HUD-4117 FY 2020 Formula Response Form

FY 2020 Formula Response Form	U.S. Department of Housing and Urban Development	OMB Approval No. 2577-0218
Indian Housing Block Grant Formula Data	Office of Native American Programs	(exp. 11/30/2022)

Public reporting burden for the collection of information is estimated to average 30 minutes. This includes the time for collecting, reviewing, and reporting the data. The information will be used to allocate funds under the IHBG program. Response to this request for information is required in order to receive the benefits to be derived. This agency may not collect this information, and you are not required to complete this form unless it displays a currently valid OMB control number.

Indian Housing Block Grant Formula Data
for the

This document provides notice to the tribe and/or tribally designated housing entity (TDHE) of the data to be used in calculating its Indian Housing Block Grant (IHBG) program allocation for Fiscal Year (FY) 2020.  It also provides an estimate of the tribe's FY 2020 allocation.

Please carefully review your Tribe's data and report any changes and corrections to the IHBG Formula Customer Service Center as described below.  All tribes/TDHEs are responsible for reporting data changes and corrections.  According to 24 CFR 1000.315(b), the Formula Response Form (FRF) is the only mechanism that a recipient shall use to report changes to the number of Formula Current Assisted Stock (FCAS).  In addition, tribes/TDHEs should use the FRF to report changes and corrections to the following:

• Formula Area.

• Overlapping Formula Areas.

• Tribal Enrollment and Formula Area Population Cap.

Submission Deadlines

The submission must be postmarked or faxed by August 1, 2019, for consideration in the FY 2020 allocation.   Please postmark or fax changes and corrections with appropriate supporting documentation to the IHBG Formula Customer Service Center by August 1, 2019, for inclusion in the FY 2020 allocation.  Please note that while HUD requires requests for formula changes to be submitted by August 1^st, HUD may consider subsequent requests from tribes that have been directly affected by changes resulting from other tribes' requests submitted prior to the August 1 deadline.  Subsequent requests received in prior FYs may be carried into future FYs if processing of such requests is not finalized in the current FY.  For questions regarding appropriate documentation, please contact the IHBG Formula Customer Service Center at the address listed below.

The results of any successful changes to Fair Market Rent (FMR), Total Development Cost (TDC), and the U.S. Census Bureau Population Estimates data should also be submitted by August 1, 2019.  Details on the procedures to be followed if you wish to challenge these data elements are contained in the Appendices to the most recent published document "Challenging U.S. Decennial Census Data: Guidelines for the Indian Housing Block Grant Formula."  This document can be obtained from the IHBG Formula Customer Service Center or at: https://portal.hud.gov/hudportal/HUD?src=/ program_offices/public_indian_housing/ih/codetalk/onap/ihbgformula.

The FRF also includes other data elements used to calculate the Needs component of the Formula.  Tribes/TDHEs wishing to challenge these data elements should review the Needs section of this form.   Each year, tribes/TDHEs are reminded that March 30 is the deadline for the next FY's Census challenge.  The Needs data in this document will include previously approved Census challenges, if still eligible for use in the FY 2020 allocation, as well as available Census data.  If applicable, check the Needs section to verify that successful challenges have been incorporated.  Should you wish to initiate a challenge to your Needs data for FY 2021, please consult the guide, "Challenging U.S. Decennial Census Data: Guidelines for the Indian Housing Block Grant Formula."  The guide outlines procedures for conducting a Census challenge.

Failure to Report

Please note that pursuant to §1000.315 and §1000.319, recipients are responsible for verifying and reporting changes to their FCAS on the FRF to ensure that data used for the IHBG Formula are accurate.  Reporting shall be completed in accordance with requirements in subpart D and the FRF.  If a recipient receives an overpayment of funds because it failed to report such changes on the FRF in a timely manner, the recipient shall be required to repay the funds within five fiscal years.  HUD shall subsequently distribute the funds to all Indian tribes in accordance with the next IHBG Formula allocation.  A recipient will not be provided back funding for any units that the recipient failed to report on the FRF in a timely manner.  HUD shall have three years from the date a FRF is sent out to take action against any recipient that fails to correct or make appropriate changes on that FRF.  Review of FCAS will be accomplished by HUD as a component of A-133 audits, routine monitoring, FCAS target monitoring or other reviews.

The deadline for responding with changes to the data on the FRF is August 1.  Any changes reported after the August 1 deadline is not timely under §1000.315 and §1000.319.  Accordingly, no back funding is authorized based on changes reported after August 1; nor will untimely reported units be included in the FY 2020 allocation.

Appeals Process

Tribes/TDHEs may appeal HUD decisions regarding data used in the IHBG formula and HUD formula determinations in accordance with §1000.336(d).

Technical Assistance

Should you have questions, please contact the IHBG Formula Customer Service Center at:

1875 Connecticut Ave., NW, 10^th Floor
Washington, DC 20009
Phone: 800-410-8808
Fax: 202-393-6411
E-mail: [email protected]

Formula Current Assisted Stock
Homeownership and Rental

HUD records show your Tribe/TDHE having the following Formula Current Assisted Stock (FCAS) funded by 1937 Housing Act programs.  Please compare the project numbers, number of units, type of units, and Date of Full Availability (DOFA) with your records.  Then postmark or fax any changes and corrections, including updated information, to the IHBG Formula Customer Service Center by August 1, 2019, for inclusion in the FY 2020 allocation.  Please note: If a unit becomes ineligible as FCAS between the date in which you report and September 30, HUD will need to recover the over-funding that the recipient received for that unit unless the recipient submits an additional Appendix A1 before September 30 that indicates the unit's eligibility status.

The unit counts reported below include:

• Low Rent, Mutual Help and Turnkey III units funded under 1937 Housing Act (i.e., units that were subject to an Annual Contributions Contract (ACC)).

• Units converted prior to October 1, 1997, as the type of unit to which it was converted.

• Units converted on or after October 1, 1997, as the type of unit funded on the latest ACC.

The unit counts reported below do not include:

• Units built with NAHASDA, HOME, or ICDBG funds.

• Units built with BIA, State, or tribal funds.

• Units built over the number specified in the original ACC for Projects with DOFA after October 1, 1997.

• Units not used as housing dwelling units, including units used for non-dwelling purposes and unoccupied units not being made available for occupancy.

• Units previously reported as having been conveyed, conveyance eligible (paid-off but not conveyed), or demolished.

A unit that is conveyance eligible will be removed from HUD’s FCAS data when it becomes eligible for conveyance. If a legal impediment prevented the conveyance, the tribe/TDHE needs to make reasonable efforts to overcome the legal impediment as required in §1000.318(b). When the unit is conveyed, it is up to the tribe/TDHE to report to the IHBG Formula Customer Service Center when the unit is conveyed or when the 2-year time period is up, and to provide all necessary documentation for HUD to re-evaluate the unit to see if it remained eligible as FCAS beyond the conveyance eligibility date. If the tribe /TDHE has demonstrated it made reasonable efforts to convey in the face of a legal impediment as required by §1000.318(b), then HUD will revise the FCAS data for the preceding years and calculate the appropriate adjustment pursuant to the formula at §1000.319. No homeownership unit will be considered FCAS 24 months after the date the unit became conveyance eligible, unless the tribe, TDHE, or IHA provides evidence from a third party, such as a court or state or federal government agency, documenting that a legal impediment continues to prevent conveyance, and assuming that the tribe made reasonable efforts to overcome any existing legal impediments during the preceding 24 months in accordance with §1000.318(b).

Please note changes and corrections to the unit counts on the table below and also complete and submit appropriate forms as follows:

• Use Appendix A1 to report units that are conveyance eligible or conveyed.

• Use Appendix A2 to report changes due to DOFA of FCAS units.

• Use Appendix A3 to report changes due to conversion of FCAS units.

• Use Appendix A4 to report demolished and rebuilt FCAS units.

• Use Appendix A5 to report all other FCAS changes.

NOTE: In accordance with Section 302(b)(1) of the Native American Housing Assistance and Self-Determination Act (NAHASDA), 25 U.S.C. § 4152(b)(1), Mutual Help and Turnkey III units developed under the United States Housing Act of 1937 that are conveyed or eligible to be conveyed prior to October 1 of the calendar year immediately preceding the FY for which funds are provided cease to be eligible as FCAS beginning that FY unless the tribe can demonstrate that the unit has not been conveyed for reasons beyond its control. By the terms of their Mutual Help and Occupancy Agreements (MHOA), such units are eligible for conveyance no later than 25 years from the inception of those agreements, which generally corresponds to the Date of Full Availability (DOFA). Accordingly, all units in any project that reached its DOFA in FY 1994¹, are presumptively no longer considered FCAS and HUD is removing them from its FCAS data for the tribe in the table below as indicated with a (*). If your Tribe believes that any of these units are still eligible for FCAS, please identify the project and unit number and provide the necessary information in accordance with the FRF as follows:

1. If the unit was converted to and is currently managed as a Low Rent (LR) unit, provide the information required in Appendix A3.

2. If there is a subsequent homebuyer, or the unit is still within the term of its lease-to-own agreement, please provide the information required in Appendix A5, including the date that the current agreement was signed and the termination date of the agreement.

¹All units in projects that reached DOFA prior to FY 1994 were previously removed from the FCAS on an FRF for FY 2014 or later, and are only listed on the FRF if the tribe/TDHE submitted unit level information documenting continued eligibility. Unit eligibility will be re-challenged every three years to assure appropriate treatment.

Formula Current Assisted Stock
Section 8

Under the IHBG Formula, your Tribe's FCAS count includes the following Section 8 units:

Number of units:

By regulation, Section 8 units are counted under the IHBG formula after their contracts expire only if the tribe/TDHE continues to manage the assistance in a manner similar to the Section 8 program.

If you no longer provide or operate an equivalent number of Section 8, please make corrections to the total above and on the table below.

Adjustment Factors

Inflation Rate Factor

Inflation rate is adjusted annually and is a national figure used to adjust the amount of subsidy for FCAS.

%

Local Area Cost Adjustments

Allowable Expense Level (AEL), Fair Market Rent (FMR), and Total Development Cost (TDC) are used to adjust the amount of subsidy for FCAS to reflect local conditions.  TDC is also used to adjust the Needs component to reflect local costs.

Annual Expense Level (AEL):

Fair Market Rent (FMR):

Total Development Cost (TDC):

In accordance with §1000.336(a)(7)(b), AEL cannot be challenged.  However instructions for challenging the FMR and TDC are provided in the document "Challenging U.S. Decennial Census Data: Guidelines for the Indian Housing Block Grant Formula" available through the IHBG Formula Customer Service Center.  Tribes successfully challenging FMR and TDC data elements must submit the revised figures to the IHBG Formula Customer Service Center by August 1, 2019.   Please note that while HUD requires requests for formula changes to be submitted by August 1^st, HUD may consider subsequent requests from tribes that have been directly affected by changes resulting from other tribes' requests submitted prior to the August 1 deadline.  Subsequent requests received in prior FYs may be carried into future FYs if processing of such requests is not finalized in the current FY.

Formula Area

In accordance with §1000.302 Formula Area (1)…."Formula Areas are:"

1. Reservations for federally recognized Indian tribes, as defined by the U.S. Census;

2. Trust lands;

3. Department of the Interior Near-Reservation Service Areas;

4. Former Indian Reservation Areas in Oklahoma Indian Areas, as defined by the U.S. Census as Oklahoma Tribal Statistical Areas (OTSAs);

5. Congressionally Mandated Service Areas;

6. State Tribal Areas as defined by the U.S. Census as State Designated American Indian Statistical Areas (SDAISAs);

7. Tribal Designated Statistical Areas (TDSAs);

8. California Tribal Jurisdictional Areas established or reestablished by Federal court judgment; and

9. Alaska formula areas described in §1000.302 Formula area (4).

Formula areas may include additional geographic units if the Tribe demonstrates that it is providing substantial housing services in accord with §1000.302 Formula area (2) & (3) and §1000.302 substantial housing services.

The geographic areas currently contained in your Formula Area are listed below.

A "+" next to a geographic area listed above indicates that the area overlaps with other tribe(s).  For overlapping areas, be sure to review the information in the next section "Overlapping Formula Areas."  Balance of county refers to any land in a county outside reservations or trust lands.

If any of these areas do not meet the above criteria or are not covered under §1000.302 Formula area (2), please make changes and corrections in Appendices B1 and B2.

If you wish to request other geographic areas beyond those identified above to be added to your Tribe's Formula Area, please complete the Formula Area table in Appendices B1 and B2.   HUD will review this submission based on §1000.302 Formula area (2) & (3) and §1000.302 substantial housing services and determine whether or not to include these areas.  HUD will make its judgment using as its guide whether this addition is fair and equitable for all tribes receiving a formula allocation.  Please note that if Formula Area expansions are approved based on substantial housing services, tribes must continue to provide investment levels consistent with the definition of substantial housing services in accordance with §1000.302 substantial housing services (2).

Overlapping Formula Areas

Only for tribes with a "+" next to the geographic area
(see previous section on Formula Area)

In cases where tribes are overlapped, Needs data (population and household) for the entire Formula Area of all tribes involved in the overlap are shared.  If your Formula Area is overlapped, you are likely receiving a share of the Needs data for areas beyond those listed as being part of your Tribe's Formula Area.

Currently, your Tribe is sharing Needs data as a result of overlapping Formula Areas with the following tribes:

HUD uses Bureau of Indian Affairs (BIA) estimates for Total Resident Service Area Indian Population (TRSAIP) to proportionately allocate Needs data to the affected tribes.

The TRSAIP being used for your Tribe is:

If you wish to correct your Tribe's TRSAIP, please contact your BIA Area Office.  HUD will only accept written correspondence from the BIA to correct TRSAIP figures (see Appendix D to the document "Challenging U.S. Decennial Census Data: Guidelines for the Indian Housing Block Grant Formula" available through the IHBG Formula Customer Service Center).

HUD recognizes that tribes may be able to provide better data for overlapping areas.  Therefore, HUD is requesting that each tribe provide its Tribal Enrollment within each of the geographic areas described in the preceding section as overlapping.

If all tribes in an overlapping area submit corrected information to HUD, HUD will then use this information to divide the funds for the affected area.  Otherwise, HUD will continue to use the BIA TRSAIP estimates to make the allocations.  On the form in Appendix C, list the overlapping geographic area (indicated earlier under the Formula Area section by a "+" next to the geographic area) and your Tribe's enrollment in the area.

«Tribe_Name»

Tribal Enrollment & Formula Area Population Cap

In accordance with §1000.302 (5), Tribal Enrollment is used to cap AIAN persons in calculating Needs data. A cap is placed at twice Tribal Enrollment. If there is a "*" next to "AIAN persons" in the Needs section, your Tribe's data have been "capped."

The enrollment being used for your Tribe (or Alaska Village or Corporation) is:

«BIA_Enrollment»

If your Tribe’s enrollment is different than what is listed above, please follow the instructions in Appendix D for correcting your Tribe’s enrollment.

Whether or not your Tribe’s enrollment is different, if the population data within your Tribe’s Formula Area exceeds twice your Tribe’s enrollment (i.e., your Tribe is subject to the population cap described above), you must complete the appropriate certification in Appendix D and submit it to the IHBG Formula Customer Service Center by the correction deadline.

If a cap has been applied to your Tribe and you are providing housing services to more than twice as many AIAN members of other tribes as members of your own Tribe, please follow the instructions in Appendix D for correcting your Tribe’s Population Cap.

Please note that Formula Area Population Cap Adjustments must be submitted on an annual basis to the IHBG Formula Customer Service Center for approval. The requests must be postmarked or faxed

by August 1 this year.

Needs Data

Listed below are the data currently being used to calculate the Needs component of your Tribe's allocation based on your Tribe's "Formula Area" (see Formula Area section of this document).

The data used are from a special tabulation.  This tabulation:

• Counts individuals reported as AIAN.  The AIAN person count variable comes from the Decennial Census and is aged using Census population estimates. For the FY 2010 Decennial Census, data for reservations, trust lands, and remote Alaska will receive an undercount adjustment of 4.88%. For all other Needs variables, in FY 2020 HUD will use the 5-year rolling average from 2011 to 2015 ACS data. The ACS data will be updated every year. Therefore, in FY 2021, the ACS data will be from 2012 to 2016. These data sources apply unless tribes have approved Census Challenges in place.

• The FY 2020 estimate is calculated with the Needs component based on single race (AIAN alone) Census data and multi-race (AIAN alone and in combination with other race(s)) Census data.  The amount of the allocation for each Indian tribe was determined to be the greater of the two resulting allocation amounts.

The growth adjustment factor and the undercount adjustments used for your Formula Area are listed next to each Formula Area in the table listing your tribe's Formula Area.

After adjusting for population growth and undercount, sharing of Needs data among tribes in cases of overlapping Formula Areas and application of the Population Cap (see note below), your tribe's Needs component is based on .  The Needs data are:

AIAN persons:

AIAN households with annual income less than 30% of median income:

AIAN households with annual income between 30% and 50% of median income:

AIAN households with annual income between 50% and 80% of median income:

AIAN households which are overcrowded or without kitchen or plumbing:

AIAN households with housing cost burden greater than 50% of annual income:

Housing Shortage (number of low-income AIAN households less total number

of NAHASDA and Current Assisted Stock):

Note: If there is a "*" next to "AIAN persons" above, the Tribe's data have been "capped."  This occurs when the AIAN population in the Tribe's service area is greater than twice its total Tribal Enrollment.

If you think these data do not reflect your Needs:

• Check to see if the Formula Area, as listed previously, is correct for your Tribe.  If the Formula Area is not correct, submit that correction.

• Check to see if the Formula Area for your Tribe overlaps that of another tribe.  If it does, you may wish to contact the IHBG Formula Customer Service Center to obtain detailed information on how the Needs data are being shared.

• If you still disagree, you may wish to submit a Census challenge.  To determine if submitting a Census challenge would be appropriate for your Tribe, please review the FY 2020 Needs Data above and the FY 2021 Needs Data on Attachment A for a full presentation on the Needs data available for your tribe, and then read the document "Challenging U.S. Decennial Census Data: Guidelines for the Indian Housing Block Grant Formula” at: https://portal.hud.gov/hudportal/HUD?src=/program_offices/ public_indian_housing/ih/codetalk/onap/ihbgformula.

Preliminary Allocation Amount

(Based on an estimated $598,000,000 appropriation)

This is only a preliminary estimate to be used for planning purposes based on an estimated $598,000,000 appropriation for the IHBG program.  It will change based on corrections to the data used for all tribes (any change in one tribe's data affects the allocation for all tribes) and/or actual FY 2020 appropriations.

FCAS Component2:
Needs Component3:
§1000.331 Phase Down Adjustments to Moderate Impact of Introduction of New Data Source4:
§1000.340 (b) Adjustments to achieve FY 1996 Base Year Amount5:
Preliminary Current Year Allocation Estimate:
Adjustments for over- or under-funding in prior years6:
Initial Allocation Estimate:
§1000.342 Undisbursed Funds Adjustment7:	To be Determined
§1000.329 Minimum Allocation Adjustment8:	To be Determined
FY 2020 Final Allocation Estimate:

²If an "M" appears following the FCAS component, it means that the modernization subsidy on which FCAS was based was calculated using the alternative definition in §1000.316(b)(2), which states that "for Indian tribes with an Indian Housing Authority (IHA) that owned or operated fewer than 250 public housing units on October 1, 1997, the modernization allocation equals the amount of funds received under the assistance program authorized by Section 14 of the 1937 Act (not including funds provided as emergency assistance) for FYs 1992 through 1997."  If an "A" appears, it means that your tribe had an IHA that owned or operated fewer than 250 public housing units on October 1, 1997, but was entitled to a larger modernization amount using the original method of calculation (§1000.316(b)(1)) and your allocation was adjusted to take this into account, as called for in §1000.340(a).   If no "M" or "A" appears, the modernization subsidy was calculated using the original method described in §1000.316(b)(1).

³The Needs component includes adjustments needed to achieve minimum funding as called for in §1000.328.  The minimum allocation in any FY to an Indian tribe under the Needs component of the IHBG Formula shall equal 0.007826% of the available appropriations for that FY after set asides.  In this allocation, the minimum Needs allocation is $46,799. To be eligible for the minimum allocation, an Indian tribe must receive less than $200,000 under the FCAS component of the IHBG Formula for the FY, and must demonstrate the presence of any households at or below 80 percent of median income.

⁴In accordance with §1000.331, to minimize the impact of funding changes based on the introduction of a new data source, if, solely as a direct result of the introduction of a new data source, an Indian tribe's allocation under the Needs component of the formula is less than 90 percent of the amount it received under the Needs component in the immediate previous FY, the Indian tribe's Needs allocation shall be adjusted to 90% of the previous year's Needs allocation.

⁵ According to §1000.340, if a tribe is allocated less funding under the formula than an IHA received on its behalf in FY 1996 for operating subsidy and modernization, its allocation is increased to the amount received in FY 1996 for operating subsidy and modernization.

⁶ Adjustments refer to corrections made to prior year formula allocations.  Most are repayment agreements with HUD, usually for over-funding received by the tribe in prior years due to late reporting of paid-off and conveyed FCAS.  Funds recovered through repayments are reallocated among all tribes in the following FY through the formula.  Adjustments are also occasionally made as a result of HUD errors in entering tribes' information or in calculating formula allocations.

⁷ In accordance with §1000.342, tribes with an initial allocation amount of $5 million or greater may be subject to a reduction depending on the amount they have in HUD's Line of Credit Control System (LOCCS) on the first day of FY 2020. The amount of the reduction would be redistributed among other tribes in proportion to their Needs calculation.

⁸ In accordance with §1000.329, if carryover funds are available in any given year, HUD will hold the lesser amount of $3 million or available carryover funds for additional allocations to tribes with allocations less than 0.011547 percent of that year’s appropriation. If the set-aside carryover funds are insufficient to fund all eligible tribes at 0.011547 percent of that year's appropriations, the minimum total allocation shall be reduced to an amount which can be fully funded with carryover funds.

Internal HUD Distribution:
PNH : Reading File			PNPG Reading File			PNPG NAHASDA/FORMULA/FY20
Jackie Kruszek			FIRST PIC
Identification Lines:
PNPG:KRUSZEK: 4/17/2019, (303) 675-1600, Z:/Formula/runs/FY 2020 Est/FY 2020 FORMULA RESPONSE FORM
Correspondence Code	Originator PNPG	Concurrence PNPG		Concurrence CDD	Concurrence PNPG		Concurrence	Concurrence
Name		KRUSZEK		THOMPSON	ATKIN
Initials					HCA
Date					5/1/19

    Official Record Copy                         U.S. Department of Housing and Urban Development                         form HUD-713.1 (02/03)

                                                                                 Previous edition is obsolete

Previous editions are obsolete

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Form HUD-4117 (7/19)