238) |
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Actual Administrative and Planning Expenses. In Line 5, the recipient is required to state if and why it exceeded the allowable planning and administrative spending cap. Expenditures drawn from a Reserve Account(s) should be included when calculating the actual planning and administrative spending cap.
A recipient who receives grant funds on behalf of other grant beneficiaries should explain in Line 5 if and how the calculation of actual planning and administrative expenses was modified from what was stated in the IHP (Line 4 above).
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Did you exceed your spending cap for Planning and Administration? 
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If yes, did you receive HUD approval to exceed the cap on Planning and Administration costs? 
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If HUD did not issue an approval, the recipient must describe the reason(s) for exceeding the cost cap. Failure to secure HUD approval may be considered a violation of a NAHASDA requirement.
If desired, use the "Add Bullet" button to list reasons for exceeding the cap.
If you did not receive approval for exceeding your spending cap on planning and administration costs, describe the reason(s) for exceeding the cap. (See Section 6, Line 5 of the Guidance for information on carry-over of unspent planning and administration expenses.) |
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Expanded Formula Area – Verification of Substantial Housing Services. This section is only required if the recipient expanded its Formula Area after Federal Fiscal Year 2003 in accordance with 24 CFR § 1000.302 Formula Area (2).
The recipient must annually demonstrate that it provides Substantial Housing Services in that expanded formula area. If the recipient was approved for expansion after Federal Fiscal Year 2003 but before May 21, 2007, the effective date of the regulations, then it must demonstrate compliance in accordance with the provision 24 CFR § 1000.302 Substantial Housing Services (1). If the recipient was approved for an expansion on or after May 21, 2007, it must demonstrate compliance in accordance with the provision (24 CFR § 1000.302 Substantial Housing Services (1) or (2)) in which it was originally approved. If the recipient cannot demonstrate compliance with the provision under which it was initially approved, then the recipient must resubmit a Formula Area expansion request to the IHBG Formula Customer Service Center for consideration.
In this section of the IHP, the recipient must list its expanded Formula Area name. For example, if an expansion of the Formula Area has been approved by HUD to include fee simple land in two counties, this box must indicate the name of each the county.
If the recipient was approved in accordance with 24 CFR § 1000.302 Substantial Housing Services (1), then the recipient must then indicate the amount of IHBG funds and funds from other sources that the recipient plans to spend in that expanded area during the upcoming 12-month program year for all American Indian and Alaska Native (AIAN) households and for only those AIAN households with incomes 80 percent of median income or lower. In this case, the recipient does not need to report the number of tribal members residing within each Formula Area expansion.
If the recipient was approved in accordance with 24 CFR § 1000.302 Substantial Housing Services (2), the recipient must only indicate IHBG funds planned for that timeframe and those income categories. Furthermore, the recipient must annually document the number of tribal members residing within each Formula Area expansion.
(6) Expanded Formula Area - Verification of Substantial Housing Services (24 CFR § 1000.302(3)) If your tribe has an expanded formula area (i.e., an area that was justified based on housing services provided rather than the list of areas defined in 24 CFR § 1000.302 Formula Area (1)), the tribe must demonstrate that it is continuing to provide substantial housing services to that expanded formula area. Does the tribe have an expanded formula area? |
If no, proceed to Section 7.
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If desired, use the "Add Bullet" button for listing geographic areas added to the formula area.
If yes, list each separate geographic area that has been added to the Tribe’s formula area and the documented number of Tribal members residing there. |
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| For each separate formula area expansion, list the budgeted amount of IHBG and other funds to be provided to all American Indian and Alaska Native (AIAN) households and to only those AIAN households with incomes 80% of median income or lower during the recipient’s 12-month program year: |
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| Total Expenditures on Affordable Housing Activities for: |
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All AIAN Households |
AIAN Households with Incomes 80% or Less of Median Income |
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| IHBG Funds: |
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| Funds from Other Sources: |
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APR. If the recipient was approved in accordance with 24 CFR 1000.302 Substantial Housing Services (1) or if the recipient was approved for expansion after Federal Fiscal Year 2003 but before May 21, 2007, list the actual amount of IHBG funds and funds from other sources expended by the recipient in that expanded area during the recipient’s previous 12-month program year for all AIAN households and for only AIAN households with incomes 80 percent of median income or lower.
If the recipient was approved on or after May 21, 2007, in accordance with 24 CFR 1000.302 Substantial Housing Services (2), only list the actual amount of IHBG funds expended by the recipient in that expanded area for all AIAN households and for only AIAN households with incomes 80 percent of median income or lower during the recipient’s previous 12-month program year.
(7) APR: If answered "Yes" in Line 6, for each separate formula area, list the actual amount of IHBG and other funds expended for all AIAN households and for only AIAN households with incomes 80% of median income or lower during the recipient's 12-month program year. |
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| Total Expenditures on Affordable Housing Activities for: |
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All AIAN Households |
AIAN Households with Incomes 80% or Less of Median Income |
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| IHBG Funds: |
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| Funds from Other Sources: |
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| SECTION 16: IHP AMENDMENTS |
In this section, the recipient must provide a description of its planned eligible activities, and intended outcomes and outputs for the One-Year IHP. The recipient can select any combination of activities eligible under NAHASDA and intended outcomes and outputs that are based on local needs and priorities. There is no maximum or minimum number of eligible activities or intended outcomes and outputs. Rather, the One-Year IHP should include a sufficient number of eligible activities and intended outcomes to fully describe any tasks that the recipient intends to fund in whole or in part with IHBG funds, IHBG program income, and Title VI funds during the coming program year.
Subtitle B of NAHASDA authorizes recipients to establish a program for self-determined housing activities involving construction, acquisition, rehabilitation, or infrastructure relating to housing activities or housing that will benefit the low-income households served by the Indian tribe. A recipient may use up to 20 percent of its annual allocation, but not more than $2 Million, for this program. Section 233(a) of NAHASDA requires a recipient to include its planned self-determination program activities in the IHP, and Section 235(c) requires the recipient to report the expenditures, outputs, and outcomes for its self-determination program in the APR. For more information, see PIH Notice 2010-35 (Demonstration Program - Self-Determined Housing Activities for Tribal Governments) at http://portal.hud.gov/hudportal/documents/huddoc?id=DOC_8814.pdf
The One-Year IHP is not required to include eligible activities or intended outcomes and outputs that will not receive IHBG funding or will not be funded by IHBG program income or with Title VI funds. For example, the recipient may be planning to apply for Low Income Housing Tax Credits (LIHTC) from its state. If those tax credit projects will not receive IHBG assistance (whether grant funds, program income, or Title VI), they are not required to be described in the IHP. However, the recipient may wish to include non-IHBG activities in the IHP to provide tribal members with a more complete picture of housing activities.
• If an activity will receive partial funding from IHBG, IHBG program income, or Title VI, it must be described in the IHP.
• For example, if the recipient uses IHBG-funded staff persons to manage, inspect, or maintain an LIHTC-funded rental project, that project would be considered an IHBG-assisted project and the related activities must be described in the IHP.
For the IHP, complete the unshaded sections to describe the planned activities, outcomes and outputs in the coming 12-month program year. The recipient must complete Lines 1.1 through 1.10 for each eligible activity or program planned for the One-Year IHP. For the APR, complete the shaded sections to describe actual activities, outcomes, and outputs for the previous 12-month program year. In particular, complete Lines 1.5, 1.8 and 1.10 for each program included in the IHP.
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| 24 CFR §1000.512 |
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| Use this section for IHP amendments only. |
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| Eligible Activity |
Output Measure |
Output Completion |
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| (1) Modernization of 1937 Act Housing [202(1)] |
Units |
All work completed and unit passed final inspection |
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| (2) Operation of 1937 Act Housing [202(1)] |
Units |
Number of units in inventory at Program Year End (PYE) |
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| (3) Acquisition of Rental Housing [202(2)] |
Units |
When recipient takes title to the unit |
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| (4) Construction of Rental Housing [202(2)] |
Units |
All work completed and unit passed final inspection |
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| (5) Rehabilitation of Rental Housing [202(2)] |
Units |
All work completed and unit passed final inspection |
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| (6) Acquisition of Land for Rental Housing Development [202(2)] |
Acres |
When recipient takes title to the land |
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| (7) Development of Emergency Shelters [202(2)] |
Households |
Number of households served at any one time, based on capacity of the shelter |
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| (8) Conversion of Other Structures to Affordable Housing [202(2)] |
Units |
All work completed and unit passed final inspection |
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| (9) Other Rental Housing Development [202(2)] |
Units |
All work completed and unit passed final inspection |
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| (10) Acquisition of Land for Homebuyer Unit Development [202(2)] |
Acres |
When recipient takes title to the land |
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| (11) New Construction of Homebuyer Units [202(2)] |
Units |
All work completed and unit passed final inspection |
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| (12) Acquisition of Homebuyer Units [202(2)] |
Units |
When recipient takes title to the unit |
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| (13) Down Payment/Closing Cost Assistance [202(2)] |
Units |
When binding commitment signed |
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| (14) Lending Subsidies for Homebuyers (Loan) [202(2)] |
Units |
When binding commitment signed |
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| (15) Other Homebuyer Assistance Activities [202(2)] |
Units |
When binding commitment signed |
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| (16) Rehabilitation Assistance to Existing Homeowners [202(2)] |
Units |
All work completed and unit passed final inspection |
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| (17) Tenant Based Rental Assistance [202(3)] |
Households |
Count each household once per year |
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| (18) Other Housing Service [202(3)] |
Households |
Count each household once per year |
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| (19) Housing Management Services [202(4)] |
Households |
Count each household once per year |
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| (20) Operation and Maintenance of NAHASDA-Assisted Units [202(4)] |
Units |
Number of units in inventory at PYE |
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| (21) Crime Prevention and Safety [202(5)] |
Dollars |
Dollars spent (report in Uses of Funding Table only) |
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| (22) Model Activities [202(6)] |
Dollars |
Dollars spent (report in Uses of Funding Table only) |
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| (23) Self-Determination Program [231-235] |
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| Acquisition |
Units |
When recipient takes title to the unit |
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| Construction |
Units |
All work completed and unit passed final inspection |
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| Rehabilitation |
Units |
All work completed and unit passed final inspection |
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| Infrastructure |
Dollars |
Dollars spent (report in Uses of Funding Table only) |
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| (24) Infrastructure to Support Housing [202(2)] |
Dollars |
Dollars spent (report in Uses of Funding Table only) |
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| (25) Reserve Accounts [202(9)] |
N/A |
N/A |
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| APR: REPORTING ON PROGRAM YEAR PROGRESS (NAHASDA § 404(b)) |
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| Complete the shaded section of text below to describe your completed program tasks and actual results. Only report on activities completed during the 12-month program year. Financial data should be presented using the same basis of accounting as the Schedule of Expenditures of Federal Awards (SEFA) in the annual audit. For unit accomplishments, only count units when the unit was completed and occupied during the year. For households, only count the household if it received the assistance during the previous 12-month program year. |
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The program name should easily identify the program and should be unique. It is recommended that a unique identification number be used in front of each One-Year Plan program. This might be especially helpful for tracking similar program types from year to year or within a single 12-month period. This unique number can be any number of the recipient’s choosing, but it should be simple and clear so that staff can track tasks and results under the program and maintain appropriate file documentation tied to this program.
• One way to number the programs is chronologically. For example, the recipient could number its programs 2011-1, 2011-2, 2011-3 etc.
• Or, the recipient may wish to number the programs based on type. For example rental 1, rental 2, homebuyer 1, homebuyer 2 etc. This numbering system might be appropriate for a recipient with many programs that last over several years.
• Finally, the recipient may wish to use an outline style of numbering. For example, all programs under the first eligible activity would start with the number 1 and then be consecutively numbered as 1.1, 1.2, 1.3 etc. The programs under the second eligible activity would be numbered as 2.1, 2.2., 2.3 etc.
• Please note that because program administration and loan repayments are already identified on the Uses of Funding Table, a separate program for these two activities should not be included in this Section of the form.
1. Program Name and Unique Identifier: |
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1 |
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Program Description. The program description summarizes each program that will be funded with IHBG resources during the 12-month program year. At a minimum, the recipient must describe what specific type of projects will be developed under the planned program.
• In writing the program description, the recipient should determine how it wants to describe the planned activities that will benefit eligible families.
For example, assume that the recipient has chosen the eligible activity of “Tenant Based Rental Assistance” and an intended outcome that will “Assist Affordable Housing for College Students.” The program description might then highlight that the recipient’s program is designed to assist college-bound, eligible Native Americans to pay their rent while attending any university in the state. It might highlight that this program is designed to assist tribal members who wish to become certified teachers or medical professionals, because these professions are needed within the tribal community. The section might also state that the assistance is to be used to pay rent in private-market rental units in the areas surrounding the educational institution. The description might go on to say that the purpose of the program is to enable low-income tribal members to better afford higher education in professional fields that are important to the tribe’s continued well-being.
• If a recipient intends to provide housing assistance to families whose incomes fall within 80 to 100 percent of the median income, this planned activity should be included as a separate program.
• If a recipient wants to track two types of outcomes for a program it must identify each program separately. For example a recipient may have a program description of Tenant Based Rental Assistance for both College Housing Students and other Rental Assistance. If the recipient wants to track outcome (6) Assist affordable housing for low income households and outcome (8) Assist affordable housing for college students, it must have two programs for Tenant Based Rental Housing.
• If a recipient chooses to establish and maintain a Reserve Account for planning and administrative expenses, the recipient should include a program for this eligible activity in its annual IHP. The program description should identify the actual amount of funds set aside to establish or maintain the Reserve Account. The recipient must also ensure that the maximum amount of reserves, whether in one or more accounts, that a recipient may have available at any one time is calculated in accordance with 24 CFR § 1000.239 and Program Guidance 2014-XX (Reserve Accounts for Administration and Planning). In Line 1.2, the recipient must describe how it determined the allowable reserve amount. NOTE: Planned or actual expenditures from a Reserve Account should be included in the allowable spending cap for planning and administrative expenses.
The One-Year Plan program descriptions should include any program that will receive IHBG resources during the upcoming 12-month program year, even if some of the program tasks will take longer than 12 months to complete.
• For example, assume the recipient is going to run a program that will construct 20 new rental units. However, during the coming program year the recipient will only acquire the land and develop the plans and specifications.
• Even though the units will not be completed during the 12-month program year, the program must still be described in the IHP, and the IHP must still be determined to be compliant by HUD before the recipient can spend IHBG funds on these tasks.
In many cases, the recipient may be funding programs on an on-going basis year after year.
• For example, some recipients have an on-going program to modernize their 1937 Act rental units. In these instances, the activity should be listed in each One-Year Plan over the entire period of the program.
• In some cases, the program will stay the same year to year. The recipient can copy the program/activity description from one IHP to the next year’s IHP.
• However, the recipient should be careful to update the budget (Section 5) and planned outputs table (Line 1.9) to reflect the actual volume of work anticipated in the coming program year.
2. Program Description (This should be the description of the planned program.): |
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Eligible Activity Number. Select one activity from the Eligible Activities list for each identified program. Select the eligible activity that best fits the program. Otherwise, the recipient may wish to establish separate programs or change the eligible activity in a subsequent year. For example: a housing construction program could be done in a phased approach and each phase would be a separate program. Land acquisition and site preparation could a program and the project’s housing construction could be another program. This approach makes it easier to plan and track a complex, multi-year project such as housing construction. Write the eligible activity number in the space provided and then write the text of the eligible activity in the space next to the number.
Eligible Activity Number: (4) Construction of Rental Housing
Do not combine homeownership and rental housing in one activity, so that when housing units are reported in the APR the units are correctly identified as homeownership or rental. Combining homeownership and rental activities will cause the APR to be incorrect and the Area ONAP may reject the APR.
Each of the eligible activities has a specific, measurable output. These output measures include the number of housing units constructed, rehabilitated, or acquired; number of acres of land purchased for the development of rental or homeownership units; number of households served with various services and assistance; and the number of dollars spent on crime prevention and safety, Model Activities, and infrastructure (roads, water/sewer, and utilities) to support housing.
3. Eligible Activity Number (Select one activity from the Eligible Activity list. For any activity involving housing units as the output measure (excluding operations and maintenance), do not combine homeownership and rental housing in one activity, so that when housing units are reported in the APR they are correctly identified as homeownership or rental.): |
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Intended Outcome Number. Intended outcomes are the impacts that the recipient hopes to achieve through the implementation of the activities described in the IHP. There are 11 common outcomes and one ‘other’ outcome listed in the IHP/APR form. Intended outcomes may include those listed below.
This line is not applicable to a Reserve Account.
(1) Reduce over-crowding (7) Create new affordable rental units
(2) Assist renters to become homeowners (8) Assist affordable housing for college students
(3) Improve quality of substandard units (9) Provide accessibility for disabled/elderly persons
(4) Improve quality of existing infrastructure (10) Improve energy efficiency
(5) Address homelessness (11) Reduction in crime reports
(6) Assist affordable housing for low income households (12) Other – must provide description in Line 1.4 (IHP) and Line 1.5 (APR)
Write the intended outcome number(s) in Line 1.4 and then write the text of the intended outcomes in the space next to the number. For example:
Intended Outcome Number: (2) Assist renters to become homeowners
Choose the intended outcome that most closely corresponds with the program description in Line 2. Another option for this line would be to choose one of the “other” activity categories listed in Line 1.3 (Activity Numbers 9, 15, or 18) and use it to describe an intended outcome as described below. If the recipient is still unsure about how to categorize/describe an outcome for a program the recipient wishes to fund, the recipient should contact the Area ONAP for guidance. If a program meets more than one intended outcome, select the outcome that best matches the program type. An example for describing an intended outcome for an “other” activity category is shown below.
Intended outcome(s)
Number: (18) Other Housing Services
The intended outcome of this program is to provide self-sufficiency classes for residents of affordable housing projects.
If the intended outcome is categorized as “(12) Other,” describe the nature of the outcome in ways that distinguish it from the intended outcomes in the list. In providing the explanation, it may become clear that the “Other” outcome actually fits one of the listed outcomes.
All activities that will use IHBG funds must be eligible under the statute and regulations. The recipient should ensure that any planned “other” intended outcomes are eligible under NAHASDA if it intends to fund them with IHBG resources. If the recipient is unsure about the eligibility of an activity, contact your Area ONAP. It may be necessary to propose a model activity for HUD review and approval.
4. Intended Outcome Number (Select one outcome from the Outcome list. Each program can have only one outcome. If more than one outcome applies, create a separate program for each outcome.): |
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| Describe Other Intended Outcome (Only if you selected "Other" above.): |
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Use the drop down menu to identify the actual outcome number as a result of the activity funded with IHBG funds, IHBG program income, or Title VI funds. In many instances, the actual outcome number will match the intended outcome number identified in Line 1.4. If the actual outcome was not the intended outcome, select the most appropriate actual outcome number from the drop-down menu.
5. Actual Outcome Number (In the APR identify the actual outcome from the Outcome list.): |
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| Describe Other Actual Outcome (Only if you selected "Other" in above): |
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After describing the eligible activities and intended outcomes, the recipient must then describe the targeted types of households to be assisted under the One-Year Plan. Please note that assistance made available to families whose incomes fall within 80 to 100 percent of the median should be included as a separate program.
• Using the example provided previously in Line 1.2 about the college student rental assistance program, this section might highlight that the program is open to any low-income Native American residing in the recipient’s Indian Area, but that a preference is given to tribal members.
If desired, use the "Add Bullet" button for listing activities.
6. Who Will Be Assisted (Describe the types of households that will be assisted under the program. Please note: assistance made available to families whose incomes fall within 80 to 100 percent of the median must be included as a separate program within this section.): |
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Describe what the recipient was able to accomplish during the past 12-month period as a result of expending IHBG resources. If the recipient wishes to report on programs funded by other sources, it may do so. As noted above, programs that are partially funded by IHBG resources must be planned and reported. The recipient should be specific enough about the actual tasks and accomplishments so that the HUD reviewer can understand how IHBG resources were spent.
• For example, the recipient might report that it was able to complete all its IHP activities because it constructed 10 new homes using IHBG funds and all passed final inspection, rehabilitated 3 homes using IHBG program income, and/or completed the planning phase of a 13-unit subdivision using a Title VI loan.
• Another example might be that the recipient reports it was able to initiate a housing rehabilitation program by completing the installation of new roofs on all identified units; however, it was unable to complete interior renovations on the units because of unanticipated plumbing repairs. Therefore, the recipient could not complete its rehabilitation program.
If the recipient established a Reserve Account or expended any Reserve Account funds during the reporting period, the recipient must define the account or expenditures from the account as an accomplishment. In addition, the recipient must show that the total of reserve funds expended combined with the total of administrative and planning expenses did not exceed the allowable 20 or 30 percent cap.
Provide an analysis and explanation of cost overruns or high unit costs, in accordance with 24 CFR 1000.512(b)(3). If applicable, the recipient must explain why total development costs were exceeded by cost overruns or high unit costs. See Notice PIH 2011-63 for further information on total development costs. HUD publishes total development costs annually. For current and prior total development cost limits, visit: http://portal.hud.gov/hudportal/HUD?src=/program_offices/public_indian_housing/ih/regs/notices.
8. APR: Describe the accomplishments for the APR in the 12-month program year. |
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The table below identifies the basis for which an output is considered completed and can be counted. Refer to this table when estimating the planned number of outputs and reporting on the actual number of outputs for each activity. On the IHP side of Line 1.9, the recipient must estimate the number of IHBG-assisted units to be completed, households to be served, and/or acres to be purchased for IHBG-assisted housing development for each planned activity during the upcoming 12-month program year.
Some activities may provide services to low-income residents of affordable housing, but not related to construction. In those cases, there will be a number of assisted households in the chart, but no number of units. NOTE: If the planned output is dollars spent (i.e., Crime Prevention and Safety, Model Activities, Self-Determination Program, or Infrastructure to Support Housing), skip Line 1.9 and enter these planned expenditures in Column L of the Uses of Funding Table in Section 5.
Accuracy in reporting actual outputs is very important. If there are any questions, please contact your Area ONAP for assistance.
For the IHP and APR, rely on the table below to determine how and when to count outputs of eligible activities. The first column lists all eligible activities, the second column identifies the output measure for each eligible activity, and the third column identifies when to consider an output as completed for each eligible activity.
9. Planned and Actual Outputs for 12-Month Program Year |
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In completing this section of the IHP for activities related to unit construction, rehabilitation, or acquisition, the recipient should estimate the number IHBG-assisted units that will be completed during upcoming the 12-month program year. If the recipient estimates that the construction/rehab/acquisition will be started in the coming 12 months but will be completed in a future program year, that unit should not be listed on the anticipated results table.
The recipient should enter the number of IHBG-assisted units ONLY. When estimating the number of IHBG-assisted units to be completed, identify whole units only. For example, if a project includes 5 units and half the project is IHBG-assisted, the number of IHBG-assisted units would be 3 rather than 2.5.
Planned Number of Units to be Completed in Year Under this Program |
For assistance to households, the recipient should estimate the total number of households that will be assisted by that particular activity during the upcoming12-month program year. In some cases, these households may also be assisted by other programs offered by the recipient and listed in the IHP. Each program should be counted separately and the recipient is not required to deduct the number of households assisted under more than one program.
Planned Number of Households To Be Served in Year Under this Program |
Enter the number of acres the recipient intends to purchase under this program.
Planned Number of Acres To Be Purchased in Year Under this Program |
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On the APR side of Line 1.9, enter the actual number of IHBG-assisted units completed, households assisted, and/or acres purchased for IHBG-assisted housing development during the 12-month program year. Use the same guidelines described in the bulleted items above when defining the actual number of outputs. NOTE: If the actual output is dollars spent (i.e., Crime Prevention and Safety, Model Activities, Self-Determination Program, or Infrastructure to Support Housing), skip Line 1.9 and enter these actual expenditures in Column O of the Uses of Funding Table in Section 5. NOTE: Do not include actual outputs associated with your Native American Housing Block Grant (as funded under the Recovery and Reinvestment Act); instead, those outputs should be included in a separate APR.
APR: Actual Number of Units Completed in Program Year |
APR: Actual Number of Households Served in Program Year |
APR: Actual Number of Acres Purchased in Program Year |
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If applicable, the recipient must explain why the IHBG-funded activity is behind schedule, or completed fewer units than anticipated. There may have been circumstances beyond the recipient’s control that affected the program. If this is so, the recipient should describe those issues and the actions taken to address the problem(s).
• For example, severe weather or natural disasters can cause significant delays in project schedules. Explain the situation and how it affected planned programs.
• Sometimes programs simply do not turn out as planned. Perhaps demand for the housing was not at the level the recipient expected, or perhaps it took more time to design the needed administrative procedures, and thus the project is behind schedule. Explain these delays and actions taken to address any issues.
If desired, use the "Add Bullet" button for explaining why the program is behind schedule.
10. APR: If the program is behind schedule, explain why. (24 CFR § 1000.512(b)(2)) |
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Amended Sources of Funding. The Amended Sources of Funding budget should show any new sources of funding associated with a new or revised program that were not included in the previously submitted One-Year IHP. The amended budget should list all sources that were described in the previously submitted One-Year IHP that will continue to be funded under the amended IHP. In effect, the Amended Sources of Funding budget replaces the Sources of Funding budget. Complete the Amended Sources of Funding budget by inserting all existing sources from the Sources of Funding budget in Section 5 and change the amount of funding in Row 8 (Other Federal Funds) and/or Row 10 (Non-Federal Funds). For additional information on completing an Amended Sources of Funding budget, see Section 5, Line 1.
(11) Amended Sources of Funding (NAHASDA § 102(b)(2)(C)(i) and 404(b)) (Complete the non-shaded portions of the chart below to describe your estimated or anticipated sources of funding for the 12-month program year. APR Actual Sources of Funding -- Please complete the shaded portions of the chart below to describe your actual funds received. Only report on funds actually received and under a grant agreement or other binding commitment during the 12-month program year.) |
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For the IHP, this table identifies the estimated or anticipated sources of funding for the upcoming 12-month program year. The table is intended to cover all of the funds to be expended on IHBG-assisted activities during the One-Year Plan period. As noted above, the recipient is not required to list other sources of funds (beyond IHBG, IHBG program income, and Title VI) unless those funds will be combined with IHBG in a project.
The Estimated Sources of Funding table must include the amounts of private loans or tribal loans that will be used for NAHASDA-eligible activities, which will later be reimbursed with IHBG funds. For example, assume that a tribe lends $100,000 for the acquisition of land that will be used to develop affordable housing for low-income Native American families. At a later time, the recipient will use its IHBG grant to repay this loan. The $100,000 of assistance must be listed as a source of funds in the chart as “non-federal funds.” The recipient is cautioned that all such transactions must follow all applicable NAHASDA and other federal rules, such as environmental review, labor standards, relocation/acquisition, etc.
For the IHP, fill Columns A, B, C, D, and E.
IHP |
For the APR, the recipient reports on the actual sources of funding received and expended during the program year. Fill Columns F, G, H, I, J, and K.
APR |
| SOURCE |
This column should show the amount of funds already sitting in an account for the recipient (whether at U.S. Treasury or in a local investment account). This includes all “carry over” IHBG funds from previous years. The recipient is required to include all sources that will be used to leverage IHBG, IHBG program income, or Title VI projects or programs. In addition, the recipient is required to include 1937 Act program funds that remain with the TDHE or tribe and have not yet been spent, as well as remaining 1937 Act reserves, both of which must be used for eligible affordable housing activities. The types of leveraged non-IHBG funds include:
• “ICDBG,” the Indian Community Development Block Grant is a competitive grant program available to tribes and administered by HUD;
• “Other Federal Program Funds” might include funds from the U.S. Department of Agriculture, Indian Health Service, Bureau of Indian Affairs or any other federal agency;
• “LIHTC,” the Low Income Housing Tax Credit is an IRS program that works through state agencies and provides developers with tax credits in return for funding affordable housing; and
• “Non-Federal Funds” could be any other type of funds that will be used for projects or programs in combination with funds from IHBG, IHBG program income, or Title VI, including tribal contributions, tribal loans, private funds, or assistance from nonprofits.
• Note: Estimated, expected leveraged funding must be described in Line 4.
Hypothetical exampled continued: The decision to invest an additional $300,000 of IHBG funds would have no effect on Column A. The estimated amount of IHBG on hand at the beginning of the year would be $450,000 ($250,000 in LOCCS and $200,000 in investments), regardless of whether these funds are in LOCCS, or in an approved investment.
(A) |
This column should show the new funding to be received, including the total of the new IHBG grant for the FFY and any funds that are expected to be received at any point during the 12 months, if those funds are associated with a program or activity outlined in the plan.
For IHBG program income, the recipient may estimate the amount to be received during the upcoming 12-month program year or may opt to wait until program income is actually realized and, at that time, the recipient should update this table, as needed. Estimated, expected leveraged funding must be described in Line 4.
Hypothetical example continued: The amount of funds expected to be received during the program year at Column B, Row 1 would be the $800,000 in new IHBG grants. Any interest anticipated or actually earned on the investments during the program year would be reported on the Row 2 for “IHBG Program Income.”
(B) |
This column should show the sum of the funds on hand from Column A and the new funds received from Column B.
Hypothetical example continued: The estimated total sources of IHBG funds at Column C would be $1,250,000 ($800,000 plus $450,000).
(C) |
This column should show the amount of funds from Column C that the recipient anticipates expending during the upcoming 12-month program year. The amount in Column D must never exceed the amount in Column C. The amount in Column D should be directly related to the 12-month activities listed in the One-Year Plan. Note: The total for Column D should match the total of Column N in Line 3 (Uses of Funding table).
Hypothetical exmple continued: In Column D the recipient would indicate the $700,000 IHBG funds it intends to expend on eligible activities during the program year, regardless of whether the funds are drawn from LOCCS or from an investment account. Regardless of the decisions regarding investments, the recipient’s IHP must clearly indicate how the $700,000 will be used during the upcoming 12-month program year.
(D) |
This column should show the amount of funds that the recipient anticipates will be left over at the end of the 12-month program year. The calculation is based on the amount of available funds and the amount budgeted to be spent, or the amount in Column C minus the amount in Column D.
Hypothetical example continued: In this example, the IHBG carryover would be $550,000 ($1,250,000 - $700,000). Of this amount, the recipient would know that $400,000 is in an investment account ($200,000 originally invested, minus $100,000 of investments withdrawn, plus $300,000 of new investments) and $150,000 will remain in its LOCCS account ($1,250,000 total available, minus $700,000 expended, minus $400,000 in investments), but this would not be separately listed in the Estimated Sources of Funding table. In Column E, if the recipient plans to leave funds in an approved investment and plans that those funds will remain at the end of the program year, or if the recipient plans to add new investments during the year, then those would be indicated together with the other IHBG funds as a part of the estimated unexpended funds, in Column E.
(E) |
This column should show the amount of funds actually on-hand at the beginning of the program year covered by the APR. Examples of “funds on hand” would be funds undisbursed from the recipient’s LOCCS account, funds that are in the recipient’s bank account, or any funds that are available to the recipient that have not yet been expended. In addition, “funds on hand” includes any IHBG amounts invested pursuant to 24 CFR 1000.58.
(F) |
This column should show the funds that were actually received under a grant agreement or other firm commitment during the previous 12-month program year. The recipient must report on any funds received that were used in conjunction with IHBG funds, IHBG program income, or Title VI. Describe actual leveraged funding received in Line 5.
Note that the IHBG program income was an estimate in the IHP; for the APR it should be an accurate accounting of the entire amount of program income received in the previous12-month program year. Thus, the recipient must track the receipt and expenditure of program income throughout the year so that it can provide an accurate accounting of the total amount received in Row 2. It is not sufficient to only report on the program income “on hand” at the end of the program year. Rather, the recipient must account for all program income earned throughout the year, including that program income that has already been disbursed for an activity.
(G) |
This column should show the total amount of actual funding available during the previous 12-month program year or the sum of Columns F and G.
(H) |
This column should show the actual funds expended during the previous 12-month program year. The amount should include any funds actually drawn down from LOCCS or other accounts, but not commitments or obligations for which funds have not yet been spent. Do not include IHBG deposits to HUD-approved investment accounts. Note: The total of Column I should match the total of Column Q in Line 3 (Uses of Funding table)
(I) |
This column should show the amount of unspent funds based on the amount of funds actually available less the amount spent during the program year, or the amount in Column H minus the amount in Column I.
(J) |
This column should show the amount of funds that have been obligated through a signed contract or other legally binding agreement but have not yet been expended in the previous 12-month program year. For a definition of fund obligation, see Notice PIH 2000-26 (TDHEs) at http://www.hud.gov/offices/pih/publications/notices/00/pih2000-26.pdf. This notice provides recipients with guidance regarding what constitutes an obligation of grant funds.
(K) |
| Estimated amount on hand at beginning of program year |
Estimated amount to be received during 12-month program year |
Estimated total sources of funds (A+B) |
Estimated funds to be expended during 12-month program year |
Estimated unexpended funds remaining at end of program year (C-D) |
Actual amount on hand at beginning of program year |
Actual amount received during 12-month program year |
Actual total sources of funding (F+G) |
Actual funds expended during 12-month program year |
Actual unexpended funds remaining at end of 12-month program year (H - I) |
Actual unexpended funds obligated but not expended at end of 12-month program year |
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With HUD approval, the recipient is permitted to draw down IHBG funds and invest those funds for a maximum 5-year period in a secure, approved type of investment. (For additional information, see Notice PIH 2010-33.) The Estimated Sources of Funding table does not have a separate row for IHBG investments as a source of funds. For the purposes of the IHP, invested IHBG funds are treated exactly the same as if the IHBG funds were in the recipient’s LOCCS account.
Hypothetical example to help explain the data for each column: Assume that a recipient has $200,000 of IHBG funds currently in an investment account, it has another $250,000 of existing IHBG assistance in its LOCCS account at HUD and it anticipates receiving another $800,000 in IHBG grant funds during the year. It intends to expend $100,000 of the existing investments in the next program year and it will invest another $300,000 during the program year. In total, the recipient plans to expend $700,000 on eligible affordable housing activities during its program year, of which $100,000 will come from the investment account and $600,000 will come from its LOCCS account.
1. IHBG Funds |
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$0 |
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$0 |
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$0 |
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$0 |
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| 2. IHBG Program Income |
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$0 |
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$0 |
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$0 |
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$0 |
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| 3. Title VI |
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$0 |
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$0 |
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$0 |
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$0 |
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| 4. Title VI Program Income |
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$0 |
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$0 |
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$0 |
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$0 |
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| 5. 1937 Act Operating Reserves |
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$0 |
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$0 |
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$0 |
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$0 |
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| 6. Carry Over 1937 Act Funds |
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$0 |
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$0 |
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$0 |
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$0 |
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For the IHP, describe any estimated leverage in Line 4 below (Estimated Sources or Uses of Funding). For the APR, describe actual leverage in Line 5 below.
LEVERAGED FUNDS |
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| 7. ICDBG Funds |
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$0 |
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$0 |
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$0 |
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$0 |
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| 8. Other Federal Funds |
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$0 |
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$0 |
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$0 |
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$0 |
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| 9. LIHTC |
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$0 |
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$0 |
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$0 |
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$0 |
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| 10. Non-Federal Funds |
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$0 |
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$0 |
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$0 |
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$0 |
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| TOTAL |
$0 |
$0 |
$0 |
$0 |
$0 |
$0 |
$0 |
$0 |
$0 |
$0 |
$0 |
| TOTAL Columns C & H, 2 through 10 |
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$0 |
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$0 |
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| Notes: |
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| a. For the IHP, fill in columns A, B, C, D, and E (non-shaded columns). For the APR, fill in columns F, G, H, I, J, and K (shaded columns). |
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| b. Total of Column D should match the total of Column N from the Uses of Funding table below. |
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| c. Total of Column I should match the Total of Column Q from the Uses of Funding table below. |
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Amended Uses of Funding. The Amended Uses of Funding budget is not just for the new or revised program, but should list all programs that were described in the previously submitted One-Year IHP that will continue to be funded under the amended One-Year IHP. In effect, the Amended Uses of Funding budget replaces the Uses of Funding budget. Complete the Amended Uses of Funding budget by inserting all existing programs from the Uses of Funding Budget in Section 5 and add a new row for each new or revised program. The recipient is required to fill out the budget on Line 12 for all IHBG resources allocated to each of the IHBG-eligible activities. The revised budget must include both the IHBG funds from the current FY funding allocation and the IHBG funds to be expended in the 12-month program year. The recipient is not required to include other funding sources such as Indian Community Development Block Grant (ICDBG) funds or Low Income Housing Tax Credits (LIHTC) unless these funds will be combined with IHBG resources. For additional information on completing a Uses of Funding budget, see Section 5, Line 2.
• For example, assume that a recipient has $500,000 in IHBG grant and anticipated program income available. The recipient’s initial IHP submission planned on spending $300,000 on a homeownership program, $100,000 on a crime prevention program, and $100,000 on planning and administration. Early in the year, the recipient decides that it really needs an owner-occupied unit rehabilitation program. So, it elects to cancel the crime prevention program and reduce the homeownership funding to $250,000. The amended budget should show $150,000 for owner-occupied rehabilitation, $250,000 for homeownership and continue to show $100,000 for planning and administration for a budget total of $500,000. See Section 5, Line 3 in this guidance for more information
(12) Amended Uses of Funding (NAHASDA § 102(b)(2)(C)(ii)) (Note that the budget should not exceed the total funds on hand and insert as many rows as needed to include all the programs identified in Section 3. Actual expenditures in the APR section are for the 12-month program year.) |
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For the IHP, this table shows how the anticipated funds are planned to be used during the upcoming 12-month program year. The table is organized by the programs identified in Section 3. Each intended program name and unique identifier from Section 3, Line 1.1 should appear as a row on this table.
• It is not acceptable to show a use of funds that does not correspond to a planned one-year program.
• If the Area ONAP cannot readily tie a planned use of funds to a stated one-year program, HUD will notify the recipient that the IHP must be revised prior to a determination that the IHP is in compliance with NAHASDA.
• For the purposes of the Uses of Funding table, IHBG (only) refers to the grant amount. Any IHBG program income or Title VI funds should be included with “All Other Funds” in Column M.
If the recipient plans to use some of its IHBG funds during the upcoming 12-month program year to repay an existing Title VI loan or a private loan, then that planned repayment must be listed on the Uses of Funding table. If the recipient lists a loan repayment, it must describe the associated loan and the eligible activity at Line 4. The recipient must ensure that all IHBG and other federal requirements were followed at the time that the project was initially funded. The recipient should not repay any loan if the program was not previously listed in an IHP that HUD determined to be in compliance with NAHASDA.
Remember that funds for Planning and Administration cannot exceed 20 percent of the annual IHBG allocation. A recipient may exceed the 20 percent cap by budgeting unspent, carryover planning and administration funds from prior grants; however, the recipient will need to document to HUD that any amount over the 20 percent cap is budgeted from carryover funds.
For the IHP, enter each program name and associated unique identifier (Line 1.1.) from Section 3 (Program Descriptions) and fill Columns L, M, and N, as described below.
IHP |
For the APR, the recipient reports on the actual expenditures during the program year by program. This section should only include actual funds expended, not commitments or planned draws. It would not include amounts drawn down and placed in investments.
For the APR, the recipient will report on the actual uses of funding received during the previous 12-month program year. Fill Columns O, P, and Q. NOTE: For the purposes of the Uses of Funding table, IHBG (only) refers to the grant amount. Any IHBG program income or Title VI funds should be included with “All Other Funds” in Column P.
Remember that funds for Planning and Administration cannot exceed 20 percent of the annual IHBG allocation. A recipient may exceed the 20 percent cap by expending unspent, carryover planning and administration funds from prior grants; however, the recipient will need to document to HUD that any amount over the 20 percent cap was expended from carryover funds.
APR |
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This column should show the cumulative, previous FFY allocations of IHBG funds plus the current year IHBG funds that are dedicated to the planned activities. The total in Column L must not exceed the IHBG funds from Columns A and B, Row 1 in Line 2 (Estimated Sources of Funding table). If the recipient plans to exceed the 20 percent cap on its planning and administration budget, the amount of unspent planning and administration funds from prior years must be included in this column.
(L) |
This column should show the planned expenditure of other, non-IHBG funds during the upcoming 12-month period. The total of Column M must not exceed the total from Column C, Rows 2-10 in Line 2 (Estimated Sources of Funding table).
(M) |
This column should show the sum of the IHBG-budgeted expenditures and the non-IHBG budgeted expenditures over the upcoming 12-month program year, or Column L plus Column M. The total of Column N should equal the total of Column D in Line 2 (Estimated Sources of Funding table).
(N) |
This column should show the IHBG funds that were expended in the previous 12-month program year. Exclude from the Loan Repayment line in this column, the repayment of bridge loans that were borrowed and repaid in the same year. The total amount of IHBG funds expended cannot exceed the total amount in Column H, Row 1 of Line 2 (Sources of Funding table).
(O) |
This column should show all other funds that were expended in the previous 12-month program year. Other funds include any program income, Title VI, and all non-IHBG funds used to leverage IHBG projects, such as any LIHTC or ICDBG funds in an IHBG-funded project. The total of Column P cannot exceed the total of Column H, Rows 2-10 in Line 2 (Sources of Funding table).
(P) |
This column should show the total funds expended during the previous 12-month program year. It is the sum of Column O and Column P. The total for Column Q should equal the total of Column I in Line 2 (Sources of Funding table).
(Q) |
| PROGRAM NAME |
Prior and current year IHBG (only) funds to be expended in 12-month program year |
Total all other funds to be expended in 12-month program year |
Total funds to be expended in 12-month program year (L+M) |
Total IHBG (only) funds expended in 12-month program year |
Total all other funds expended in 12-month program year |
Total funds expended in 12-month program year (O+P) |
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$0 |
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$0 |
| Planning and Administration |
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$0 |
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$0 |
| Loan repayment |
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$0 |
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$0 |
| TOTAL |
$0 |
$0 |
$0 |
$0 |
$0 |
$0 |
| Notes: |
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| a. Total of Column L cannot exceed the IHBG funds from Column C, Row 1 from the Estimated Sources of Funding table in Line 2 above. |
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| b. Total of Column M cannot exceed the total from Column C, Rows 2-10 from the Estimated Sources of Funding table in Line 2 above. |
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| c. Total of Column O cannot exceed total IHBG funds received in Column H, Row 1 from the Estimated Sources of Funding table in Line 2 above. |
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| d. Total of Column P cannot exceed total of Column H, Rows 2-10 of the Estimated Sources of Funding table in Line 2 above. |
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| e. Total of Column Q should equal total of Column I of the Estimated Sources of Funding table in Line 2 above. |
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Estimated Sources or Uses of Funding. This text box can be used to further explain any estimated amounts in the budget. If IHBG resources will be leveraged with other funds in the same projects or programs, the recipient must describe that planned leveraging in this box. The recipient also must use this box if it has stated that it plans to use IHBG grant funds or IHBG program income to repay an existing loan. In that case, describe the loan and the associated eligible activity and the IHP program number.
(13) Estimated Sources or Uses of Funding (NAHASDA § 102(b)(2)(C)). (Provide any additional information about the estimated sources or uses of funding, including leverage (if any). You must provide the relevant information for any planned loan repayment listed in the Uses of Funding table on the previous page. This planned loan repayment can be associated with Title VI or with private or tribal funding that is used for an eligible activity described in an IHP that has been determined to be in compliance by HUD. The text must describe which specific loan is planned to be repaid and the NAHASDA-eligible activity and program associated with this loan): |
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APR. This text box can be used to further describe any actual expenditure during the previous 12-month program year. This box must be used if a loan repayment has been listed on the Uses of Funding table. The text must describe how the repayment was used, including listing the IHP program number associated with the repayment. In addition, this box should be used to describe any leveraged funds that were received during the previous 12-month program year and expended in conjunction with IHBG funds.
(14) APR (NAHASDA § 404(b)) (Enter any additional information about the actual sources or uses of funding, including leverage (if any). You must provide the relevant information for any actual loan repayment listed in the Uses of Funding table on the previous page. The text must describe which loan was repaid and the NAHASDA-eligible activity and program associated with this loan.): |
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Identify the name of the recipient and the official authorized to sign the IHP Amendment. The official must sign and date the IHP Amendment.
(15) Recipient: |
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Enter the name and title of the person authorized to submit the IHP amendment.
(16) Authorized Official’s Name and Title: |
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The person authorized to submit the IHP amendment must sign the IHP amendment.
(17) Authorized Official’s Signature: |
I certify that all other sections of the IHP approved on |
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| are accurate and reflect the activities planned. |
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Enter the date of the IHP amendment submission.
(18) Date (MM/DD/YYYY): |
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