Section 110.103  Application Evaluation for Competitive Public Facilities Construction and Design Engineering Component

a)         Explanation of Application Ranking System

1)         Applicants will compete in a formalized ranking system. Applications will undergo an initial review to determine eligibility in 4 areas:  Benefit to Low- and Moderate-Income Persons, Documentation of Threat to Health and Safety, Evidence of Project Readiness and Leverage Funds.  Upon meeting the minimum eligibility thresholds, applications will compete in a formalized ranking system.

2)         Applications will be ranked in 4 areas:  Community Need, Urgency of Need, Need for Financial Assistance and Benefit to Low- and Moderate-Income Persons.  The Department will review applications for ranking and project selection according to the criteria described in this Section.  The Department will then select projects for funding out of the top-ranking projects as determined under subsection (b)(2) until all available funds are expended.

b)         Criteria for Selection of Projects

1)         The analysis will evaluate project need, according to its impact on program benefit and benefit to low- to moderate-income persons utilizing the ranking system contained in subsection (d).

2)         Comparative Assessment of Applications

A)        The Department will screen and identify top ranking CDAP applications.  Projects will be ranked in categories of maximum, moderate, minimum, or no rating as described in subsection (d). Maximum ratings do not guarantee that a project will receive funding.  The Department will then conduct intensive evaluations, leading to the CDAP grant award decision. Department staff may conduct field visits and will analyze project characteristics, including:

i)          a comparative assessment of projects – e.g., low- to moderate-income benefits, local contribution, etc.;

ii)         a verification of submitted application information;

iii)         a thorough analysis of the project's readiness to proceed; and

iv)        a determination of the applicant's previous efforts to address its problems.

B)        Actual funding levels will relate closely to the competitiveness of the proposed projects.  Applications will be comparatively ranked according to the criteria described in this subsection (b) to determine the final funding levels.  The Department reserves the right to negotiate the final funding figures.

c)         Eligibility Thresholds

1)         Benefit to Low- and Moderate-Income Persons:  Applications must document that the project will benefit at least 51% low- to moderate-income persons and that, as applicable, no special assessments will be levied against residential structures owned and occupied by low- and moderate-income persons and that provisions are made to hook up these residences to water and sewer systems.  Applications which do not document benefit to low- to moderate-income persons will not be considered further.

2)         Documentation of Threat to Health and Safety:  Applications must include documentation verifying that the project addresses a threat to health and safety.  Applications which do not document threat to health and safety will not be considered further.

3)         Evidence of Project Readiness:  Applications must demonstrate that the project is appropriate and achievable and that all actions have been completed to ensure timely implementation of the project.  Applications which do not document project readiness will not be considered further.

4)         Leverage Funds:  Applications must provide evidence that at least 25% of non-administrative project costs will be provided from non-CDAP sources. After the project is completed, the grantee may request, in writing, that the 25% minimum leverage requirement be waived.  This request must include a reasonable justification, which would include, but not be limited to, instances where the actual total project cost was less than originally estimated, resulting in the return of a relatively small amount of CDAP grant funds in order to meet the 25% minimum.  The Department shall review each request on a case-by-case basis.

d)         Ranking Criteria

1)         Community Need:  This criterion is an objective measure of relative poverty and economic distress designed to give some priority to applicants with the highest level of need.  The following 2 indicators will be equally weighted and given a numerical score:

A)        Estimates of average unemployment in Illinois, by county or municipality, if available, based upon Illinois Department of Employment Security data.

B)        Percentage of people in poverty according to United States Census Bureau data.

2)         Urgency of Need

A)        An application shall receive a maximum rating if it has fully:

i)          documented that a serious deficiency exists in a community's public facility or that the community lacks the facility entirely;

ii)         identified problems clearly attributable to the deficiency have occurred, such as serious illness, disease outbreak, or serious environmental pollution; and

iii)         identified that the problem is existing, continual and chronic as opposed to occasional, sporadic or probable.

B)        An application shall receive a moderate rating if the project only "moderately" addresses the criteria or does not fully meet any one of the criteria in subsection (d)(2)(A).

C)        An application shall receive a minimum rating if the project only "minimally" addresses the criteria or does not fully meet any one of the criteria in subsection (d)(2)(A).

D)        An application shall receive a "no rating" if it fails to fully meet the standards in subsection (d)(2)(A).

3)         Need for Financial Assistance

A)        An application shall receive a maximum rating if it has fully:

i)          documented that all avenues of funding the project with local revenues have been exhausted;

ii)         documented that the proposed project could not reasonably be accomplished without CDAP assistance;

iii)         documented that the proposed level of local financial participation is the maximum that can be reasonably expected;

iv)        documented substantial past efforts to deal with the public facility need with local financial resources, such as tax increases or user fee rate increases; and

v)         demonstrated that reasonable efforts have been made to secure additional funds from other appropriate State and federal agencies.

B)        An application shall receive a moderate rating if the project only "moderately" addresses the criteria or does not fully meet any one of the criteria in subsection (d)(3)(A).

C)        An application shall receive a minimum rating if the project only "minimally" addresses the criteria or does not fully meet any one of the criteria in subsection (d)(3)(A).

D)        An application shall receive a "no rating" if it fails to fully meet the standards in subsection (d)(3)(A).

4)         Benefit to Low- and Moderate-Income Persons

A)        A maximum rating shall be received if 71-100% of the persons benefiting are low- to moderate-income.

B)        A moderate rating shall be received if 61-70% of persons benefiting are low- to moderate-income.

C)        A minimum rating shall be received if 51-60% of persons benefiting are low- to moderate-income.

5)         Project Readiness.  This criterion is a measure of the project's readiness to proceed immediately upon notice of grant award.  Ratings of Moderate, Minimum, and No Rating will be assigned accordingly to projects lacking any or all of the items listed in subsections (d)(5)(A) through (H).  In order to receive a maximum rating, applicants must address a majority of the following issues, as applicable to their project:

A)        Site control.  If land is required for the proposed project (i.e., lagoon or tower site, etc.), the applicant must already own the site and provide evidence of ownership;

B)        Leverage financing.  The applicant must demonstrate that all leverage funding for the project has not only been committed but will be available immediately upon grant award, including:

i)          United States Department of Agriculture Rural Development Form 1940-1 has been issued to the applicant; and

ii)         All issues have been resolved with the Illinois Environmental Protection Agency (i.e., facilities planning, dedicated revenue source, etc.) and the project is ready to bid;

C)        Final design engineering of the proposed project has been completed;

D)        Illinois Environmental Protection Agency has issued a construction permit;

E)         Timely completion of previous CDAP grants.  (Not applicable if the grantee has not previously received CDAP funding.);

F)         75% or more of necessary easements have been obtained;

G)        Executed agreement in place for purchase of water or treatment of wastewater; and

H)        Evidence of completion of all previous phases, if the proposed project is part of a multi-phase project.

(Source:  Amended at 26 Ill. Reg. 11805, effective July 18, 2002)