ONHIR Management Manual

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MANAGEMENT SECTION VOLUME 1
MANUAL SUBJECT INTRODUCTION __/s/CJB__
APPROVED
OFFICE OF NAVAJO AND HOPI INDIAN RELOCATION
MANAGEMENT MANUAL
INTRODUCTION
BACKGROUND:
Public Law 100-666 restructured the agency. Pursuant to this legislation, the name of the agency
was changed from the Navajo and Hopi Indian Relocation Commission (abbreviated as NHIRC) to the
Office of Navajo and Hopi Indian Relocation (abbreviated as OHNIR). The new law provided that a
single Commissioner would replace the three Commissioners as the head of the Office.
Procedures which were instituted prior to the restructuring refer to the “Commission” and the
“Commissioners.” Many of these procedures were developed for one-time activities of the Office which
were accomplished prior to the restructuring and contain position titles and delegations of authority
which are no longer accurate. They have been retained in the Management Manual for historical reasons
only. The majority of the sections contained with the Management Manual describe on-going program
operations.
As of the date of this revision of the Management Manual, the “Commissioner” position is
vacant. The previous Commissioner delegated full operational authority to the ONHIR Executive
Director for the Relocation Program via an official directive dated April 8, 1994. Consequently, final
authority in all program operations referred to in these procedures is delegated to the Executive Director.
These procedures set forth the processes generally followed by the Office. No Management
Manual can anticipate every possible situation or set of facts that an agency may encounter and when a
situation or set of facts is not covered by procedures set out in the Management Manual the Office will
take such actions as are appropriate under the circumstances and the procedures set forth in the Manual
will only be used as a general guide or frame of reference.
In addition, since circumstances change and the Office is committed to using “best practices”
deviations from the procedures set forth in the Manual may be made where appropriate.
1. DEVELOPMENT AND APPROVAL OF PROCEDURES.
The procedures contained in the Management Manual have been developed pursuant to explicit
or implicit authority vested in the Office of Navajo and Hopi Indian Relocation by PL. 93-531, as
amended by PL. 96-305 and PL. 100-666; and various appropriations bills which contained instructions
regarding program authority and operations.
1 Issued 2/1/90; Revised and
Reissued 7/6/11.
MANAGEMENT SECTION VOLUME 1
MANUAL SUBJECT INTRODUCTION __/s/CJB__
APPROVED
Procedures are developed by the Executive Director, Branch Managers, Officers, and Team
Leaders. Formal procedures incorporated into these volumes may be supplemented by written and
verbal instructions of the Branch Managers, Officers, and Team Leaders concerning the daily work flow
of the Office. As time and opportunity permits, such instructions are incorporated into formal
procedures.
The Chief Information Officer and Information Systems staff review all procedures to assure the
existing record systems capture and maintain Office processes and information.
Following final review by all concerned staff, Office procedures are approved by the Executive
Director.
2 Issued 2/1/90; Revised and
Reissued 7/6/11.
MANAGEMENT SECTION 1200 ELIGIBILITY
MANUAL SUBJECT 1220 Divorced Spouse Eligibility __/s/CJB_
APPROVED
SECTION 1200 ELIGIBILITY
SUBJECT 1220 Eligibility - Divorced Spouses
I.
ONHIR will comply with the provisions of 25 CFR 700.143.
MM#1220 Issued 11/1/89; Revised and
1 Reissued 8/8/11, 9/6/2017
MANAGEMENT SECTION 1200 ELIGIBILITY
MANUAL SUBJECT 1295 Consideration of Applications for Relocation Benefits
/s/CJB
APPROVED
SECTION 1200 ELIGIBILITY
SUBJECT 1295 Consideration of Applications for Relocation Benefits
AUTHORITY: Policy Memorandum No. 14 (Revised July 27, 2009)
Note: The deadline for filing an Application for Relocation Benefits (“Application”) was August 31,
2010. ONHIR is not accepting Applications and does not anticipate accepting applications in
the future.
I. Determination of Whether Application Will be Accepted
a. Was Application received at a time when ONHIR was accepting Applications?
I. If not, reject. If so, go to 1.c.
b. Was Application submitted by a person eligible to apply? See Policy Memorandum
No. 14 (revised July 27, 2009).
I. If not, reject. If so, go to 1.c.
c. Was Application form used?
i. If so, go to 1.d.
ii. If not, Certifying Officer may accept if all required information has been provided
and document is signed by Applicant subject to the penalties of perjury.
1. If Certifying Officer accepts, go to 1.d.
2. If all required information is not provided, reject.
d. Was Application signed by Applicant?
i. If so, go to II.
ii. If not, Certifying Officer may accept if signed by someone legally authorized to
sign for applicant.
1. If Certifying Officer accepts, go to II.
2. If Certifying Officer does not accept, reject.
MM#1295
Issued_8/8/11
1
MANAGEMENT SECTION 1200 ELIGIBILITY
MANUAL SUBJECT 1295 Consideration of Applications for Relocation Benefits
/s/CJB
APPROVED
II. Review of Accepted Application
a. Does Application meet requirements for Certification? (See Policy Memorandum
No. 14 (Revised July 27, 2009.)
i. If not and there does not appear to be any misunderstanding on the part of the
Applicant, reject.
ii. If there appears to be a misunderstanding, go to II.a.iv.
iii. If Application meets requirements, recommend certification to the Executive
Director.
iv. If information presented is insufficient to make the Certification decision,
contact Applicant to request additional information.
1. If Applicant provides additional information and it is sufficient to make
the Certification decision, go to II.a.i. or II.a.iii. as appropriate.
2. If no information or insufficient information is provided, contact
Applicant again to request information. Warn Applicant that if information
requested is not provided within forty-five (45) days of Applicant’s receipt
of this request for information, Applicant will be denied for failure of the
Applicant to meet his/her burden of proving eligibility.
a. If Applicant fails to provide information within this time period,
reject.
b. If information provided by Applicant is insufficient to support
Certification, reject.
c. If Applicant provides sufficient information to support
Certification, recommend Certification to Executive Director.
MM#1295
Issued_8/8/11
2
MANAGEMENT SECTION 1300 APPEALS
MANUAL SUBJECT 1310 Eligibility Appeals _/s/CJB__
APPROVED
SECTION 1300 APPEALS
SUBJECT 1310 Appeals of Eligibility Determinations.
AUTHORITY P.L. 93-531; 25 CFR 700.301-321.
POLICY
Applicants who are aggrieved by O.N.H.I.R. determinations of eligibility or benefits may appeal
the Office's determination. An Applicant may appeal a denial issued pursuant to Subpart “L” of 25 CFR
700. The appeal must comply with the requirements of 25 CFR 700.301-321, and the provisions of this
section of the Management Manual. The Office shall conduct an administrative review of initial
determination upon receipt of an appeal. If no timely appeal is submitted, the case will be referred to the
Executive Director for Final Agency Action.
The Office has determined that hearings shall be scheduled in cases of appeal of eligibility
determinations if disagreement about the applicant's entitlement to relocation benefits cannot be resolved
during the less formal Pre-hearing phase of review as set forth in Section 1316 of these procedures or if
the Applicant insists on a hearing despite an agreement of counsel that a hearing would serve no practical
purposes. Whenever holding a hearing is required, the Office will schedule a hearing as set forth in
Section 1316 and 1318.
Hearings shall not ordinarily be scheduled in cases of appeal of determinations of benefit level
which are: amount of housing benefit, bonus, and value of appraisal. If the Applicant disagrees with the
determination amount he/she shall have the opportunity to present his/her arguments during a
Conference, after which the appeal shall be referred directly to the Executive Director for Final Agency
Action if resolution has not been achieved.
Disagreements Not Subject to Appeal. Persons who disagree with O.N.H.I.R. decisions on
matters other than eligibility or benefit amounts may submit their disagreement in writing to the Office.
The matter will be referred to the appropriate operations office for review and recommendation. The
disagreement may be referred to the Executive Director for final resolution.
1311 PROCESS OVERVIEW.
After the eligibility determination is issued by the Certifying Officer, the Applicant aggrieved by
the determination may request reconsideration by filing a written appeal with the Office. Appeals are
received and processed by the Eligibility/Appeals Branch (E/A Branch) according to the procedures set
forth in this section of the Management Manual.
The appeal is processed through three principal levels of review:
1. Pre-Hearing Procedures.
2. Hearing.
3. Final Agency Action.
MM#1310
Issued 11/18/85; Revised and Reissued
8/18/89; 4/4/97; and 9/15/08. Reissued
8/8/11.
1
MANAGEMENT SECTION 1300 APPEALS
MANUAL SUBJECT 1310 Eligibility Appeals _/s/CJB__
APPROVED
The Pre-Hearing Procedures as set forth in Section 1316 of these procedures are mandatory.
Withdrawal of Appeal. An Applicant may withdraw an appeal at any point during the appeal
process, and the case will be closed. Withdrawal of an appeal shall follow the procedures in Section
1314.
Administrative Reversal. If at any point during the appeal process the Office receives
sufficient information to reverse the denial, a Notice of Certification shall be issued and the appeal shall
be concluded. An Applicant may not appeal a Notice of Certification.
1312 ACTIVITIES PRIOR TO RECEIPT OF APPEAL.
After a denial determination has been issued to an Applicant, the Applicant may contact the
Office for additional information prior to deciding whether or not to file an appeal. The contact may be
by phone or in person. The Applicant will be referred to the Eligibility/Appeals Branch.
Staff of the branch shall provide the following information, depending upon the nature of the
Applicant's questions. Staff shall not advise the Applicant regarding the merits of his/her case. Contacts
with denied Applicants will be recorded in the contact file. Staff will explain:
- The reason(s) for denial.
- The process used to arrive at the determination. The staff member shall explain that all
information which the Applicant provided was reviewed. If the Applicant has additional information
which he/she believes may result in a reversal of the determination, the Applicant should file an appeal
and submit the additional information as soon as possible.
- The appeals process, including the time frame for filing an appeal.
- The Applicant’s right to legal representation during the appeal process. The staff members
shall explain the Applicant’s options. The Applicant has the right to present his/her case personally, or
to designate a legal representative of his/her choice who is an attorney at law, State Bar Member or
Navajo Nation Court Advocate. The Applicant may seek representation by a private attorney or an
attorney employed by a legal services program. The staff member shall further inform the Applicant that
free legal services are available through the Navajo-Hopi Legal Services Program or contract counsel
retained by ONHIR to assist Applicants denied Relocation Benefits and provide the Applicant with the
address and phone number of that agency or contract counsel.
Documents Received Prior to the Filing of an Appeal.
Between the date of denial decision and the date the appeal is filed, the agency may receive late
documents from the Applicant. Documents received during this interim period will be forwarded to the
Eligibility/Appeals Branch. Staff will issue the Applicant a letter acknowledging receipt of the
documents, and will advise the Applicant that in order for the documents to be used in support of the
Applicant’s application for benefits, the Applicant must file a timely appeal of the denial.
MM#1310
Issued 11/18/85; Revised and Reissued
8/18/89; 4/4/97; and 9/15/08. Reissued
8/8/11.
2
MANAGEMENT SECTION 1300 APPEALS
MANUAL SUBJECT 1310 Eligibility Appeals _/s/CJB__
APPROVED
1313 INITIAL PROCESSING OF ELIGIBILITY APPEAL.
1. Timeframe for Appealing.
Applicants who submitted applications pursuant to 25 CFR 700.601, Hopi Reservation Evictees,
and Applicants who submitted applications pursuant to 25 CFR 700.147 and were denied on 11/14/85
were allowed 30 days from the date of receipt of denial in order to file an appeal.
As the result of a request by Navajo-Hopi Legal Services Program, the 30 day requirement for
filing an appeal, as stated in 25 CFR 700.307 was extended to 60 days by the former Commissioners, and
applies to all denials issued subsequent to 11/14/85.
2. Filing an Appeal.
a. The Notice of Appeal must be in writing and must clearly state the name of the Applicant who
is appealing a denial determination. No verbal or telephonic requests for an appeal will be accepted by
the Office.
b. The Notice of Appeal must be received at the O.N.H.I.R. within 60 days of the date of the
Applicant’s receipt of the denial determination. The date of the Applicant’s receipt of the denial
determination letter shall be excluded and the 60 day time period shall begin to run on the following
calendar day.
c. If an Applicant is present at the offices of the O.N.H.I.R. and states that he/she is desirous of
appealing a denial determination, the Applicant will be referred to the E/A Branch. E/A staff will inform
the client about the appeal process and will accept a written appeal from the Applicant if the Applicant
chooses to submit an appeal at that time.
d. Appeals submitted by mail will be received and date stamped by the Administrative Branch
prior to routing to the E/A Branch.
e. Appeals submitted in person at the offices of the O.N.H.I.R. will be date stamped as received
by the E/A Branch staff worker.
f. Appeals submitted by FAX or as an attachment to e-mails will be date stamped as received by
the E/A Branch staff worker.
3. Determining the Acceptability of an Appeal.
The E/A staff shall first verify that the appeal meets the definition of an appeal of a eligibility
determination as defined by Office regulations and these procedures. Complaints and inquiries which
fall outside the scope of an appeal shall be routed to the appropriate program manager.
Next, E/A staff shall create an automated appeal record, and will review the appeal for
acceptability.
MM#1310
Issued 11/18/85; Revised and Reissued
8/18/89; 4/4/97; and 9/15/08. Reissued
8/8/11.
3
MANAGEMENT SECTION 1300 APPEALS
MANUAL SUBJECT 1310 Eligibility Appeals _/s/CJB__
APPROVED
Appeals will be reviewed in chronological order according to the date they were received by the
Office. If the E/A staff are unable to determine the acceptability of an appeal, the case will be referred to
the Certifying Officer for determination.
4. Creating an Appeal File.
The automated record will be created by entering the case file number, type of appeal (E or D),
and attorney number in the automated appeals file. After the record has been created, the E/A staff will
enter the date the Office received the appeal, and the type of application.
5. Determining Timeliness of Appeal
The appeal must be received by the O.N.H.I.R. within the time period specified in 1313.1 above.
This time period begins the first full calendar day following receipt of the Notice of Initial
Determination. The Notice is determined to have been received by the Applicant on the date that the
Applicant or the Applicant’s recognized agent personally signs the certified mail return receipt.
Eligibility/Appeals staff will check the date on the return receipt. Next, the staff will compare
this date with the date on the appeal to determine if the appeal was received by the Office within the
specified time period.
6. Clients With No Date Of Receipt Of Notice.
Even though an Applicant was issued a Notice of Denial, there may be no date of Notice receipt
in the Applicant’s file. E/A staff will determine which of the following circumstances applies, calculate
the date of receipt accordingly, and perform data entry of the date.
a. The return receipt is signed but not dated: Use the Tracking Number on the USPS
Certificate of Mailing; go to the USPS website; find the date of receipt and print out a copy of this
document and then enter the date of receipt in the Applicant’s file. Put a copy of the USPS date receipt
document in the Applicant’s file.
b. The Applicant never received the Notice, as demonstrated by lack of return receipt in
the file; or by mail return of the Notice as undeliverable. When the Applicant contacts the Office about
his/her case, E/A staff shall obtain the correct mailing address and will re-issue the Notice, certified mail.
When the receipt is returned to the Office, the date recorded on it will be the date entered in the file.
c. If the Applicant comes to the Office in person and is given a copy of the Notice, the
Applicant will sign and date a statement acknowledging receipt. This date will be entered in the file as
the date of receipt.
7. Appeal Filed Timely.
If the appeal was filed within the specified time period, E/A staff will enter an accept code
(Action #1) into the appeals file through the appeals entry screen, and generate a letter of acceptance .
This letter informs the Applicant or his/her legal representative that the appeal has been accepted.
MM#1310
Issued 11/18/85; Revised and Reissued
8/18/89; 4/4/97; and 9/15/08. Reissued
8/8/11.
4
MANAGEMENT SECTION 1300 APPEALS
MANUAL SUBJECT 1310 Eligibility Appeals _/s/CJB__
APPROVED
8. Appeal Not Filed Timely.
If the appeal was not filed within the specified time period, the appeal will be rejected. E/A staff
will enter a reject code (Action #2) into the appeals file through the appeals entry screen, and generate a
letter of rejection to the Applicant or his/her /legal representative informing him/her that the appeal has
been rejected on the basis that it was not filed timely
9. Letter Accepting/Rejecting Appeal. The letter of acceptance or rejection will be signed by
the Certifying Officer and mailed by certified mail, return receipt requested.
10. Request for Waiver of Time Frame. The O.N.H.I.R. will not consider requests for waiver
of the time limit for filing an appeal of the notice of denial of relocation benefits from those Applicants
from whom the Office received personally signed return receipts but who did not file a timely appeal
except as provided in Policy Memorandum #9 (Revised 2/7/2005.)
11. Processing Documentation Submitted in Connection with Appeal.
Additional documents may be submitted in connection with an appeal, either at the time the
appeal is filed or before or after the receipt of the appeal. Documents received before an appeal is filed
will not be considered unless and until a timely appeal is filed. Documents will be handled according to
the procedures in this section.
a. Request For Access To And Copy Of The Applicant’s File Pursuant To
FOIA/Privacy Act.
If the Applicant or his/her legal representative submits a request for access to and/or
copy of the Applicant’s file in connection with the appeal, the Administrative Branch will receive the
request and route it to the FOIA/Privacy Act Officer for action. The FOIA/Privacy Act Officer will
approve or disapprove the request and inform the requestor of his/her decision.
b. Requests/Petitions To Amend Applicant’s Records.
Requests/Petitions to amend Applicant’s records will be routed to the FOIA/Privacy Act
Officer. Depending upon the nature of the request, information submitted by means of the
Request/Petition will be added to the Applicant record for consideration. Information will not be deleted
from the Applicant’s file unless the Applicant can demonstrate that the Office committed an
administrative error in recording information.
The FOIA/Privacy Act Officer will respond to the request within the time period
specified by law and regulation.
c. Supporting Documentation.
If and only if a timely appeal has been filed, the Office may receive documents submitted
by the Applicant to support his/her claim to eligibility. The documents may be received before or after
an appeal has been filed.
MM#1310
Issued 11/18/85; Revised and Reissued
8/18/89; 4/4/97; and 9/15/08. Reissued
8/8/11.
5
MANAGEMENT SECTION 1300 APPEALS
MANUAL SUBJECT 1310 Eligibility Appeals _/s/CJB__
APPROVED
The E/A staff will screen these documents and determine if the supporting material
includes original documents which should be copied for the file and the originals returned to the
Applicant. The E/A staff will copy the documents and return the originals to the Applicant by regular
mail, with a brief cover letter.
The E/A staff shall determine if the documents contain demographic information which
needs to be entered in the Applicant’s or Applicant’s family member’s file. The information will be
routed to the designated staff person for data entry.
After data entry has been performed, E/A staff will retrieve the case file from the data
room, file the documents and review the case.
If the documentation is sufficient to reverse the denial, E/A staff shall prepare a
recommendation for certification to the Executive Director. Following the Director’s decision, the E/A
staff will generate a Notice of Certification for the Executive Director’s signature.
If the supplemental documentation is not sufficient to reverse the denial, E/A staff will
prepare a letter to the Applicant or his/her legal representative stating that the documentation has been
received but it is insufficient to certify the Applicant.
d. Address Change.
If documentation received in connection with an appeal indicates the Applicant has
moved to a new address, E/A staff will fill out a Change of Address Form and forward it to the
Relocation Operations Branch for data entry.
e. Other Correspondence.
Correspondence which relates directly to the appeal of a denied Applicant but does not
fall into one of the categories above, will be evaluated by E/A staff. The original document will be
placed in the Applicant’s case file and routed to the Certifying Officer who will make a determination as
to the appropriate response.
12. Copying And Mailing Documents Connected With An Appeal.
E/A staff will copy documents and casefiles which must be distributed in connection with the
appeals process. The E/A staff shall request help from other agency branches as necessary in performing
this duty.
If an Applicant has an authorized legal representative, all correspondence relating to the
Applicant’s case will be issued to the legal representative. If the Applicant is self-represented,
correspondence will be issued directly to him/her.
All documents sent to the Applicant or his/her legal representative will be sent by certified
mail/return receipt requested. The certified mail return receipt shall be marked by the E/A staff with the
case file number. The number of the certified mail receipt will be typed on the letter which is sent
certified, so that upon return the receipt can be attached to the correct file document.
MM#1310
Issued 11/18/85; Revised and Reissued
8/18/89; 4/4/97; and 9/15/08. Reissued
8/8/11.
6
MANAGEMENT SECTION 1300 APPEALS
MANUAL SUBJECT 1310 Eligibility Appeals _/s/CJB__
APPROVED
13. Appeals Section of the Case File.
Documents relating to an appeal action will be filed in in the appropriate section of the casefile,
with the eligibility documentation. Documents will be filed in chronological sequence according to date.
1314 WITHDRAWAL OF AN APPEAL.
An unrepresented Applicant may withdraw an appeal at any stage of the appeal process. The
notification of withdrawal of the appeal must be in writing. A represented Applicant, with the
concurrence of the Applicant’s legal representative, may withdraw the appeal at any stage of the appeal
process.
E/A staff will copy the Request for Withdrawal received from the Applicant (or his/her legal
representative) and forward it to the Hearing Officer requesting the Hearing Officer issue an Order of
Dismissal. Upon receipt of the Order of Dismissal from the Hearing Officer, E/A staff will make the
appropriate data entry in the automated system and provide a copy to the Applicant or, for represented
Applicants, to the Applicant’s legal representative.
A copy of Order and Request for Withdrawal of the Appeal will be delivered to the Executive
Director with a request for the entry of Final Agency Action. Upon entry of Final Agency Action E/A
staff will make the necessary data entry in the automated records and provide a copy of the Final Agency
Action to the Applicant or, for represented Applicants, to the Applicant’s legal representative.
Re-opening a Withdrawn Appeal.
A denied Applicant who wishes to re-open an appeal after it has been withdrawn must submit a
written request to the Executive Director setting forth good cause for re-opening the appeal. If the appeal
is reinstated, the Applicant and the Hearing Officer will be informed in writing that the appeal has been
re-opened.
1315 REVERSAL OF DENIAL DETERMINATION.
A determination of denial may be reversed at any time that the Certifying Officer receives
sufficient supporting documentation to conclude that the Applicant is eligible for benefits. The E/A staff
will enter the reversal point (code table 82).
The Notice of Certification will be attached to the case file, along with supporting
documentation, and forwarded to the Executive Director for signature. After approval, the Notice will be
mailed to the Applicant by certified mail, return receipt requested. A copy of the Notice will be issued
to the Applicant’s legal representative. E/A staff will also deliver a copy of the Notice of Certification to
the Relocation Operations Branch for action.
Automated File Record. When the Notice of Certification is generated, the Applicant master
and certification files will be updated to show:
- Applicant is certified.
- Date of (new) determination.
MM#1310
Issued 11/18/85; Revised and Reissued
8/18/89; 4/4/97; and 9/15/08. Reissued
8/8/11.
7
MANAGEMENT SECTION 1300 APPEALS
MANUAL SUBJECT 1310 Eligibility Appeals _/s/CJB__
APPROVED
- Date of certification letter issue.
- Revised agency status.
The Applicant master file and certification file will not show that the Applicant was initially
issued a denial determination. However, the appeals file will show both the initial and the reversal
determinations.
1316 Pre-Hearing Conferences
A Pre-Hearing Conference may be held in each case prior to hearing to clarify the issues and to
enable the parties to better prepare for hearing resulting in a streamlined hearing process.
1. Pre-Hearing Procedure when Applicant is Represented by Counsel
A. Discussion or Conference of Counsel; Report.
Upon receipt of a Notice from the Hearing Officer that the Appeal is pending before the Hearing
Officer, counsels who will present the case to the Hearing Officer shall confer in person or by telephone
to see if they can reach agreement on:
1. Facts which are agreed upon and concerning which no testimony shall be offered.
2. Legal conclusions on which there is agreement.
3. Factual matters which are not agreed on, but which both parties agree are relevant.
4. Legal issues which the parties agree are relevant but on which agreement has not been
reached.
5. Exhibits which the parties stipulate may be admitted at the hearing.
11.Pre-Hearing Procedure When Applicant is Not Represented by Counsel
A. First Pre-Hearing Conference
1. The Hearing Officer shall set a First Pre-Hearing Conference with at least 45 days Notice
to the Applicant and the Officer.
2. At the First Pre-Hearing Conference the Hearing Officer shall advise the Applicant of the
availability of counsel to represent the Applicant without charge (as well as the
possibility of the Applicant retaining private counsel.) If the Applicant decides to seek
representation, the First Pre-Hearing Conference shall be recessed.
MM#1310
Issued 11/18/85; Revised and Reissued
8/18/89; 4/4/97; and 9/15/08. Reissued
8/8/11.
8
MANAGEMENT SECTION 1300 APPEALS
MANUAL SUBJECT 1310 Eligibility Appeals _/s/CJB__
APPROVED
3. If the Applicant wishes to proceed without counsel, then at the First Pre-Hearing
Conference the Hearing Officer shall explain the Hearing Procedures to the Applicant.
4. The Hearing Officer shall also endeavor to obtain agreements with respect to facts in the
case, a listing of possible witnesses for the hearing and the general nature of their
testimony, and a preliminary indication of proposed hearing exhibits.
5. The Hearing Officer shall set the matter for a Final Pre-Hearing Conference and direct
the Applicant to bring information to that Conference on the witnesses to be called at the
hearing and their anticipated testimony, exhibits to be offered, and the position the
Applicant is taking on matters related to eligibility for relocation benefits.
B. Final Pre-Hearing Conference
1. The Final Pre-Hearing Conference shall be held as scheduled by the Hearing Officer.
2. At the Final Pre-Hearing Conference the Hearing Officer shall discuss the needed time
for hearing the matter and set the matter for hearing.
C. Extensions of Time
Any time period set forth in these procedures may be extended by written stipulation of
counsels of record or, in the absence of such a stipulation, by the Hearing Officer for
good cause shown.
111. Administrative Subpoenas and Depositions
A. Upon request of any party the Hearing Officer shall issue an administrative subpoena for
testimony or production of documents and evidence.
1. The party requesting the subpoena shall be responsible to arrange for service of the
subpoena in accordance with the law of the jurisdiction where the subpoena is served
and shall file an appropriate Return or Affidavit of Service with the Hearing Officer.
B. For good cause shown and on 21 days notice to the other party, the Hearing Officer may
permit testimony to be taken under oath by deposition before a Court Reporter or by use
of another method of recording the testimony approved by the Hearing Officer for use
either as part of the discovery process or to become part of the Record in an Appeal.
1. The rules applicable to testimony of “live” witnesses shall govern the admissibility of
deposition testimony.
1317 HEARINGS. 25 CFR 700.301-321.
MM#1310
Issued 11/18/85; Revised and Reissued
8/18/89; 4/4/97; and 9/15/08. Reissued
8/8/11.
9
MANAGEMENT SECTION 1300 APPEALS
MANUAL SUBJECT 1310 Eligibility Appeals _/s/CJB__
APPROVED
After the Pre-Hearing Procedure has been concluded, the appeal is referred to hearing unless:
- The denial has been reversed.
- The appeal has been withdrawn.
The Office has delegated authority to conduct hearings to an attorney, hereinafter referred to as the
Hearing Officer, contracted to provide professional services in this capacity. The Hearing Officer shall
preside over hearings, conducting them according to regulations contained in Subpart “L” of 25 CFR §700;
and procedures of this part of the Management Manual. The Hearing Officer shall submit his/her findings
and conclusions to the Executive Director in the form of a Decision, Findings of Facts and Conclusions of
Law.
1. Hearing Schedule.
The Hearing Officer and O.N.H.I.R. will establish the hearing schedule. The Hearing Officer will
issue Hearing Notices to the parties.
A. In setting the hearing schedule, the Hearing Officer shall consider such factors as whether the
parties are ready for a hearing; the length of time an Appeal has been pending; whether the matter
has previously been continued; the age and health of the Applicant and other factors consistent with
the Settlement Act and the interests of justice.
E/A staff shall data enter the date of hearing in the Applicant’s appeal file, and shall reserve the
hearing room.
2. Hearing Continuances.
Pursuant to 25 CFR 700.311, the Hearing Officer may grant a request for hearing continuance for
good cause shown. If a continuance is granted, the Hearing Officer will issue a new Notice setting the
date, time and place of hearing. E/A staff will update the Applicant’s appeal file from the information
contained in the Office’s copy of the Notice.
3. Hearing Record.
The E/A staff will assure that audio recording equipment is set up in the hearing room and
functioning properly. Hearings shall be recorded and will be labeled and catalogued. The Office shall
contract for the services of a transcriptionist for preparation of a transcript.
4. Interpretation.
When interpretation services are required, interpretation services will be provided by the
Applicant or the ONHIR.
5. Decision of the Hearing Officer.
MM#1310
Issued 11/18/85; Revised and Reissued
8/18/89; 4/4/97; and 9/15/08. Reissued
8/8/11.
10
MANAGEMENT SECTION 1300 APPEALS
MANUAL SUBJECT 1310 Eligibility Appeals _/s/CJB__
APPROVED
The Hearing Officer shall submit a written decision incorporating findings of fact, credibility
findings, conclusions of law, and recommendations to the Office within 60 days of the close of the
hearing record. The Record shall close upon receipt of a Post-Hearing brief or 21 days after the hearing
transcript has been transmitted to the Hearing Officer and counsels of record, whichever date is earlier.
E/A staff shall data enter the date of receipt of the decision and the Hearing Officer's recommendation in
the Applicant’s appeal file. Copies of the decision shall be sent to the Applicant and or his/her legal
representative by certified mail, return receipt requested.
E/A staff will make copies of the Applicant’s file for the Executive Director as instructed.
6. Post Recommended Decision filings.
The provisions of Policy Memorandum No. 17 shall govern post recommended decision filings
and proceedings.
1318 FINAL AGENCY ACTION.
The Hearing Officer’s Decision shall be referred to the Executive Director for Final Agency
Action or remand to the Hearing Officer. A decision of the Executive Director to affirm or reverse the
Hearing Officer’s decision shall constitute Final Agency Action on an appeal under the administrative
review process.
The Executive Director will sign the Notice of Final Agency Action. If the Applicant’s denial
has been reversed, a Notice of Certification will be generated by the E/A Staff for the Certifying
Officer’s signature. After signatures have been obtained; the E/A Branch will make copies of the
documents. The original Notice of Certification will be issued to the Applicant and mailed by certified
mail, return receipt requested. If Applicant is represented by counsel, said counsel will be furnished a
copy of the Notice of Certification of Eligibility for Relocation Assistance Benefits.
The Notice of Final Agency Action shall be mailed directly to the Applicant if the Applicant is
self-represented, by certified mail, return receipt requested. If the Applicant is represented by counsel
the Notice shall be addressed to the Applicant, in care of the attorney of record, by certified mail. Data
Entry of the Final Agency Action shall be conducted by the E/A Staff.
1319 ACTION OF O.N.H.I.R. UPON APPEAL TO FEDERAL DISTRICT COURT.
An Applicant for relocation assistance who has been denied and whose denial has been upheld
by the O.N.H.I.R. administrative appeal process, has the right to file an appeal with the United States
District Court for the District of Arizona. The appeal must be filed within the appropriate statute of
limitations. The U. S. Justice Department will represent the O.N.H.I.R. before the Court.
1. Action of the O.N.H.I.R. Office of Legal Counsel.
Upon receipt of written notice of intent to appeal to District Court, or notice that a complaint has
been filed in the District Court, the O.N.H.I.R. Office of Legal Counsel will conduct a file review and
prepare a summary of the facts and actions in the case. If O.N.H.I.R. Legal Counsel deems it
appropriate to reverse the initial determination of denial, the file review will conclude with a
MM#1310
Issued 11/18/85; Revised and Reissued
8/18/89; 4/4/97; and 9/15/08. Reissued
8/8/11.
11
MANAGEMENT SECTION 1300 APPEALS
MANUAL SUBJECT 1310 Eligibility Appeals _/s/CJB__
APPROVED
recommendation to the Executive Director to certify the Applicant.
a. Reversal of Final Agency Action. If the O.N.H.I.R.’s earlier denial is reversed at
this stage, the Office of Legal Counsel will notify the Information Systems Branch and request
that the automated records be changed to reflect certification of the Applicant and date of the
action. A manual letter will be issued to the Applicant /legal representative and the United States
Justice Department informing them of the certification action. The certified client will be
referred to the Relocation Operations Branch by means of a copy of the certification notice and
will enter case processing according to standard program procedures.
b. No Change in Final Agency Action. If O.N.H.I.R. Legal Counsel does not deem it
appropriate to recommend to the Executive Director to reverse the initial determination of denial,
O.N.H.I.R. will notify the Applicant’s legal representative of the results of the file review.
O.N.H.I.R. Legal Counsel will assist the Assistant U. S. Attorney with litigation as requested.
The O.N.H.I.R. will issue a Notice of Certification to the Applicant if so instructed by the Assistant U. S.
Attorney.
2. Action of the Federal District Court.
The O.N.H.I.R. will receive a copy of the District Court's Memorandum of Decision and Order.
If the Court decides in favor of the appellant, the Office of Legal Counsel will recommend to the
Executive Director whether or not the decision should be appealed to the Appellate Court
If the Applicant is certified eligible for relocation assistance benefits, the Office of Legal
Counsel will notify the Information Systems Branch and request that the automated records be changed
to reflect certification of the Applicant , and date of the action. The certified client will be referred to the
Relocation Operations Branch and will enter case processing according to standard program procedures.
An Applicant whose appeal is denied by the United States District Court for the District of
Arizona has the right to pursue the appeal as provided in the Federal Rules of Appellate Procedure.
MM#1310
Issued 11/18/85; Revised and Reissued
8/18/89; 4/4/97; and 9/15/08. Reissued
8/8/11.
12
MANAGEMENT SECTION 1300 APPEALS
MANUAL SUBJECT 1330 Benefit Appeals ___/s/CJB_
AP PROVED
SECTION 1300 APPEALS
SUBJECT 1330 Appeals of Benefit Amounts
AUTHORITY: 25 CFR 700.301-321
POLICY
A client who disagrees with the Office's determination of benefit amount may file an appeal.
The benefit determinations which may be appealed are (1) amount of housing benefit; (2) amount of
bonus; and (3) value of improvements, if the client owns improvements on the partitioned lands.
These amounts are specified in the Notice of Benefit Determination which is issued by the
Housing Specialist following the initial housing interview. The client shall be allowed 30 days from the
date of receipt of the Notice to file an appeal of the amount of benefit determination. The Office of
Relocation will not accept a benefits appeal which is filed after the Relocation Contract is signed.
When the Office receives an appeal of benefit amount, staff shall conduct administrative review
of the appeal and shall hold an explanatory conference with the client/legal representative as part of the
review process. The Office may schedule a hearing at its sole discretion. The determination to hold a
formal hearing will be made by the Certifying Officer, based upon the results of the explanatory
conference. If the Certifying Officer determines that the circumstances of the case do not warrant a
formal hearing, the case summary with recommendations of the Certifying Officer will be submitted
directly to the Executive Director for Final Agency Action.
PROCEDURES
1331 ACTIVITIES PRIOR TO FORMAL APPEAL.
Prior to receiving the formal Notice of Benefit Determination, clients will be informed during
case planning of the benefit amounts which they will receive. If the client disagrees with the amount of a
benefit, the disagreement must be discussed informally by the client and the Relocation Specialist during
an office conference.
Because the determinations are based largely upon specific procedural formulas, informal
discussion will allow the Specialist to explain the calculations used in reaching the determination. It will
also allow the client to correct any erroneous information which affected the initial calculation.
The methods for computing benefit amounts are set forth in Management Manual Section 1710.
If the client is dissatisfied with the Office's response at the informal stage and wishes to reduce
the grievance to formal appeal, the Specialist will refer the client to the Eligibility/Appeals Branch.
MM#1330 Issued 11/25/85; Reissued 08/18/89; 4/29/96;
-1- 7/06/11, 12/7/16
MANAGEMENT SECTION 1300 APPEALS
MANUAL SUBJECT 1330 Benefit Appeals ___/s/CJB_
AP PROVED
1332 INITIAL SCREENING OF BENEFIT APPEAL.
An appeal of amount of benefit determination must be submitted in writing by the client or the
client's legal representative. No verbal requests for appeal will be accepted by the ONHIR.
The written appeal will be routed to the Eligibility/Appeals staff, who will date stamp the appeal
and enter the type of appeal in automated client records.
Next, the E/A Branch shall determine whether or not the appeal was filed timely. The E/A
Branch will retrieve the client case file from the data room and determine if the appeal was filed within
30 days of receipt of the Notice of Benefit Determination, as recorded on the certified mail return receipt,
filed in the client case file.
1. Appeal Filed Timely.
If the appeal was filed within the 30 day period, the E/A Branch will draft a letter of acceptance
for the Certifying Officer's signature. The letter will inform the client/legal representative that the appeal
has been accepted and they will be notified of the date of the explanatory conference.
2. Appeal Not Filed Timely.
If the appeal was not filed within 30 days, the appeal will be rejected. The E/A Branch will draft
a letter of rejection to the client/legal representative for the Certifying Officer's signature. The letter will
state that the appeal has been rejected on the basis that it was not filed timely.
3. Request for Waiver of Time Frame.
The Office may extend the time period for filing an appeal, on a case by case basis, for good
cause shown. A client whose appeal is rejected as untimely may request the Office to waive the time
limit. The request must be in writing and must state specifically why the client failed to submit an appeal
within the 30 day period.
E/A Branch will review a written request for waiver of the time limit, and shall prepare a
recommendation for decision by Legal Counsel. A manual letter incorporating the Certifying Officer's
decision will be issued to the client/legal representative by regular mail.
Multiple waiver request are possible, the most recent waiver information will be in the
Applicant/Client electronic Hearing record, see case file for previous request.
1333 EXPLANATORY CONFERENCE.
The Eligibility/Appeals staff shall retrieve the manual case file and review the circumstances of
the appeal. The E/A Branch will schedule an explanatory conference within 30 days of receipt of the
appeal. Notification of the conference shall be issued by the E/A Branch to the client/legal representative
approximately 10 days prior to the scheduled date.
MM#1330 Issued 11/25/85; Reissued 08/18/89; 4/29/96;
-2- 7/06/11, 12/7/16
MANAGEMENT SECTION 1300 APPEALS
MANUAL SUBJECT 1330 Benefit Appeals ___/s/CJB_
AP PROVED
1. Request For Continuance.
A request for continuance, submitted by the client/legal representative prior to or during the
conference, shall be approved only if the client requires additional time to obtain documentation which
relates directly to the value determination. The client must specify the exact nature of the documentation
in requesting the continuance (i.e. an appraisal by a certified independent appraiser, whose name is
provided).
The E/A Specialist will approve the request, with the concurrence of the Housing/Inspections
Supervisor. Only one continuance of no more than 30 days will be granted for a benefit appeal. When a
continuance is approved, the E/A Branch will prepare a manual letter notifying the client/legal
representative of the rescheduled date.
2. Determination Summary/Explanatory Conference Record.
In preparation for the conference, the Appeals staff shall fill out the top portion of the
Determination Summary/Explanatory Conference Record , Form MM#1330.1. The top portion states
the type of benefit appeal, the amount of benefit determined by the Office to be correct, and the basis for
the Office's determination. The staff shall record the reason for the client's disagreement with the
determination. The documents from which the information is drawn will be referenced in the Summary.
3. Attendance At Conference.
The client and legal representative shall be present at the conference. No witnesses will be
accommodated at the conference. If the client wishes to submit testimony from third parties in support of
his/her argument, it may be submitted in the form of a written affidavit.
The Relocation Branch Manager or designee and the Eligibility/Appeals Specialist shall
represent the ONHIR at the conference. Other ONHIR staff shall be present as necessary to explain
ONHIR's determination.
4. Conducting The Explanatory Conference.
Depending upon the issue being appealed, the Relocation Operations Branch Manager and/or the
Eligibility Appeals Specialist shall explain agency regulations and procedures which were followed in
making the determination and the calculations which were applied. The client/legal representative shall
explain the reasons for objection to the determination, and may present written documentation to support
a higher benefit determination.
5. Explanatory Conference Determination.
Upon completion of the Explanatory Conference, the E/A Specialist shall complete the
Explanatory Conference Record. The Record shall make note of any follow-up action agreed upon
during the conference, such as: reappraisal, additional record review, field investigation, submittal of
additional information by applicant. The E/A Specialist and Relocation Operations Branch Manager
shall consult on the decision to be recommended to the Certifying Officer.
Within five working days of the explanatory conference, the Certifying Officer will issue a
MM#1330 Issued 11/25/85; Reissued 08/18/89; 4/29/96;
-3- 7/06/11, 12/7/16
MANAGEMENT SECTION 1300 APPEALS
MANUAL SUBJECT 1330 Benefit Appeals ___/s/CJB_
AP PROVED
decision to the client/legal representative. The Certifying Officer shall uphold or amend the original
benefit determination, or inform the applicant that final decision will be issued following completion of
action agreed upon during the explanatory conference. A date certain for final decision will be stated in
the letter. The Appeals Branch shall prepare and mail the determination letter, certified mail, return
receipt.
6. Hearing/Final Agency Action.
If the client objects to the decision issued by the Certifying Officer, he/she may request
reconsideration and a formal hearing. The request will be received by the E/A Branch and forwarded to
the Certifying Officer, who shall determine what further administrative review is appropriate. The
Certifying Officer shall notify the client of his/her decision within 30 days. The Certifying Officer may:
- Remand the case to a designated staff person with instruction
for further review.
- Schedule a formal Hearing. Hearings shall be held according to the regulations in 25 CFR
700.301-321, and Section 1310 of the Management Manual.
-Refer the case for Final Agency Action. The case may be
submitted for Final Agency Action according to the procedures in Section 1319 of this
Management Manual. If no hearing is held, the Certifying Officer will prepare a summary of
the circumstances of the appeal from the case file documentation and submit it to the
Commissioner for decision.
The Eligibility/Appeals staff will prepare a manual letter to the client/legal representative of the
Commissioner's decision. After the Executive Director has signed the Notice of Final Agency Action,
the E/A Branch shall issue the letter certified mail, return receipt.
MM#1330 Issued 11/25/85; Reissued 08/18/89; 4/29/96;
-4- 7/06/11, 12/7/16
MANAGEMENT SECTION 1400 RELOCATION OPERATIONS - COUNSELING SERVICES
MANUAL SUBJECT 1410 Pre-Move Counseling _/s/CJB___
APPROVED
SECTION 1400 RELOCATION OPERATIONS - COUNSELING SERVICES
SUBJECT 1410 PRE-MOVE PLANNING
POLICY.
Following certification all clients are assigned to a Relocation Specialist, who will work with the
client through pre-move planning, housing acquisition, and post-move services. The Relocation Specialist
will gather information required by ONHIR and will inform the client of Office regulations and procedures, as
they apply to the client's particular situation.
Prior to March 1998, counseling and housing functions were performed by separate branches of the
ONHIR. In March 1998 the branches were merged. Older editions of this Management Manual will contain
instructions which reflect the organizational structure of ONHIR prior to the merge.
PROCEDURES.
1410.1 Assignment of Specialist.
The Legal Branch will route a copy of each letter of certification to the Relocation Operations
Branch. The letters may contain special instructions about the case which the specialist must follow during
the development of the client's relocation plan.
The Administrative Assistant will receive the certification letters and make an entry in the client's
automated contact file that the case has been received by Relocation Operations. The Assistant will print a
Case Assignment Form and deliver the form and the client casefile to the Relocation Operations Manager.
The Manager will assign a specialist to the case and route the assignment to the Specialist.
The assigned Specialist shall inform the Manager if there are reasons why the case should be assigned
to someone else. Reasons may include relationship by blood or marriage to the client or a member of the
client's household; or prior relationship between the Specialist and client which might impede an impartial
professional relationship in processing the client's relocation plan. If such a circumstance exists, the Manager
will reassign the client.
When the Specialist signs the Case Assignment Form accepting the case, the Manager will enter the
Specialist's initials in the automated records and countersign the form. The form will be filed in the casefile.
1410.2. Initial Counseling Interview.
The initial counseling interview, also called the initial pre-move interview, will be conducted within
30 days of case assignment. When a new client is assigned, the Specialist will check out and review the
client's casefile. Within seven days, the Specialist will send a letter to the client to make an appointment for
an initial interview. In the letter, the Specialist will instruct the client as to the documents which should be
brought to the interview. The Specialist will also instruct the client about interview expense and
reimbursement.
MM#1410 ISSUED 08/18/89; REVISED AND REISSUED
1 03/02/92; 01/01/99; Dec 31, 2010
MANAGEMENT SECTION 1400 RELOCATION OPERATIONS - COUNSELING SERVICES
MANUAL SUBJECT 1410 Pre-Move Counseling _/s/CJB___
APPROVED
Field Appointments. If the client is unable to travel to Flagstaff, the Specialist may schedule a field
appointment at the client's home or other designated location. The client may be paid travel expense to the
designated location according to standard travel expense procedures.
1410.3 Development of the Household Relocation Plan.
General. The Specialist is responsible for working with the client to develop the client's household
relocation plan. No two plans are identical; each plan must be formulated to meet the specific needs of the
client. The Specialist will advise the client about the procedures which apply to the client's particular case,
and the actions which the client must take in order to receive replacement housing and related benefits.
Procedures affecting the relocation plan are set forth in different sections of the Management Manual, which
will be referenced in the instructions that follow.
1. Basic Information about the Relocation Benefit. At the initial pre-move interview the Specialist
will identify and record all of the household members living with and moving with the client. The Specialist
will inform the client of his/her relocation benefits and will explain the relocation process and answer the
client's questions. Information which the specialist provides will include:
a. Amount of housing benefit and how it’s computed.
b. Infrastructure: What is included and how this increases the benefit amount.
c. Bonus: Amount and when it’s issued.
d. Appraisal: If client owns improvements, their value will be incorporated into the housing
benefit unless the client wants to retain the improvements.
e. Search and moving expenses: How to submit a search expense claim and what activities are
approved; when the moving expense is paid.
The Specialist will obtain the information from the client which is necessary to complete these forms:
1). Household Relocation Plan, Form MM#1410.3 (revised)
2). Client/Spouse Demographic Information, Form MM#1410.4.
3). Survey of Housing Conditions, Form MM#1410.8.
The Specialist will make copies of documents which the client has brought to the interview and will
return the originals to the client before he/she leaves the office. If the client is unable to provide all the
necessary information or documents at the time of the interview, the Specialist will instruct the client to send
them in and will follow up by calling or writing the client until the information is provided.
If the client sends in documents or personally brings them to the Office, the Administrative Assistant
will copy the documents and immediately return the originals to the client.
2. Contents of the Household Relocation Plan, (Form MM#1410.3) The Household Relocation Plan
must contain the following information, depending upon the client's particular circumstances.
a. Client Information. The Specialist will ask the client to confirm basic identifying
information which is already in the casefile (such as birthdate, census number, social security number) and
will enter up-to-date information on the client's mailing address and phone number.
MM#1410 ISSUED 08/18/89; REVISED AND REISSUED
2 03/02/92; 01/01/99; Dec 31, 2010
MANAGEMENT SECTION 1400 RELOCATION OPERATIONS - COUNSELING SERVICES
MANUAL SUBJECT 1410 Pre-Move Counseling _/s/CJB___
APPROVED
b. Client's Pre-Move Location Description. (See MM#1760). The Specialist will record the
client's pre-move location description on the Survey of Housing Conditions, and enter the location code on the
Survey and the HRP. This information will be data entered in the automated records, and will be updated
whenever the client moves to a different location.
c. HPL Residence. The Specialist will make sure the on/off HPL code in the computer
is correct. Changes in a client's pre-move residence which affect the ONHIR's record of HPL residents will be
handled in accordance with MM#1440, HPL Residence Record. Whenever a client moves away from or
back to their home on the HPL, the Specialist will investigate and record the move, and assure that the
automated client master file is brought up to date.
The Specialist will make a final verification of the HPL residence of clients who have a "1"
code at the time of the initial housing interview.
d. Appraisal Information. Also see MM#1610. The Specialist will check the automated
records to learn if the client has an appraisal file. If so, the Specialist will check it out and review the contents
with the client. If the appraisal file is not complete and an initial appraisal or reappraisal has to be conducted,
the Specialist will make an appointment to meet the client at the homesite to conduct the appraisal.
Appraisals will be conducted in accordance with the instructions in the Appraisal Handbook.
The Specialist will assure that the Affidavit of Ownership is signed, and that posting and advertising
are complete.
e. Owner Retention of Improvements. The Specialist will inform the client about the
ONHIR's policy regarding retention of improvements. If the client wants to retain one or more
improvements, the Specialist will list the improvements by improvement number and description on Form
MM#1610.3, Owner Retention of Improvements, and obtain the client's signature. The value of retained
improvements will not be included in the calculation of the client's housing benefit. However, the client must
remove retained improvements within 30 days of relocating to the replacement house. A copy of the retention
form will be placed in the appraisal file and sent to the Hopi Tribe when the property is turned over to Hopi.
f. Household Membership. See MM#1714 for instructions. At the time of the initial
interview, the Specialist must identify all household members living with and moving with the client. The
Specialist will list the verifying documents which have been obtained and which are still needed on the HRP.
Changes which occur in household membership will be recorded and explained on the Case Narrative form up
to the time the contract is signed. Household membership is not updated after contract signing.
g. Duplicate Census Number. The Specialist will determine through checking the casefile,
computer records, and discussion with the client, whether or not the client or any household member has
previously participated in a benefit. If neither the client nor any household member has previously
participated in a benefit, the Specialist will obtain the client's signature on the Household Membership form in
the HRP. If the client or a household member has participated in a benefit, the Specialist will follow the
instructions in MM#1716.
h. Relocation Site. The choice of relocation site determines how the client's case will be
processed. The relocation plan cannot proceed until the client has decided where they want to move.
MM#1410 ISSUED 08/18/89; REVISED AND REISSUED
3 03/02/92; 01/01/99; Dec 31, 2010
MANAGEMENT SECTION 1400 RELOCATION OPERATIONS - COUNSELING SERVICES
MANUAL SUBJECT 1410 Pre-Move Counseling _/s/CJB___
APPROVED
(1). If the client has decided where they want to move the Specialist will record the
preferred relocation site and will follow the procedures for that type of acquisition. If the client wants to
move to an on-reservation location, the specialist will make sure that the client has filled out an application
for a homesite lease on the big reservation or the New Lands. The Specialist may assist the client with
transportation in getting the signatures needed to initiate a homesite lease.
(2). If the client has not decided where to move the Specialist will discuss the
procedures for on- and off-reservation moves and advise the client about the alternatives which are suitable
for the client and household. Consideration of alternatives may include tours of the New Lands.
3. Special Cases. The Specialist will identify any special situations which require out-of-the-ordinary
actions on the client's case. Such situations may include the following:
a. Clients with Accommodation Agreements. Clients who have signed an Accommodation
Agreement (AA) with the Hopi Tribe must relinquish the Accommodation Agreement in order to receive
relocation benefits. The Relinquishment Form, MM#1271L, is available in the word processing library. The
AA must be relinquished before the relocation contract is signed. Generally the AA should be relinquished
after the client's homesite lease has been completed, before the case is transferred into the housing phase of
case processing. However, the Relocation Operations Branch Manager may approve delaying the
relinquishment if the client presents good reasons why they do not want to relinquish until contract signing.
The Relocation Operations Branch Manager's approval must be in writing. The client must relinquish the AA
before signing the relocation contract or the contract will be void.
Signature of Both Spouses on the Relinquishment. If both the husband and wife signed the
Accommodation Agreement, both should sign the Relinquishment Form. The list of people who signed the
Accommodation Agreement is available from the Legal Department or the Relocations Operations Branch
Manager.
Relinquishment Tracking Form. The relinquishment of the AA will be recorded in the
automated records by means of the Relinquishment Tracking Form, MM#1271T. The Specialist will fill
out the Tracking Form, attach a copy of the Relinquishment, and route the form through the Team Leader and
the Relocation Operations Branch Manager for final approval of the Executive Director. Removal of the "7"
action code will be done by the Chief Information Officer When the process is complete, a copy of the
relinquishment will be routed to the Legal Branch for transmission to the Hopi Tribe.
b. Emergency Processing. A client may have an emergency need which requires that their
case receive priority processing. The types of need which justify priority processing are set forth in
MM#1718, Emergency Moves. Cases which are approved as emergency moves will be expedited by the
Specialist and the Inspections and compliance staff.
c. Temporary Emergency Moves. Under certain circumstances, the ONHIR may arrange
temporary housing for an HPL resident who needs an emergency move while their relocation house is being
acquired. Instructions for temporary emergency moves are stated in MM#1722.
d. Client Needs Legal Assistance. The client may require legal assistance in order for the
case to move forward. Instructions for requesting ONHIR-sponsored legal assistance in cases of low-income
clients needing a divorce, name change, or other legal service are found in MM#1744.
MM#1410 ISSUED 08/18/89; REVISED AND REISSUED
4 03/02/92; 01/01/99; Dec 31, 2010
MANAGEMENT SECTION 1400 RELOCATION OPERATIONS - COUNSELING SERVICES
MANUAL SUBJECT 1410 Pre-Move Counseling _/s/CJB___
APPROVED
e. Power of Attorney. A client who is capable of making the decisions required to process
their case but who is not physically able to travel to the ONHIR because of their job or other legitimate reason
may appoint a power of attorney according to MM#1742.
f. Conservatorships and Guardianships Cases in which the client is not capable of planning
and accomplishing their relocation will be staffed by the Specialist, Team leader, Relocation Operations
Branch Manager, Executive Director, agency Legal Counsel, and other appropriate staff. A course of action
which will protect the client's interests and the Government's interests will be determined. The case may
require special assessment and legal intervention by the ONHIR's contract attorney. Instructions for such
cases are contained in MM#1746.
g. Handicapped Clients. The Specialist is responsible for determining if the client or a family
member moving with the client has a handicap which requires physical modifications to the replacement
house. The specialist will work with the Inspections and compliance staff and the contractor to make sure
that the house modifications are incorporated into the house plans.
4. Housing Information: Contractor Sales and Solicitation Practices. The Specialist will advise their
clients not to engage in discussions with contractors or realtors about acquiring a relocation house until their
case is transferred to the housing phase. The ONHIR will not be bound by any agreement between a client
and a contractor/realtor which takes place outside of the approved housing acquisition process.
The Specialist will advise the client that they may not request or accept inducements from a
contractor. All items promised by the contractor must be included in the contract. The prohibition on
inducements does not extend to job offers. However, verbal promises of employment will not be included in
the contract and are not enforceable against the contractor.
5. Form MM#1410.4 Client/Spouse Demographic Data. The Specialist will fill out form
MM#1410.4 Client/Spouse Demographic Data during the initial interview. During update interviews the
specialist will ask if any of the information has changed, particularly employment status and income.
Changes will be routed to the secretary for data entry.
6. Form MM#1410.8 Survey of Housing Conditions. The Survey of Housing Conditions, form
MM#1410.8, is conducted in order for ONHIR to respond to questions from members of Congress and
Congressional appropriations subcommittees about the locations and living conditions of people who are
awaiting relocation benefits. The Survey also enables the ONHIR to prioritize clients requiring emergency
moves because of hazardous or substandard housing.
The Survey will be conducted at the time of initial interview and anytime thereafter that the client
moves to a different house. Questions on the Survey are largely self-explanatory, but instructions for filling it
out are detailed in MM#1410 Attachment A.
7. Document Check and Data Entry. Documents collected during the interview will be copied and
the originals returned to the client. Completed forms and copies of required documents will be routed to the
Administrative Assistant for data entry. The Assistant will check the documents to verify that the
information is complete and the codes have been recorded. Documents which are incomplete will be returned
to the specialist for completion.
MM#1410 ISSUED 08/18/89; REVISED AND REISSUED
5 03/02/92; 01/01/99; Dec 31, 2010
MANAGEMENT SECTION 1400 RELOCATION OPERATIONS - COUNSELING SERVICES
MANUAL SUBJECT 1410 Pre-Move Counseling _/s/CJB___
APPROVED
1410.4 Determination of Required Actions and Case Updates.
General. Throughout the relocation process, the Specialist will focus on identifying and completing
the actions required to move the client's case through the steps required for relocation case processing.
Identification of required actions will begin with the initial counseling interview and will end when the final
post move visit is completed. The Specialist will contact the client as often as necessary to assist the client
with the actions which are necessary to accomplish the client's relocation.
1. Biweekly Activity Schedules. The Specialist(s) will submit biweekly schedules of field and office
visits a week in advance. Any changes will also be submitted. The schedules are submitted to the Team
Leaders, Administrative Assistants and the Relocation Operations Branch Manager.
2. Action Codes. At the conclusion of the initial counseling interview, the Specialist will determine
the actions which need to be completed before the client can be scheduled for the initial housing interview.
The Specialist will write the action codes and a brief description of the required actions (code table 159) on
the HRP. The Specialist will also enter the action code and the beginning date for the action in the Action
Code computer file.
After entering the action code, the Specialist will pull up the Case Narrative screen and write up a
narrative report. The Specialist will transfer the case narrative from the word proccessing folder to the Action
Code file. The narrative should not be deleted from the word processing folder until the following day. The
Specialist will also print the Case Narrative screen to be filed in the client's casefile.
3. Tracking Required Actions and Updating the Relocation Plan. No less frequently than every two
months the Specialist will update the client's records by checking progress on the actions required to move the
case forward. If the plan requires the client to take specified actions, the Specialist will contact the client by
phone, mail, or field visit to determine progress on the action. If the plan requires action by the Specialist,
he/she will write up what he/she has done on the case. If the client is applying for a homesite lease, the
Specialist will check regularly with Inspections and Compliance staff to determine the status of lease
processing.
4. Completed Actions. When an action has been completed, the Specialist will write it up on the case
narrative and route the report and any supporting documents to the Team Leader. If the Team Leader agrees
that the action has been successfully completed, he/she will approve the write-up and enter the completion
date in the client's Action Code file.
If the Team Leader determines that the action has not been successfully completed, he/she will return
the Case Narrative to the Specialist with instructions. The action will remain open.
5. Case Narrative Updates. Information about the client's case will be recorded on the Case Narrative
Form MM#1410.7, which will be printed and filed in the client's casefile. The Narrative will describe
required actions, progress on the actions, completion activity, and other information which the client provides
about the household.
6. Updating Demographic Information. At the time of the initial interview the Specialist will ask the
client to call and provide information whenever changes occur which affect the client's records. The most
common changes are: changes in household membership; change in employment, job location or amount of
MM#1410 ISSUED 08/18/89; REVISED AND REISSUED
6 03/02/92; 01/01/99; Dec 31, 2010
MANAGEMENT SECTION 1400 RELOCATION OPERATIONS - COUNSELING SERVICES
MANUAL SUBJECT 1410 Pre-Move Counseling _/s/CJB___
APPROVED
income; and preferred relocation site.
7. Recording Changes to Demographic Information. The Specialist will generate printouts of the
Household Membership Inquiry screen and the Income screen, and will record any changes to demographic
information on these printouts. The Specialist will route these printouts and any supporting documentation
(ie. household member documents) to the Administrative Assistant for data entry. The printouts will be
discarded after the Team Leader has reviewed the case update. Information about the demographic changes
will be recorded in the case narrative.
8. Survey of Housing Conditions. The Specialist will readminister the Housing Survey
(MM#1410.8) whenever the Specialist learns that the client has moved from the house described in the earlier
survey to a different house. The new housing questionnaire will be routed to the Administrative Assistant for
data entry. Minor changes to the location description such as phone numbers will be written on a printout of
the location description and routed to the Administrative Assistant for data entry.
1410.5 Transfer to Home Search.
General. When all actions required to make a case ready for the initial housing interview have been
completed, the Specialist will prepare the case for review by the Team Leader and transfer to Home Search.
The basic actions which must be completed are: 1) acquisition of a homesite lease; 2) verification of
household members who will participate in the benefit, and 3) verification of income and employment for
clients moving off-reservation. In addition, the case may present special action requirments depending upon
the client's circumstances.
1. Completion of Page 1 of Checklist. When all actions required to schedule an initial housing
interview have been completed, the Specialist will select the Relocation Services Checklist which applies to
the client's case and fill out page 1. Page 1 replaces the former Tracking Forms used to transfer the case to
housing.
2. Review by Team Leader. The casefile and page 1 of the Checklist will be reviewed by the Team
Leader. If all required counseling actions have been successfully completed, the Team Leader will sign page
1 and enter 'HS' (Home Search) as the client's agency status. This entry automatically enters the date the case
was transferred to HS in the client master file.
3. Preparation for Initial Housing Interview. After the Team Leader has approved the case for Home
Search, a copy of page 1 of the checklist is given to the specialist and the original is filed in the casefile.
The Specialist will schedule the client for the initial housing interview. See the Housing Acquisition
Procedures, MM#1640.
MM#1410 ISSUED 08/18/89; REVISED AND REISSUED
7 03/02/92; 01/01/99; Dec 31, 2010
MANAGEMENT SECTION 1400 RELOCATION OPERATIONS - COUNSELING SERVICES
MANUAL SUBJECT 1410 Pre-Move Counseling _/s/CJB___
APPROVED
1410.6 Contact File and Casefile Records.
1. Documents Sent to the Casefile. The original or a copy of each document pertaining to the client's
case will be filed in the client casefile, including copies of letters sent to the client and intra-office memos
about the status of the case (see MM#6310).The Specialist is responsible for personally filing the document
or routing the document to the File Room immediately after he/she has received and copied the document.
Working files/Mini-files. Specialists may keep working desk files with copies of documents relating to case
processing provided the originals have already been inserted into the casefiles.
2. Contact File. All efforts to contact the client by mail, phone, or field visit, whether successful or
not, will be recorded in the automated contact file. Brief information regarding the status of the client's case,
including intra-office actions, will be recorded in the automated contact file.
3. Changes in Household Membership and Demographic Information.
After the household membership, housing survey, and demographic information on the client has been
recorded on manual forms and in the automated records, the Specialist will ask the client to inform him/her of
any changes which occur. Changes will be recorded on printouts of the inquiry screens for data entry by the
Administrative Assistant. Depending upon the nature of the change, the Specialist must submit supporting
documents to the secretary to verify the accuracy of the change.
Copies of the supporting documents will be filed in the casefile. The handwritten changes on the
printouts may be filed in the casefile, if they contain narrative information which explains or expands upon
the demographic changes.
1410.7 Recommendations to the Executive Director.
The Office of Relocation has developed procedures to address special situations in which clients may
find themselves. Most of these situations and procedures are set forth in Management Manual Vol. 4, Section
1700. Other situations unique to a particular client may arise. A client's case may require special
consideration not covered by the procedures; or a client may request a waiver of the procedures.
Special cases and requests for waivers will adhere to the following process:
1). Client Request. The request must be justified by the client and supported with any appropriate
documentation.
2). Specialist Evaluation. The request must be evaluated by the Specialist. The Specialist will
analyze the information presented by the client, including documentation submitted in support of the request.
The Specialist will review casefile records of previous interviews and contacts with the client, and the client's
previous history (employment, income, family members, etc; depending upon the nature of the request) to
determine if the information supports the reasons given by the client for the request. The Specialist will
determine if:
a. The documentation supports the client’s arguments;
MM#1410 ISSUED 08/18/89; REVISED AND REISSUED
8 03/02/92; 01/01/99; Dec 31, 2010
MANAGEMENT SECTION 1400 RELOCATION OPERATIONS - COUNSELING SERVICES
MANUAL SUBJECT 1410 Pre-Move Counseling _/s/CJB___
APPROVED
b. The request is in the best interests of the client;
c. The request complies with ONHIR policy and procedures; and
d. The circumstances support a Waiver.
3). Specialist Recommendation. The Specialist will prepare a written recommendation on the request
and will submit it to the Team Leader and the Relocation Operations Branch Manager for review.
a. Recommendation of the Request. If the Specialist determines that the client's request is
justified by casefile information and conforms to Office policy, or merits a waiver, the request will be
forwarded to the Executive Director for final decision following concurrence by the Team Leader and the
Relocation Operations Branch Manager.
b. Recommendation Against the Request. If the Specialist determines that the client's request
is not supported by documentation submitted and records of previous contact with the client; or is not in the
best interests of the client in terms of accomplishing a successful relocation; or if the request is contrary to
Office policy and procedures and does not merit a waiver; the Specialist will prepare a written
recommendation against the request and submit it to the Team Leader and the Relocation Operations Branch
Manager for review.
Following concurrence by the Team Leader and Relocation Operations Branch Manager, the
Specialist will meet with the client to discuss the reasons why he/she does not support the request.
4). The client's request and specialist's recommendation will be submitted to the Executive Director
for final approval after it has been endorsed by the Team Leader and Relocation Operations Branch Manager.
5). A client who is dissatisfied with action taken at any level may appeal directly to the Executive
Director.
Situations in which the client may ask for special consideration or a waiver of procedures typically
include:
* household membership issues
* off-reservation relocation site
* off-reservation income waiver
* request for legal assistance paid by ONHIR
* emergency moves
The Specialist may not submit the client's request for a waiver through the chain of command without
first evaluating and writing up specifically why he/she recommends or does not recommend the request.
MM#1410 ISSUED 08/18/89; REVISED AND REISSUED
9 03/02/92; 01/01/99; Dec 31, 2010
MANAGEMENT SECTION 1400 RELOCATION OPERATIONS - COUNSELING SERVICES
MANUAL SUBJECT 1410 Pre-Move Counseling _/s/CJB___
APPROVED
1410.8 QUALITY ASSURANCE
GENERAL. The counseling phase Team Leader will exercise quality control of the counseling
process by reviewing written interview reports (case narrative forms and other formats) and related
documents, and by conducting follow behind field visits to clients' homes. The purposes of follow behind
field visits are to: 1) assure that clients are receiving timely and accurate information about relocation
program requirements and processes; 2) provide special assistance to clients whose cases exhibit special
problems; and 3) evaluate work load factors such as amount of time required for field travel and interviews.
1. Schedule. The Team Leader will spend a minimum of four days per month making follow-up
contacts with clients. At least three of the four days will be spent in the field visiting clients at home or
workplace, as practicable. A schedule of the field visits will be distributed to the Administrative Assistants
the Housing Team Leader and the Relocation Operations Branch Manager. The fourth day may be spent
conducting follow-up through phone calls to clients living off-reservation at a distance which makes field
visits impractical (i.e. Tucson, Provo).
The clients to be visited will be selected as follows: (1) clients who are priority for contact (HPL
residents and clients who have relinquished the AA); (2) clients whose cases exhibit special problems; and (3)
clients selected at random from the specialists' SC caseload, with an approximately equal number of reviews
performed for each Specialist;
The Team Leader will review the specialist's calendars for the preceding two week period and will
select several clients to visit who live in the same general area of the reservation. The Team Leader will plan
to visit 3 - 5 clients during the field trip. The number actually visited will depend upon time required for
travel and the amount of time spent at each home. The Team Leader will select more than 5 clients to visit, as
it is anticipated that some clients will not be at home when the Team Leader arrives.
Clients whose cases exhibit special problems. Based upon familiarity with cases from casefile review
and discussion with Specialists, the Team Leader will select clients who have special problems and have made
little or no progress in developing a relocation plan. The Team Leader will work in phone and field contact
with these clients along with the scheduled field trips.
2. Reviewing the Case. Prior to the field visit, the Team Leader will review the casefile and the
contact and narrative reports submitted by the Specialist following the recent interview with the client. The
Team Leader will familiarize himself/herself with the basic information about the case and subjects discussed
during the recent interview.
3. Conducting the Interview. The Team Leader will discuss the client's case with the client, and will
ask questions about the client's satisfaction with the pre-move counseling process. The Team Leader will
make notes about the discussion during the interview or immediately after it has concluded. The Team Leader
may ask:
- Is the client satisfied with the amount of time the Specialist spends with him/her, in terms of
frequency of contacts and amount of time spent during the contact?
MM#1410 ISSUED 08/18/89; REVISED AND REISSUED
10 03/02/92; 01/01/99; Dec 31, 2010
MANAGEMENT SECTION 1400 RELOCATION OPERATIONS - COUNSELING SERVICES
MANUAL SUBJECT 1410 Pre-Move Counseling _/s/CJB___
APPROVED
- Is the client satisfied with the information which the Specialist has provided about the
relocation process?
- Is the client satisfied with the information which the Specialist has provided about what the
client would face during and after relocation?
- Is the client satisfied with the help that the Specialist has provided him/her in preparing for
relocation?
4. Report on Interview. Upon returning to the office, the Team Leader will prepare a brief report of
the interview with each client. The Team Leader will meet with the client's Specialist to discuss the interview
results and any statements by the client about information or assistance needed.
5. Report to Relocation Operations Branch Manager and the Executive Director. The Team Leader
will submit a brief report on the field interview and follow-up discussion to the relocation Operations Branch
Manager and the Executive Director. If the Team Leader observed discrepancies between the Specialist's
narrative reports and the client's statements of services received, the Team Leader will note them. The Team
Leader will include any comments and observations which should be brought to the Relocation Operations
Branch Manager's attention.
6. Action of the Relocation Operations Branch Manager. The Manager will review the report and
discuss it with the Executive Director if necessary. The Manager will provide the Team Leader with any
needed follow-up direction.
MM#1410 ISSUED 08/18/89; REVISED AND REISSUED
11 03/02/92; 01/01/99; Dec 31, 2010
MANAGEMENT SECTION 1400 RELOCATION OPERATIONS - COUNSELING PROCEDURES
MANUAL SUBJECT 1440 Hopi Partitioned Land Residence Record _/s/CJB_
APPROVED
SECTION 1400 COUNSELING PROCEDURES
SUBJECT 1440 Hopi Partitioned Land Residence Record
POLICY. The Office will maintain a record of the certified clients living on the Hopi Partitioned
Lands, (HPL) This record will distinguish certified applicants whose current actual residence is located on
the HPL from certified applicants who have moved from the HPL pursuant to the terms of P.L. 93-531, as
amended, and are awaiting benefits. The HPL residence record is not intended to reflect the client's claim to
legal HPL residence, which was validated at the time the client was certified.
Definition. "Current actual residence" is the dwelling where the client has his/her possessions, and to
which he/she returns on a regular basis at the end of the day. A client whose immediate family (spouse and
children) occupies the dwelling on a daily basis even though the client is away for employment or other
reasons, may also be considered a current actual resident of the dwelling.
The HPL residence record is subject to change, to reflect the client's move from or back to their
original HPL homesite.
Information about the location of the client's actual residence will be recorded and maintained by the
Relocation Specialist. The Specialist will be responsible for updating this information up to the point in time
that the Relocation Contract is signed. The HPL residence record will not be updated after contract signing.
PROCEDURES.
1441. Creating and Maintaining the HPL Residence Record.
1. Pre-Move Location Description. The HPL record will be based upon information about the
location of the client's house. This information is recorded on pg. 1 of the “Survey of Housing Conditions,”
which is administered at the time of the initial interview or during an update contact. The Survey will be re-
administered at the time of an update contact whenever the Specialist learns that the client has moved from
the house described in the initial survey to a new house.
2. Checking the Client Master HPL Code Against the Pre-Move Location Description and Code.
Page 1 of the Housing Survey has a question which asks whether or not the location of the client's pre-move
residence is on the HPL. After checking the appropriate entry, the Specialist will check the automated client
master file to determine if the client is currently listed as an HPL resident (HPL code '1'). If the client needs to
be added to or deleted from the HPL file, the Specialist will fill out an HPL Residence Record.
3. HPL Residence Record. The HPL Residence Record, Form MM#1440.1, will be filled out by the
Specialist to correct the HPL code in the client master file if the pre-move location of the house and the
master HPL code do not agree. That is:
-The client has an HPL code of ‘1' but the client is living off of the HPL and the location description
and the current location code show an off-reservation location.
OR
MM#1440 APPROVED 4/30/90; REVISED AND
1 REISSUED 8/20/90; 4/26/96; 3/27/98;
Dec 31, 2010.
MANAGEMENT SECTION 1400 RELOCATION OPERATIONS - COUNSELING PROCEDURES
MANUAL SUBJECT 1440 Hopi Partitioned Land Residence Record _/s/CJB_
APPROVED
-The client is living on the HPL on a daily basis but has no HPL code. This could occur under three
(3) circumstances:
a. The client has always lived on the HPL but the information was not entered in the file due to
an administrative error;
b. The client has recently been certified and the file information about the client is incomplete.
c. The client has returned to his/her HPL homesite after living off of the HPL for a period of
time.
4. Correcting an Administrative Error. If information in the client casefile shows that the client has
always lived on the HPL but was not listed in the HPL file due to administrative error, the Specialist will fill
out page 1 of the HPL Residence Record. The Specialist will consult with the Legal Department and will
obtain concurrence with the determination that the client is a long term resident of the HPL. Legal Branch
designated staff member will sign the form after the Team Leader has reviewed it.
5. Newly Certified Clients. HPL clients who have been recently certified through the appeals
process, the divorced spouse eligibility review, or other Office procedures, will not have a current location
description, and may not have an HPL code. The Relocation Specialist will fill out the HPL Residence
Record Form and route the form to the Team Leader. The Legal Department designated staff member will
sign the form after the Team Leader has reviewed it.
6. Client Who Has Returned to the HPL. Part 2 of the Residence Record Form will be filled out by
the Specialist for clients who are being added to the HPL record because they have moved back to the HPL.
In order to be added to the record, the client must meet the following criteria:
a. They must have returned to the quarter quad location which they claimed as their original
homesite when they were determined eligible for benefits. If the original dwelling no longer exists,
the client must have returned to another existing dwelling within the same camp.
EXCEPTION: A client who has not yet received benefits will not be added to the HPL List if they
have returned to an improvement which has been quit-claimed to ONHIR by the owner of record, and
turned over to the Hopi Tribe.
b. They may not have another place of resident located off of the HPL (with the exception of
full-time students, clients who are enlisted in the military, or incarcerated clients.)
c. They must submit an Affidavit of HPL Residence, Form MM#1440.5.
In order to fill out Part 2, the Specialist will conduct a field visit to the client's HPL residence and
interview the client about their return to the HPL. If the information provided by the client does not
demonstrate clearly that the client has returned permanently to the HPL and relinquished the off-HPL
residence, the Specialist shall interview the client's former landlord or residents of the dwelling which the
client occupied prior to returning to the HPL. The Specialist shall verify that the client and the client's family
have vacated the residence off the HPL.
MM#1440 APPROVED 4/30/90; REVISED AND
2 REISSUED 8/20/90; 4/26/96; 3/27/98;
Dec 31, 2010.
MANAGEMENT SECTION 1400 RELOCATION OPERATIONS - COUNSELING PROCEDURES
MANUAL SUBJECT 1440 Hopi Partitioned Land Residence Record _/s/CJB_
APPROVED
7. Waivers to the Residency Requirement. In order to maintain integrity of records, a code of "1"
will be used only to designate current actual residents of the HPL. However, the Office recognizes that clients
who are living off the HPL because they are full-time students, are enlisted in the military, or are incarcerated,
have not left the HPL with the intention of establishing residence elsewhere. These cases should be handled
as follows.
a. When an HPL resident leaves the HPL for school, military, or incarceration, the Specialist will fill
out pg. 1 of the Residence Record Form. The client's residence status will be changed from a "1" to a
"W". If the client's school, military enrollment or incarceration has ended and the client did not
return immediately to the HPL, the client is not entitled to a waiver.
b. Documentation to Support Waiver. In order for a waiver to be approved, the casefile must
document the client's status as a student, in the military, or incarcerated. A client who has enlisted in
the military will be requested to submit copies of the induction or discharge papers. A student shall
be requested to submit copies of transcripts for the current school year.
8. Review by Team Leader and Relocation Operations Branch Manager. The HPL Residence Record
will be forwarded to the Team Leader, who may require additional field investigations and documentation
before recommending the add/delete action. The Team Leader will route the form to the Relocation
Operations Branch Manager and the Executive Director after completing the review.
9. Approval by Executive Director. The Executive Director will approve or disapprove the change to
the HPL residence record.
10. Data Entry. Following the Executive Director's approval, the form will be routed to the Chief
Information Officer who will perform data entry and initial the form. The original will be routed to the data
room for the casefile and a copy will be retained by the Information Systems Branch.
MM#1440 APPROVED 4/30/90; REVISED AND
3 REISSUED 8/20/90; 4/26/96; 3/27/98;
Dec 31, 2010.
MANAGEMENT SECTION 1400 RELOCATION OPERATIONS - COUNSELING SERVICES
MANUAL SUBJECT 1460 Post Move Counseling
_/s/CJB__
APPROVED
SECTION 1400 RELOCATION OPERATIONS - COUNSELING SERVICES
SUBJECT 1460 Post Move Counseling Services
AUTHORITY: 25 CFR 700.135.
POLICY.
After the client has moved into the relocation house, the Office of Navajo and Hopi Indian Relocation
will provide post-move services for two years. Post -move services fall into two categories: housing services
and counseling services.
Housing Services.
1. Warranty. The ONHIR enforces a requirement for a two year warranty on all new construction
homes on the Navajo Reservation regardless of the state in which they are located. Houses built off-
reservation out-of-state are warranted according to state or local law. Resale houses may be covered by
warranty, depending upon their age and location. The Office's responsibility for assuring that any defects in
original construction will be corrected by the contractor is described in the Warranty Program Procedures,
MM#1560.
2. Home Maintenance Training. The Office will conduct home maintenance training with all
clients within 60 days of their relocation. The Home Maintenance Training Program Procedures are described
in MM#1575.
Counseling Services.
The two year period following relocation is a transition period during which staff of the ONHIR will
maintain direct contact with relocatees to the extent described in this section. As of the date of this revision
of Form MM#1460, the ONHIR will not contract for post-move counseling services as it has in previous
years. A client's participation in the Post-Move Services Program will terminate after two years. Under
limited circumstances, as authorized by ONHIR management, services may be extended beyond two years on
a case by-case-basis.
PROCEDURES.
1. Contact Schedule.
The Post-Move /Relocation Specialist will continue to work with the client after he/she has relocated.
Clients will be contacted once after relocating; within the first four months. Additional contacts may be
scheduled as requested by the client or as directed by the Relocation Operations Branch Manager until the
post -move period expires.
MM#1460 ISSUED 03/27/98; REVISED; RE-
1 ISSUED Dec 31, 2010.
MANAGEMENT SECTION 1400 RELOCATION OPERATIONS - COUNSELING SERVICES
MANUAL SUBJECT 1460 Post Move Counseling
_/s/CJB__
APPROVED
2. Making A Contact Appointment.
For purposes of these procedures, "contact" means a person-to-person discussion between the Post-
Move /Relocation Specialist and the client, either by phone or visit to the client's house, as dictated by
program needs.
1. Client Contact Report. Clients who have relocated who require a post move visit are listed on the
automated client contact report, which is generated and delivered to the Post-Move/Relocation Specialist
monthly. The report shows the date when a contact is due.
2. Scheduling the Appointment. The Specialist will phone or write the client and make an
appointment for a home visit. If a client cannot be contacted by phone and is not responsive to a letter, the
Specialist may include the contact in a schedule of post-move visits to the geographic area where the client
has moved.
3. Rescheduling Appointments. If the client is not home at the scheduled appointment time, the
Specialist will reschedule the home visit. If the Post-Move/Relocation Specialist is unable to make personal
contact with the client after two attempts, the Specialist will write to the client and tell him/her that the
Specialist will leave it to the client to initiate further contact.
4. Clients Relocated to Distant Locations. Clients who have moved out of state, farther than New
Mexico or Utah, or beyond the Four Corners area will generally be contacted by phone or letter. Home visits
may be made upon written documentation of need with the approval of the Executive Director.
3. Purpose of Contact
General. The Post-Move/Relocation Specialist will contact the client in order to gather information
about the client's situation since relocating, and to provide the client with information about local service
agencies which may be able to assist the client, if referral assistance is required. In exceptional circumstances
the Specialist may provide limited informal counseling during assessment of the client's need for referral to
appropriate service agencies.
The post-move contact will have three principal concerns.
1. The Relocation House. The Post-Move/Relocation Specialist will discuss the client's adjustment
to the new house, and any concerns the client may have about the house. The Specialist will remind the client
that if there are problems which may be covered by warranty, the client should contact the Inspections and
Compliance staff before the warranty expiration date and request an inspection. The client may phone or
write Inspections and Compliance staff about the problem; or the Specialist may help the client fill out the top
portion of the Warranty Complaint Form (Form MM#1560.1). The Specialist will turn in the form to the
Administrative Assistant upon return to the office.
2. Referral Needs. The Post-Move/Relocation Specialist will discuss the client's need for referral
services. The Specialist will ask the client if he/she is utilizing services available from local service
providers, and the results of the client's contacts with the service agencies. The Specialist may intercede with
MM#1460 ISSUED 03/27/98; REVISED; RE-
2 ISSUED Dec 31, 2010.
MANAGEMENT SECTION 1400 RELOCATION OPERATIONS - COUNSELING SERVICES
MANUAL SUBJECT 1460 Post Move Counseling
_/s/CJB__
APPROVED
service providers on the client's behalf. The Specialist will record the client's referral service needs on the
Record of Post -Move Counseling Visit, Form MM#1460.1.
3. General Update on the Family's Situation. The Post-Move/Relocation Specialist will inquire into
the other subjects listed on the Record of Post-Move Visit, including: employment, income, school enrollment
of children. The Specialist will check on the client's continued receipt of non-wage income/resources, such as
Social Security, AFDC, Food Stamps, etc. The Specialist will complete the Record of Post-Move Visit within
one week of the contact visit. Additional information may be recorded on the Case Narrative form.
MM#1460 ISSUED 03/27/98; REVISED; RE-
3 ISSUED Dec 31, 2010.
MANAGEMENT SECTION 1500 RELOCATION OPERATIONS-INSPECTIONS-COMPLIANCE
MANUAL SUBJECT 1520 Land Leases __/s/CJB_
APPROVED
SECTION 1500 RELOCATION OPERATIONS - INSPECTIONS AND COMPLIANCE
SUBJECT 1520 RESERVATION LAND LEASES, ASSIGNMENTS, AND OTHER
TYPES OF ACQUISITIONS
POLICY.
A client who wants to relocate to reservation lands must first obtain a lease or assignment issued
by the tribe exercising jurisdiction. The Office of Navajo and Hopi Indian Relocation will administer an
in-house homesite lease program to assist the client with lease and assignment processing. The homesite
lease program will be administered by the inspections and compliance staff (hereinafter referred to as
“Relocation Operations designated staff or the Homesite Lease Specialist”) assigned to the Relocation
Operations Branch. The process followed by staff in assisting a client with a lease acquisition will vary
according to the type of acquisition and location of the site.
The majority of leases requested by clients are located on the Navajo reservation. Guidelines
established by Navajo Land Department (NLD) for homesite lease applications are set forth in the
homesite lease application packet. (NOTE: Those sections of Attachment A regarding homesite
certificates are not applicable to relocation clients). In addition to leases located on tribal lands on the
existing Navajo reservation, will assist clients with residential leases on private land allotments; land
assignments on the Hopi reservation; New Lands rural community and range cluster housing leases;
leases awarded by other tribes; subdivision leases; and a few other types of land acquisitions.
PROCEDURES.
1521 HOMESITE LEASES ON THE EXISTING RESERVATION: INITIAL
APPLICATION PHASE.
General: Homesite Lease processing generally takes place concurrently with the counseling phase
of case processing. A client must be certified for benefits in order to receive lease processing assistance
from the Office. Clients will be referred to this section of the Relocation Operations Branch as soon as
the Specialist determines that the client wants to pursue a homesite lease on the Navajo Reservation.
A certified client may contact the Navajo Land Department (NLD,) independent of the relocation
process in order to obtain a lease application packet and start the lease acquisition process.
When a client is referred for homesite lease processing, the Homesite Lease Specialist will check
the automated records to verify that the client has been certified eligible for benefits. The client will be
interviewed about the proposed location of the lease to determine which type of application is appropriate,
and will advise the client about the actions which the client must take during the application process.
Relocation Operations staff will be available to travel to the client's home to explain the lease
application process and assist the client to fill out the application documents. In special circumstances as
approved by the Executive Director, staff may provide the client with transportation incidental to
obtaining local approval.
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1521.1 Application for Homesite Lease.
1. Clients who want to build their relocation house on a homesite lease generally come to the
Office to get an application packet. Packets may also be sent to the client by mail.
2. The Homesite Lease Specialist will give the client a copy of the homesite lease application
packet, containing forms and instructions for leases on the existing reservation. The client will be
instructed to return the forms in the packet to the ONHIR, completed as follows:
a. Completed Homesite Lease Application Form, with three (3) signed copies of the signature
page.
b. Consent to Use Navajo Tribal Lands, signed by the permittee and the Grazing Committee
Member.
c. Sketch of the map location of the homesite.
3. The client will be instructed to obtain and provide a copy of the Certificate of Indian Blood
(tribal enrollment form) which provides the client's name and census number as recorded on official tribal
rolls. The client's name and census number on the homesite lease application must correspond with the
information on the Certificate of Indian Blood.
If the client is legally married, both the client and spouse must apply for the lease.
4. The Homesite Lease Specialist will perform data entry of the date the client picked up the
application documents (date appl doc recvd by client).
1521.2 Receipt of Completed Documents.
The documents which comprise the initial application packet may be returned together or
separately by the client. As the documents are received, the Specialist will perform the following
functions.
1. Document Review: The Specialist will review the application documents for the following:
a. All forms must be filled out completely, and signed by the required signatories.
b. The client and spouse names, signatures, and census numbers recorded on the forms must
be identical in all respects to the names and census numbers recorded on the Certificate of
Indian Blood.
2. Client Lease File. The Homesite Lease Specialist will prepare a file folder (the client lease
file) for the client. Copies of all documents associated with the lease acquisition process
will be inserted into the file, which will be the principal working file during the homesite
lease activity. Documents will be filed according to activity, which generally occurs in
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chronological sequence. (homesite lease feasibility study, archaeological clearance, water
and sanitation facilities, utilities - electricity, solar.)
The file label will state the client's name and casefile number. It will be color coded to indicate the
activity phase. The initial label will have a blue line, which indicates that the application forms are
complete and an initial feasibility study is the next step.
The file folder will be maintained by the Specialist until all homesite lease activity has been
completed; at that time the Specialist will integrate the lease documents into the main client casefile.
3. Data Entry. The Homesite Lease Specialist will perform data entry of the following
information:
- date lease documents returned to ONHIR
- consent form returned (Y or X: not applicable)
- chapter resolution (Y or X: not applicable)
- money order (Y or X: not applicable)
4. Follow-up with Client.
A client who picks up a packet but fails to submit any documents will be contacted. Prior to the
six month update, the Specialist will check the lease inquiry file to determine the status of the client's
lease application. If the file reveals that the client has received a packet but has taken no action, the
Specialist will discuss this issue during the update contact.
1521.3 Initial Feasibility Study.
1. When all of the initial lease documents have been received, the Homesite Lease Specialist will
review the file and will assign the case to the Engineering Technician to perform the initial feasibility
study. The Homesite Lease Specialist will maintain a manual suspense file of the date the feasibility
study was assigned.
2. Upon receiving the case assignment, the Engineering Technician will contact the client by
telephone or letter to schedule a field appointment at their lease site.
3. During the field appointment the Technician will observe and take notes for the feasibility
study. The feasibility study will be completed within five (5) to ten(10) days of the field visit.
Report preparation will follow the steps in MM#1521.2. The report will include the following:
- cover memo
- map showing reservation location of the lease
- topographic map with plotted location of the lease
- homesite sketch
- surface soils analysis
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4. The Homesite Lease Specialist will review the typed study for completeness, and will perform
data entry of the date the feasibility study was performed, the result of the study (code table 57), and NPL
status (I=inside; O=outside).
5. The feasibility study will be routed to the Supervisory Construction Representative (SCR for
review. The SCR will note the date the study was performed in the suspense file and discuss the report with
the Technician as necessary. Studies which are outstanding more than one month after assignment will be
staffed by the Supervisory Construction Representative and the Technician to identify and resolve problems.
1521.4 Coordination with the Office of Navajo Land Department (NLD.)
1. Upon receipt of the monthly report, the Specialist will data enter the lease completion stage for
each lease being processed (code table 59).
2. After the cadastral survey has been performed and the survey plat has been prepared, the contract
surveyor will send a copy of the plat to the Office in advance of the approved lease application. A request
for archeological assessment will be initiated when the survey plat is received.
5. After all approvals of the lease application have been granted by the Navajo Nation and Bureau of
Indian Affairs Officials, NLD will send the completed lease documents to the Relocation Operations Branch.
The Homesite Lease Specialist will record the date lease returned from NLD, and will change the
label on the client homesite lease file from blue to red, indicating an approved lease, pending archeological
clearance.
1522 ARCHEOLOGICAL ASSESSMENT.
General. Pursuant to 36 CFR 800, the Office of Navajo and Hopi Indian Relocation shall determine
if construction will affect cultural or historic properties. In order to make this determination, the Office will
conduct an archeological assessment for each homesite lease and adjacent land which will be used for
relocation housing and associated utility lines.
As a general rule, the Office will contract with the Navajo Nation Archeology Department (NNAD)
or other archeological contractors to conduct archeological assessments of individual homesites located on
the Navajo reservation outside of the New Lands. These procedures describe the process which will be
followed in requesting and evaluating individual lease assessments conducted by the archeologist.
Equivalent procedures with modifications appropriate to the circumstances will be followed in conducting
archeological assessments on the Hopi reservation and other Indian reservations which grant homesite
assignments.
The Relocation Operations Branch will perform the administrative functions associated with
archeological assessments. The Homesite Lease Program Specialist will review the survey reports and will
route the report to the Relocation Operations Branch if mitigation actions are to be taken when cultural
resources will be impacted by construction activities.
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1522.1 Requesting an Archeological Survey.
1. When the survey plat of the homesite lease is received by the Relocation Operations Branch from
the surveyor, the Homesite Lease Specialist will prepare a request for archeological assessment by NNAD.
The Specialist will separate the requests according to whether or not the IHS service line should be included
in the survey. The Specialist will type in the client's name, casefile number, chapter, and the name and phone
number of the IHS contact (if a water line survey is needed).
2. The Specialist will attach the survey plat and the initial feasibility study, consisting of the cover
memo, reservation location, topographic map, and homesite sketch.
3. The Specialist will check the amount remaining in the contract for archeological surveys, and
determine if the current request would over-obligate funds remaining in the account. If so, the Specialist will
inform the Contracting Officer who will modify the contract to provide the funds necessary for the requested
surveys.
4. The original memo with attachments will be sent to NNAD at Northern Arizona University.
Copies will also be placed in the client’s homesite lease files.
5. The Specialist will also send a copy of the memo with the topographic map location and the
homesite sketch to the appropriate IHS (Office of Environmental Services) contact. The names, phone
numbers, and addresses of the IHS contacts can be obtained from the IHS District Engineer whose offices are
located in the ONHIR complex.
6. The Specialist will perform data entry of the 'date survey requested' from the date on the memo.
1522.2 Tracking Outstanding Survey Requests.
On the first of each month the Specialist will run a retrieval report showing archeological
assessments which have been requested but not received from NNAD. The Specialist will review the report,
and will contact NNAD about any reports which are two months or more overdue.
1522.3 Reviewing the Assessment Reports and Determining Action.
1. The assessment reports prepared by NNAD will be date stamped by the Mail/File Clerk and
routed to the Homesite Lease Specialist, who will perform data entry of the date the report was received.
2. The Specialist will make the following preliminary determinations based upon information
contained in the report:
a. Does the report accurately show the client(s) name and casefile number? The casefile
number is the ONHIR project number, followed by the NNAD project number and any other relevant project
numbers.
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b. Did the task order request an IHS service line assessment? If so, the project title on the
report should state: "Archeological Survey of the Proposed Homesite Lease and IHS Service Line for ....".
The acreage surveyed and the findings must demonstrate that the service line area was assessed. If it appears
that the service line was not assessed, the Specialist will bring this to the attention of the NNAD director and
request an amended report.
3. If the report recommends that clearance be denied, the Specialist will bring the report to the
attention of the Manager, who will consult with NNAD to determine alternate action to be taken.
1522.4 Follow-Up Actions.
1. The client lease file copy of Compliance Form will be routed through the Relocation Operations
Branch Manager prior to filing in the client lease file. The Manager will take action in accordance with
NNAD’s determination.
a. If NNAD has granted an unconditional clearance the Manager will assign the case to an
Engineering Technician for final feasibility study.
b. If NNAD has granted a conditional clearance, the Manager will determine the appropriate
action. If NNAD has recommended routine mitigation actions (ie. moving the lease 50 ft. or less; assigning
a monitor during construction; erecting a temporary fence during construction) or conditional clearance, the
Manager will schedule the final feasibility study, and will take necessary action to meet any mitigation
requirements (ie. requesting an amended survey plat from surveyor).
c. If NNAD has denied clearance, two alternative courses of action are possible.
(1). The client will have to select a new lease location and begin the application
process over again. The application for the initial site will be voided. ONHIR will absorb the costs for
administrative processing of the lease, without charge to the client's benefits.
(2). If no other site is available to the client, the Relocation Operations Branch
Manager will request a proposal and cost estimate for testing the site from NNAD or other archeological
contractor. The approval of the Executive Director must be obtained before a testing plan is undertaken.
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1523 FINAL FEASIBILITY STUDY, REQUEST FOR UTILITY ESTIMATES, AND
COMPLETION OF LEASE PROCESSING.
1523.1 Final Feasibility Study.
1. After the archeological clearance determination, the Homesite Lease Specialist will assign the
case to an Engineering Technician for final feasibility study. The Specialist will maintain a manual suspense
file of the date the feasibility study was assigned, and the Specialist will perform data entry of the date in the
automated lease file.
2. Upon receiving the case assignment, the Engineering Technician will telephone the client
requesting a field appointment at their homesite lease.
3. The process and content of the study will follow the process and content of the initial feasibility
study, with these additions:
a. The Engineering Technician will check the survey pins and bearings against the locator
points on the survey plat. If pins are missing, the Relocation Operations Branch Manager will notify the
surveyor, who will replace the pins according to the terms of the contract.
b. The final study will refer to the archeological clearance, and will update any information
which may have changed since the initial study.
4. The final study will be prepared as outlined in the homesite lease application packet, and will be
routed to the Supervisory Construction Representative for review. The Supervisor will note the date that the
study was performed in the suspense file and will discuss the results of the study with the Technician as
necessary.
5. The Homesite Lease Specialist will perform data entry of the date the final study was performed,
and the result of the study. The client lease file label will be highlighted in yellow to indicate that the case
has reached the stage of utility cost estimates.
6. The Supervisory Construction Representative (SCR) will run a retrieval report monthly of
outstanding final feasibility studies. Studies which are outstanding more than one (1) month after assignment
will be staffed by the SCR and the Technician to identify and resolve problems. The Relocation Specialist
may be asked to assist in contacting the client and arrange the field appointment.
1523.2 Utility Cost Estimates.
1. After the Supervisory Construction Representative’s review of the final feasibility study, the
client’s lease file will be routed to the Homesite Lease Specialist. The Specialist will request utility cost
estimates for individual site hookups.
a. Electricity. Estimates for connecting the house to electrical power will be requested from
the utility authority serving the area:
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NTUA: Serves the majority of sites on the reservation.
Estimates will be requested from the NTUA district office.
APS: Serves Tuba City and vicinity.
City of Farmington: Serves reservation lands in the
Farmington area.
Jemez Utility Co: Serves the checkerboard area.
b. Water/sewer. Estimates for connecting the house to community water service and
installing a septic tank or connecting to community sewer lines will be requested from the Indian Health
Services. (IHS)
2. The Homesite Lease Specialist will issue a letter requesting that utility estimates be submitted
within thirty (30) days. In addition, IHS will be requested to prepare a plot plan showing the location of the
water and sewer stubouts.
3. When the cost estimate is received, the Homesite Lease Specialist will review and accept it. If
the cost appears excessive in relation to similar projects, the Relocation Operations Branch Manager may
contact the utility company and question the amount.
4. Cost estimates are valid for six months. If more than six months pass between the time the
estimates are received and house construction begins, the estimates must be updated. IHS estimates may be
updated by the Homesite Lease Specialist without a letter to the agency; a 3% increase will be calculated into
the original estimate. However, the estimate for electric service must be updated by the provider. The
Specialist will develop a letter to the utility company requesting a revised estimate. ONHIR will pay NTUA
a $50 revision fee.
5. The Homesite Lease Specialist will insert the utility estimates into the client’s lease file and route
it to the Specialist. The Specialist will route the file to the Manager after performing data entry of the
following information:
a. Electricity:
- company providing electrical service (code table 70)
- date the cost estimate was requested
- date cost estimate received
- estimated cost
- electrical service feasibility (code table 60)
b. Water/sewer:
- agency providing water service (code table 71)
- date the IHS estimate was requested
- date cost estimate received
- estimated cost
- water service feasibility (code table 60)
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- type of sanitation facilities (code table 72)
Infrastructure Projects. The Homesite Lease Specialist will not handle utility costs for clients
participating in infrastructure projects; costs associated with group projects will be calculated by the
Manager based upon prorata share of the full project cost.
1523.3 Completion Stage.
1. The Manager will review the completed lease file and will perform data entry of the date that the
client becomes 'HR' (housing ready). The Manager will verify the actual relocation site. The lease status
will be updated to show 'C' processing stage.
2. The Manager will clip the Tracking Form to the cover of the client’s lease file and route it to the
Specialist for action.
a. If the Tracking Form is not in the file when the homesite lease processing has been
completed, and the automated records show that the client is 'SC', the Manager will return the file folder to
office files, to await completion of social counseling activity. If the automated records show that the client is
'CC' but there is no Tracking Form in the folder, the Manager will instruct the Specialist to contact the
assigned Relocation Specialist and obtain a completed Tracking Form for the client.
3. The Homesite Lease Specialist will route the Tracking Form to the Relocation Specialist. The
documents relating to homesite lease processing will be removed from the client homesite lease folder and
integrated into the main client casefile. The lease file will be relabeled as the "Plan Check" file, and
documents relating to the construction of the relocation house will be inserted into the file folder as the client
goes through the construction phase of relocation processing.
1523.4 Action Upon Receipt of Relocation Contract.
1. The Relocation Specialist will route a copy of the executed relocation contract to the Inspections
and Compliance staff. The copy will be filed in the client's plan check file.
2. A form letter will be issued to the utility providers, informing them of the anticipated construction
completion date.
3. The estimated costs for water and electricity which were entered in the automated lease file at the
time of utility data entry will be updated with actual costs incorporated into the relocation contract.
1524 RESIDENTIAL LEASES.
A client may obtain a residential lease within an area of reservation or non-reservation land which
has been allotted to individual tribal members, by obtaining the consent of all descendants of the original
allottee who share the allottment. Within the boundaries of the Navajo Reservation, the majority of allotted
land is located within three governmental regions: the Eastern Navajo Agency, the Western Navajo Agency,
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and the Fort Defiance Agency. While the residential lease application process required by the BIA is
uniform for all agencies, the way in which the process is administered varies among the agencies. This
affects the procedures in processing a client's request for a residential lease for the construction of a
relocation house.
1524.1 Application for Residential Lease.
1. The client shall obtain a Residential Lease application form (BIA Form 5-1495-MOD) from the
BIA/Real Property Management Office (Eastern Agency, Crownpoint; or Western Agency, Tuba City) or
from ICB for allotments within the Fort Defiance Agency.
2. The client shall fill out the form, and will obtain the signatures of all known lessors of the
allottment. Three original copies of the signature page(s) must be obtained and submitted to the BIA/Real
Property Office. The names of the current lessors are available from the Real Property Office.
a. Clients applying for residential leases in the Fort Defiance Agency may obtain assistance
in completing the form and obtaining signatures of lessors. Relocation staff will type the names of the lessors
onto the signature pages from the allotment and estate card provided by the Fort Defiance Agency.
Transportation will be provided if the client needs it in order to contact all the lessors and obtain their
signatures.
3. Initial Feasibility Study. When the client informs the Relocation Operations Branch
that he/she is seeking a residential homesite lease, a lease file will be set up by Inspections and Compliance
staff. The Engineering Technician will schedule an initial feasibility study according to the procedures for
initial feasibility studies for homesite leases. The study report will be inserted in the lease file.
4. Land Survey. After the initial feasibility study has been performed and the lease area has
been approved as suitable for construction, the ONHIR shall request a land survey by a contract surveyor.
The Surveyor shall provide one ariginal of the plat, which must include the legal description and the
surveyor’s professional registration stamp.
The Relocation Operations Branch Manager or designee shall assure that the survey plat is complete
and conforms to the requirements of the BIA/Real Property Office. If the plat is associated with a lease in
the Fort Defiance Agency, the Specialist will type the legal description onto the lease application. The plat
(and lease application, for the Fort Defiance area) will be forwarded to the appropriate Real Property Office.
A copy will be retained for the client's lease file.
5. Archeological Survey. Upon receipt of an executed residential lease from the BIA, the Relocation
Operations Branch staff will request an archeological survey from NNAD according to the procedures in
MM#1522.
6. Completion of Residential Lease Processing. The remainder of activities associated with
residential lease processing shall follow the procedures for homesite lease processing outlined in MM#1523.
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1525 HOPI LAND ASSIGNMENTS AND LEASES ON OTHER INDIAN RESERVATIONS
1525.1 Hopi Land Use Assignments.
General. Land assignments requested by Hopi clients for relocation housing purposes will follow a
lease process equivalent to Navajo homesite lease processing.
1. Application. A client shall apply to the Hopi Tribe for a land use assignment. Hopi land use
assignments are generally three (3) acres in size.
2. Initial Feasibility Study. When the client states that he/she is seeking a land use assignment from
the Hopi Tribe, a lease file will be set up by the Relocation Operations Branch. The Engineering Technician
will schedule an initial feasibility study according to the procedures for initial feasibility studies for homesite
leases. The study report will be inserted into the lease file.
3. Land Survey. After the initial feasibility study has been performed and the lease area has been
approved as suitable for construction, Relocation Operations Branch staff will obtain a land survey. The
Homesite Lease Specialist will submit a written procurement request to the ONHIR Contracting Officer for a
land survey by a licensed land surveyor or engineer. The land surveyor shall supply four copies of the plat,
which must include the legal description and the surveyor's professional registration stamp.
The Relocation Operations Branch Manager will assure that the survey plat is complete. The original
plat will be sent to the Hopi Tribe (OHL) and a copy will be inserted into the client's lease file.
4. Archeological Survey. Upon receipt of an executed land use assignment from the Hopi Tribe, the
Inspections and compliance staff will submit a memo to the Contracting Officer, requesting an
archeological survey. The Contracting Officer will submit a task order to the Office of Hopi Lands, pursuant
to the contract between ONHIR and OHL.
5. Completion of Land Use Assignment Processing. The remainder of activities associated with
Hopi land use assignment processing shall follow the procedures for homesite lease processing outlined in
MM#1523.
1525.2 Other Indian Reservations.
Occasionally a relocation client will apply for a homesite lease on another Indian reservation on
which to build the relocation house. While the application, survey, and archeological clearance processing
follow the same general outline as for Navajo homesite lease and Hopi land use assignments, there are minor
differences in procedures followed by different tribes. The Relocation Operations Branch Manager will
contact the appropriate tribal office and ascertain the process to be followed with respect to the particular
application. The Office will reimburse costs incurred by the tribe in processing the client's lease application.
1526 SUBDIVISION LEASES.
The Office will construct a relocation house on a lease located in a subdivision developed on
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reservation land which has been withdrawn for such purpose. As of the date of issue of these procedures,
subdivisions have been withdrawn for development in Fort Defiance (Blackrock Acres) and Shiprock
(Shiprock Northwest,) Tuba City Phase I and Phase II, Coalmine Canyon and Lechee. The New Lands Rural
Community and range cluster residential developments are considered a type of subdivision development.
Lease processing is similar for all subdivisions, but there will be differences depending upon the
nature of the development.
1527 PRIVATE LAND.
1. A client may seek to purchase a parcel of private land surrounded by reservation land for the
construction of the relocation house. The Engineering Technician will conduct an initial feasibility study. If
the study finds that the parcel is suitable for construction, the Relocation Specialist will request from a title
co. a title search of county records, to verify that the seller holds clear title to the property, and there are no
liens on it.
2. After the title has been verified, the client will negotiate with the land owner for the desired
parcel. After they have reached agreement on the location and size of the lot, if a legal description and land
survey does not exist, Relocation staff will arrange for a land survey. The Relocation Operations Branch
Manager will submit a written procurement request to the ONHIR Contracting Officer for a land survey by a
licensed land surveyor or engineer. The land surveyor shall supply four copies of the plat, which must
include the legal description and the surveyor's professional registration stamp.
3. Upon receipt of the survey plat, the Inspections and Compliance staff will submit a memo to
NNAD requesting an archeological survey pursuant to the contract between ONHIR and NNAD.
4. Final Feasibility Study and Utility Estimates. If the lot is part of a subdivision (ie. Apache
subdivision at St. Michael's), Inspections and Compliance staff will not conduct a final feasibility study or
request for utility estimates. If the lot is not located within a subdivision (ie. New Mexico checkerboard
area), a final feasibility study and request for utility estimates will be conducted according to procedures in
MM#1523.
5. Data Entry. Private land acquisition is recorded as 'acquisition type "P"' in the automated records,
even though the lot may be located within a subdivision.
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APPROVED
1528 RETENTION, RELINQUISHMENT, AND ASSIGNMENT OF A HOMESITE
LEASE.
POLICY:
The Office of Relocation has determined that it may expend Federal funds to assist relocatees to
obtain a homesite lease on the reservation on which to build their relocation house. Accordingly, the
ONHIR has contracted with the Navajo Land Department (NLD) for administrative processing and land
survey, and with the Navajo Nation Archaeology Department (NNAD) for archaeological assessments
required for site clearance. Costs for these services will be paid from housing funds.
Only one site may be acquired by the ONHIR for the replacement house. A client who acquires a
homesite lease with ONHIR assistance but changes their mind about their relocation site and selects a new
location must make a decision about the disposition of the original lease application. The client may
retain the lease, or may assign it to another individual, or may relinquish it. Acquisition fees paid by the
ONHIR for the original site will be charged to the client's relocation benefits, unless the charge is waived
by the Executive Director pursuant to section 1528.4.
Tribal Policy. At the time of the development of these procedures, the Navajo Nation will not
allow a tribal member to have more than one lease. If in the future the Nation cancels leases which
relocation clients do not use for relocation housing, the Office will not reimburse a relocatee for any fees
forfeited as the result of tribal action.
PROCEDURES:
1528.1 Client Advisement.
At the time the client receives a lease application packet, the staff will inform the client of the
ONHIR's contracts for expedited lease processing with NLD and NNAD. The client will be informed that
ONHIR will pay the costs for processing the homesite lease application provided the client intends to have
their house built on the lease. The client will be informed that if they change their mind about moving to
the homesite lease after the application has been sent to NLD for processing, lease acquisition costs may
be charged against their benefits. The client will be asked to sign Form MM#1528.6 acknowledging this
policy. The client will be informed of the retention, relinquishment and assignment alternatives if they
change their mind about the relocation site.
While the client is in SC and CC status, the RelocationSpecialist will repeat the information
provided by Inspections and Compliance
If the homesite lease is located in an area to be served by an infrastructure project, the staff
member and Relocation Specialist will inform the client of the amount of the infrastructure entitlement
which has been committed to the project. The client will be advised that if they withdraw from the
project, their infrastructure funds will remain committed and this amount may be deducted from the
infrastructure amount which they will receive at their new site (see MM#1530).
1528.2 Client Decision Not to Move to the Homesite Lease.
If the client changes their mind about the relocation site, the following options are available
depending upon the stage which lease processing has reached. The client will be referred to the Homesite
MM#1528 ISSUED 10/26/90; REVISED AND REISSUED
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Lease Specialist to complete the appropriate paperwork.
1. Cancellation. If the lease application is still in the initial stages of local approval and initial
feasibility study and has not yet been sent to NLD for processing, the lease application may be cancelled
with no charge to the client's benefits. The documents submitted by the client will be stamped "void" by
the Homesite Lease Specialist and routed to the data room to be filed in the client file.
2. Retention. A client who wants to retain the lease even though the client has decided to move
off-reservation must fill out Form MM#1528.3, Retention of Homesite Lease. The client's benefits will
be charged for any NLD and NNAD services which have been performed. The Relocation Operations
Branch Manager will notify NLD that the client's relocation house will not be constructed on the
homesite, and the lease will be removed from the list of leases being processed under the NLD contract.
A client who retains a homesite lease may not apply for another lease on the reservation.
3. Assignment. The client may assign, or transfer, the lease to another individual.
a. If the individual receiving the assignment is not a certified relocatee, the action is
treated as a relinqishment; see #4 below.
b. If the lease is assigned to a certified relocatee who has not yet relocated, the client will
fill out Form MM#1528.2, Assignment of Homesite Lease, and the Relocation Operations Branch
Manager will notify NLD of the transfer. In this case fees will not usually be charged against the client's
benefits. The client to whom the lease is assigned must submit a lease application and obtain the consent
of the traditional land users and a chapter resolution. After local consent has been obtained, lease
processing by ONHIR and NLD will resume.
(1). If the client to whom the lease is assigned is unable to get local approval, the lease
will be treated as a relinquishment, with fees chargable to the original client's benefits.
4. Relinquishment. The client may relinquish the lease to the Navajo Tribe. In this case the
client will fill out Form MM#1528.1, Relinquishment of Homesite Lease. The Relocation Operations
Branch Manager will notify NLD that the application is being withdrawn and all processing action should
cease. Processing fees will be charged against the client's benefits according to the stage that lease
processing has reached, unless a waiver is granted by the Executive Director.
5. Relinquishing a New Lands Homesite Lease. Procedures for applying for, and relinquishing
New Lands homesite leases are set forth in MM#1820. A client who has received a lease committment
from the New Lands Branch must submit a relinquishment form, Form MM#1528.1a, before the client
may select another New Lands lot or apply for an off-reservation site or ONLA lease.
1528.3 Charging Processing Fees to Client Benefits.
A client who retains or relinquishes their lease or assigns it to someone who is not a pre-move
client will have processing fees which have been paid by ONHIR charged against the client’s housing
benefits, unless the charge is waived by the Executive Director. The amount charged by NLD and NNAD
for services varies according to the circumstances of each lease application. At the time of issuance of
these procedures, the fees for NLD processing are approximately $1500 up to the survey stage; and
approximately $2500 including the land survey. The minimum charge for an archaeological assessment is
about $260, but the cost can be substantially higher if the site contains historic items and mitigation and
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resurvey are required.
Recording the Charge to Client Benefits. The Relocation Operations Branch Manager will record
fees to be charged for homesite lease processing and for infrastructure obligation on Form MM#1528.5.
The form will be filed on top of the homesite lease documentation in the client casefile, for use by the
Relocation Specialists in processing obligation documents.
1528.4 Waiver of Processing Fee Charge.
If a client who is subject to the processing fee charge requests a waiver, the request will be
determined by the Executive Director. Requests for waiver of charge to benefits will be considered on a
case-by-case basis. If the lease is located in an area to be served by an infrastructure project and the client
is also requesting a waiver of the deduction from their infrastructure allowance, this request will be
considered at the same time.
1. Recommendation by Relocation Operations Branch Manager. The client will inform the
Manager of their reasons for changing the relocation site when they submit the relinquishment or
assignment form. The Manager will consider the reasons and develop a recommendation to the Executive
Director.
2. Determination by Executive Director. The Director will review the client's request for waiver
of charges, and the Relocation Operations Branch Manager's recommendation. The Executive Director's
decision will be communicated to the client in writing by the Relocation Operations Branch Manager.
Valid reasons for the Executive Director to grant a waiver of fee charges may include, but are not limited
to:
-Reasons considered beyond the client’s control, such as land dispute or denial or archaeological
clearance.
-Client applied for the lease before the New Lands were ready for occupancy and has now decided
to move to the New Lands.
-Client has changed their site to the New Lands as part of a Hopi Partitioned Land extended
family move.
-Client has decided to move to another location because their personal circumstances have
changed since they selected the homesite. Legitimate personal reasons may include employment at the
new site.
-Changes in the client’s household membership or marital situation (i.e. marriage or divorce since
the application was submitted) make the homesite lease a poor relocation site choice.
A client who disagrees with the decision may request a review by the Executive Director.
1528.5 Special Situations.
New Lands Homesite Leases. Cross reference MM#1820.
Procedures relating to applications for New Lands homesite leases are set forth in MM#1820. A
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MANAGEMENT SECTION 1500 RELOCATION OPERATIONS-INSPECTIONS &COMPLIANCE
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client who already has a "Big" reservation homesite lease application in process must dispose of the
application before the ONHIR will process an application for a New Lands homesite lease.
Tuba City Subdivision and Equivalent Situations.
Cross reference MM#1734.
The ONHIR has entered into agreements with chapters for the cooperative development of
subdivisions, to be occupied by relocatees and non-relocatee chapter members. The demand for lots
within the subdivision may exceed the number of lots available, most notably in Tuba City. In this case,
the ONHIR will develop a prioritized list of clients to receive lots, based upon factors set forth in
MM#1734.
A client who is on the priority list for a lot in the Tuba City subdivision will be removed from the
list if/when the client applies for a homesite lease somewhere else or submits a request for an off-
reservation move. If the client subsequently changes his/her mind again and asks to be put back on the
priority list, his/her name will be added to the bottom of the list to receive a lot on a first come, first serve
basis. The client must be informed that when he/she applied for another relocation site in his/her name
will be removed from the priority list and the client may not subsequently change his/her mind and
reclaim his/her place on the original priority list.
This policy will apply to other development areas where there are fewer lots available than the
number of clients who want to move there.
MM#1528 ISSUED 10/26/90; REVISED AND REISSUED
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MANAGEMENT SECTION 1500 RELOCATION OPERATIONS -INSPECTIONS AND
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APPROVED
SECTION 1500 RELOCATION OPERATIONS
INSPECTIONS AND COMPLIANCE
SUBJECT 1530 Infrastructure Projects
CROSS REFERENCE: Management Manual Vol. 4, Sec. 1700, Subj. 1770: Infrastructure Costs
Associated with Replacement Housing.
POLICY.
In order to provide a client with decent, safe and sanitary housing, pursuant to P. L. 93-531, the Office
of Navajo and Hopi Indian Relocation may engage in cooperative agreements with agencies such as the Indian
Health Service (hereinafter referred to as IHS) and the Navajo Tribal Utility Authority (hereinafter referred to
as the NTUA) to extend water and power to relocation homes. The ONHIR may contribute 100% of the per
household cost for each relocatee household that is in the process of acquiring a homesite lease in the area to
be served by the project. In addition, the ONHIR may contribute an amount up to 30% of the per household
cost for relocatees who moved to the community prior to the infrastructure project, and may contribute up to
30% for remaining project costs.
The per household share will be paid from the client's infrastructure allocation, which is an amount
not to exceed 30% of the total housing benefit plus infrastructure cost. Infrastructure project costs will be paid
from Discretionary Funds, pursuant to 25 CFR 700.451.
On a per household basis, the cost to the Government for the construction of new infrastructure is
substantially higher than the cost to connect a relocation house to existing infrastructure systems. Once an
infrastructure construction project is underway, the withdrawal of a client may jeopardize the entire project by
increasing the per house cost to a level which may result in cancellation of the project. This may adversely
affect the opportunity of other clients to obtain grid electric and/or water to their homes. For this reason, once
an interagency agreement has been executed, funds committed to an infrastructure project from client
infrastructure allocation will remain committed to the project even though the client changes their mind about
the relocation site and withdraws from the project. Clients will be informed of this policy by the Inspections
and Compliance Staff at the time they submit an application for a homesite lease located in the area of the
infrastructure project.
PROCEDURES.
General. Proposals to extend water and/or power into areas of the Navajo reservation where
relocation housing is being built may be initiated by any one of the involved agencies. The process of
identifying the need for an infrastructure project and working out the details has evolved since the ONHIR was
first established. During the earlier years of the relocation program, when large numbers of relocatees were
moving to areas of the reservation where there were no water/power lines, the Relocation
Commission(subsequently re-named the Office of Navajo and Hopi Indian Relocation) initiated negotiations
with IHS and NTUA for the extension of infrastructure, and funded a major proportion of project costs.
Infrastructure projects on the existing Navajo reservation are typically initiated by the IHS or NTUA.
The ONHIR participates in such projects in proportion to the number of relocatees living in or moving to the
area to be served.
MM#1530 ISSUED 08/19/92; REVISED AND
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APPROVED
The Inspections and Compliance staff will have operating responsibility for determining if
participation in an infrastructure project on the existing reservation may be feasible.
1530.1 Interagency Agreements with the Indian Health Service.
General. In 1988 the ONHIR and the IHS entered into an interagency agreement for the construction
of sanitation facilities for relocation homesites. If a particular infrastructure project exceeds $150,000 or
requires the contribution of IHS funds, a Memorandum of Agreement (MOA) will be executed which sets
forth the specifications of the project and mutual obligations of the two agencies.
1. Preliminary Feasibility Study. In cases where water line extension is proposed, a preliminary
feasibility study may be initiated by the IHS and presented to ONHIR; or may be requested of IHS by ONHIR.
The study will take into consideration the number of relocatees who are in the process of acquiring homesite
leases in the area, and the number who have already moved there. The District Engineer, Tuba City District,
will assign an engineer to assess the feasibility and prepare cost estimates. The District Engineer will submit a
report on the preliminary study to ONHIR. The study will outline the work to be done, cost calculations, and
nature/amount of commitment required from ONHIR, IHS, and the Chapter.
2. Development of Memorandum of Agreement (MOA). The preliminary study will be reviewed by
the Relocation Operations Branch Manager, the Contracts Officer, and the Executive Director. If the study
concludes that water can be extended to relocation houses at a cost which is within allowable infrastructure
amounts, considering the clients' infrastructure allocation and other types of infrastructure needs, the Contracts
Officer will notify the District Engineer, in writing, of the ONHIR's preliminary approval and request that the
IHS submit a formal Memorandum of Agreement for the project.
3. Review and Execution of MOA. When the MOA is received it will be reviewed by the Relocation
Operations Branch Manager, the Contracts Officer, the Finance Officer, and the Executive Director. Meetings
will be held with the District Engineer and other IHS representatives as necessary to reach mutual
understanding on project details.
When the MOA has been finalized, the District Engineer will obtain the necessary signatures from
IHS offices. The Executive Director will sign the MOA on behalf of ONHIR. Copies of the signed agreement
will be routed to the Contracting Branch and the Relocation Operations Branch.
1530.2 Interagency Agreements with the Navajo Tribal Utility Authority.
General. In 1989 the ONHIR and the Navajo Tribal Utility Authority executed a master agreement for
the construction of electrical power lines and related services on the existing reservation (excluding New
Lands infrastructure construction). Individual project proposals shall be approved by means of task orders or
an equivalent project description document. ONHIR will assure that the homes which are constructed in the
project area will be wired and ready for hookup.
1. Project Proposal. The NTUA will provide the ONHIR with a proposal for the power line project.
The proposal will set forth:
a. Description of the work to be done, including the number of miles of power line to be
constructed, location of the line and the names of the chapter members, including relocatees, who will be
connected to the line.
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b. Detailed budget for the project, including the funds which will be contributed to the project
by the Chapter in which the project is located. NTUA will contribute $1500 per customer provided the house
is wired and ready for hookup.
c. A schedule for the construction of the power line and anticipated date of completion.
d. Any special conditions applying to the project.
2. Review by Inspections and Compliance. The Relocation Operations Branch Manager will review
the project proposal and will negotiate details of the project agreement with representatives of the NTUA and
the chapter as necessary. The Manager will verify the identity of relocation clients who have moved to the
area and will be moving in the future. The Manager will then calculate the authorized amount of ONHIR
contribution to the project, based upon the formula stated on p. 1 of this section.
3. Review and Approval by the Executive Director. The Relocation Operations Branch Manager will
submit the project proposal and cost analysis to the Executive Director. Additional meetings with project
representatives and ONHIR management officials will be held as necessary to reach mutual understanding on
project details.
When the project description has been finalized, the Executive Director will sign the project
description document on behalf of the ONHIR. The Relocation Operations Branch Manager will distribute
copies of the signed project document to the NTUA project representative, and to the ONHIR Finance Branch.
1530.3 Client Participation in Infrastructure Projects.
General. The ONHIR will commit a per-household share for infrastructure construction from the
infrastructure allowance of all pre-move clients who have applied for homesite leases in the area to be served
by the project. A client who submits a homesite lease application for an area to be served by an infrastructure
project will be told the amount which will be applied from his/her infrastructure allowance. If a client
subsequently changes their mind about the lease application and relinquishes it, the infrastructure funds will
remain committed to the project. This amount will be deducted from the amount required for infrastructure at
their new relocation site, unless the deduction is waived by the Executive Director.
1. Information to Cooperating Agencies. When the interagency project agreement is developed, the
Relocation Operations Branch Manager will verify the names of clients who have moved to the area, and will
identify by name, census number and casefile number any clients who are in the process of acquiring homesite
leases in the area.
2. Information to the Relocation Operations. The Relocation Operations Branch Manager will notify
the Relocation Team Leader of new infrastructure projects to which the ONHIR has made a financial
commitment. The Team Leader will keep the Relocation Specialists (s) informed of the projects, so that they
know which of their clients are moving to a project area, and be able to advise the clients of potential impact
upon benefits if they decide to change their relocation site without a good reason.
3. Client Advisement. The Relocation Operations Branch Manager will inform all pre-move clients
who have applied for homesite leases in the project area of their inclusion in the project. The clients will be
advised that if they change their mind about the relocation site and relinquish the lease, the amount committed
from their infrastructure allowance will remain obligated to the project, and will be deducted from the amount
MM#1530 ISSUED 08/19/92; REVISED AND
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APPROVED
required for infrastructure at the new site. The client will be requested to sign Form MM#1528.6,
acknowledging the commitment of infrastructure allowance funds to the project.
4. Waiver of Charge to Infrastructure Allowance.
Cross Reference MM#1528.4. The Executive Director may waive the deduction of the amount
committed for infrastructure if the lease can be transferred to another pre-move client; or if the client is
granted a waiver of homesite lease processing fees. The request for waiver of infrastructure deduction will be
considered at the same time as the request for waiver of homesite lease processing fees. The request will
follow the procedures set forth in MM#1528.4, as follows:
a. Recommendation by Relocation Operations Branch Manager. The client will inform the
Relocation Operations Branch Manager of their reasons for changing the relocation site when they request a
waiver of the infrastructure deduction. The Manager will consider their reasons and develop a
recommendation to the Executive Director.
b. Determination by the Executive Director. The Executive Director will review the client's
request for waiver, and the Relocation Operations Branch Manager’s recommendation. The Director's
decision will be communicated to the client in writing by the Relocation Operations Branch Manager. Valid
reasons for the Director to grant a waiver of fee charges may include, but are not limited to:
*The client relinquished the homesite lease for reasons beyond his/her control, such as, a land dispute
or archaeological features on the site.
*The client changed relocation sites for legitimate personal reasons, such as changes in marital status
or employment at the new site.
1531 ON-RESERVATION INFRASTRUCTURE COSTS.
Cross Reference MM#1770.
General. The Inspections and Compliance staff shall prepare the On-Reservation Infrastructure
Computation Sheet (Form MM#1770.1) listing estimated infrastructure costs for clients moving on-
reservation (excluding New Lands). The form will be completed as part of the plan review process (see
MM#1540, p. 6).
1. Cost Estimates. Cost estimates for the items listed in Part A of the computation sheet will be
entered by the Relocation Operations Branch Manager based upon initial estimates submitted by NTUA for
grid electric power, IHS for water/sewer; historic experience regarding the costs of propane systems; and the
cost estimates submitted by a contractor for a solar photovoltaic system selected by the client, when grid
electric is not available.
2. Updated Estimates. If an updated estimate for electrical service is needed, the Homesite Lease
Specialist will issue a letter to the servicing power company and place the computation sheet in a suspense
file. When the response is received, the form will be completed.
3. Subdivision Lot Costs. In order to enter infrastructure costs for subdivision leases located on
reservation, the Relocation Operations Branch Manager will contact the developer in order to obtain
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APPROVED
information about lot development costs, excluding any land costs associated with lot acquisition (ie. St.
Michael's private subdivision).
4. Navajo Housing Authority (NHA) Houses. If the client is buying an existing NHA house, the
ONHIR will pay infrastructure costs which would otherwise be charged to the client as part of the housing
cost, if NHA can provide a statement of the amount of housing cost which represents infrastructure
development. Infrastructure costs for NHA houses will not be obtained by Inspections and Compliance staff
but by the Relocation Specialist while the client is in home search. These costs will not be recorded on form
MM#1530.1/1770.1, but will be reviewed and approved by the Relocation Operations Branch Manager in the
same manner as off-reservation infrastructure computations. Navajo Housing Authority infrastructure costs
exceeding $15,000 will require approval of the Executive Director.
5. Totals. After entering the estimated infrastructure costs, the Relocation Operations Branch
Manager will complete the calculations in Part B of the computation sheet which set forth the percentage
required for infrastructure and the amount over $15,000.
6. Review/Approval of The Relocation Operations Branch Manager. The Manager will review and
sign the Infrastructure Computation Sheet for on-reservation moves.
7. Approval of the Executive Director. If the estimate exceeds 30%, the Relocation Operations
Branch Manager will justify the expenditure, based upon information obtained when the feasibility studies
were conducted. The Manager will attach the IHS and NTUA cost estimates and the final feasibility study,
and route the computation sheet to the Executive Director for review/approval. The Director will take action
on the case within three days of receipt of the comp sheet and return the completed form to the Manager.
8. Plan Check File. The Manager will review the Executive Director's action and place the
computation sheet in the Plan Check File, for delivery to the Relocation Specialist when plan check is
completed.
1532 ALTERNATE SYSTEMS. (cross reference MM#1774 and Policy Memorandum #8)
1532.1 Solar Photovoltaic.
General. Because of the evolutionary nature of solar photovoltaic technology, the Relocation
Operations Branch Manager will be responsible for keeping abreast of the principal changes in the industry
and the commercial products available. The Manager will determine if a house built on a reservation homesite
lease will be served with grid electric or photovoltaic. The following guidelines will be observed, but cases
will be reviewed according to the particular circumstances.
1. Remote Sites: Wiring at the Time of House Construction. Houses which are built in remote
locations which are not served with grid electric and for which no electric project is planned, will be provided
with twenty-four volt SPV systems. Houses will be wired during construction so that grid electric can be
connected in the future if electricity is run into the area.
2. Grid Electric Planned But Not Immediately Available. A client may be moving to an area where a
grid system is planned but is not immediately available. The Relocation Operations Branch Manager will
advise the client delay their relocation until grid electric is available. If the client is unwilling to wait, the
ONHIR may approve the move and the installation of twenty-four volt SPV paid from the client's
MM#1530 ISSUED 08/19/92; REVISED AND
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infrastructure allowance if the client justifies the request and agrees to the provisions of Form MM#1530.2.
Form MM#1530.2 states that the client is aware of the planned electric grid system but wants to move
immediately and have SPV rather than wait for grid electric as recommended by the ONHIR. The client must
acknowledge that when the project is built, the ONHIR will not come back and connect the house to the grid
system. The client must sign the form.
The Relocation Operations Branch Manager will review the client's request and prepare a
recommendation for action by the Executive Director. The Manager will communicate the Executive
Director's decision to the client.
3. SPV As A Housing Option. A client who is having a house built in an area served by grid electric
will not ordinarily be provided with solar photovoltaic from the infrastructure allowance. A client who wishes
to install a photovoltaic system as an option in addition to grid electric may purchase it from their housing
benefit. If the client does not want to be connected to grid electric, but wants SPV and is capable of
maintaining the system, and an SPV system is less expensive than grid electric, the ONHIR may approve SPV
installation.
The Relocation Operations Branch Manager will review the client's request and prepare a
recommendation for action by the Executive Director. The Manager will communicate the Executive
Director's decision to the client.
1532.2 Cistern Water.
1. Installation of Cisterns and Septic Tanks. Cistern water tanks and pumping systems will be
provided from infrastructure funds for houses built in remote locations not served by grid water. The
Construction Contract will provide for the contractor to obtain and install the cistern, pumping system, and
septic tank for the house.
2. Installation of Grid Water. The IHS will install septic tanks and water systems for houses built in
areas served by grid water.
a. Notification at the Time of Contract Signing. After the Relocation Contract is signed, the
Relocation Specialist will order a check to the IHS for clients who are being connected to grid water but are
not included under a prepaid project agreement. The Specialist will pick up the check when it arrives and
forward it to the IHS District Engineer along with the anticipated date of house completion.
b. Notification at the Time of Interim Inspection. At the time the house passes interim
inspection, a form letter will be automatically generated to the IHS District Engineer. The letter will inform
the IHS that house completion is anticipated in 30 days, so that IHS can schedule the septic tank installation
and connection to grid water. The Specialist will sign and route the letter to the Engineer.
3. Grid Water Planned But Not Immediately Available. If a client obtains a homesite lease in an area
where plans for a grid water system are being developed, contract signing and house construction will be
deferred until the project is underway and the house can be connected to grid water when house construction
is completed.
MM#1530 ISSUED 08/19/92; REVISED AND
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MANAGEMENT SECTION 1500 RELOCATION OPERATIONS-INSPECTIONS AND
MANUAL COMPLIANCE
SUBJECT 1540 Construction Inspection _/s/CJB__
APPROVED
SECTION: 1500 RELOCATION OPERATIONS - INSPECTIONS AND COMPLIANCE
SUBJECT: 1540 Construction Inspection
AUTHORITY: 25 USC 640d-14; 25 CFR 700.53; 25 CFR 700.55
POLICY
The Office of Navajo and Hopi Indian Relocation (ONHIR) will inspect or have inspected all
replacement housing prior to acquisition in order to ensure that each unit meets applicable federal, state
and local housing codes, as adopted by the ONHIR. The inspections and compliance staff will have the
operating responsibility for conducting inspections.
The construction inspection function will operate in close coordination with the housing
acquisition function. The Relocation Specialist will inform inspections and compliance staff of the
acquisition; and the number and nature of the inspections performed will depend upon the type of
acquisition and the location of the replacement house.
1541 SITE CLEARANCE AND PLAN REVIEW
General During the home search phase of the case processing, a client will be assigned to a
Relocation Specialist who will advise the client on the acquisition process and the choices the client must
make. With a few exceptions, relocation to an on-reservation location will require a new construction
house. A client who moves off-reservation may have a new construction house or may purchase a resale
house. The Relocation Specialist will ascertain the client’s decision regarding the type of acquisition,
choice of contractor and choices regarding house design and features of the house plan. The Relocation
Specialist will assure that all necessary information about the house plans and contractor selection is
communicated timely to inspections and compliance staff and that all houses pass inspection and
compliance inspection before funds are disbursed and the acquisition is completed.
1. Referral from the Relocation Specialist The Relocation Specialist will refer a case to the
inspections and compliance staff by means of a Plans/Proposal Transmittal Memorandum (MM#1640.6).
The Specialist will attach documentation to the Memorandum, as applicable to the type of acquisition.
a. New construction or remodel/addition:
1) Energy efficient home: pre-construction worksheet approved by the Construction
Representative and three sets of blueprints/floor plan. The blueprints will be 1/4" per one (1) foot scale
on standard quality blueprint paper.
2) Custom home or remodel/addition to a home already owned by the client: two sets of
blueprints.
b. Resale, NHA house or existing mortgage, where no remodel or additional is
requested: Usually there are no attachments to the Plans/Proposal Transmittal Memorandum.
MM#1540
Issued 10/18/91; Revised and
Reissued 11/22/11, 8/20/15
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MANAGEMENT SECTION 1500 RELOCATION OPERATIONS-INSPECTIONS AND
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APPROVED
2. Logging a Referred Case The Homesite Specialist will log the receipt of Memorandum
on the Plan Review Log (Form MM#1540.a). The following information will be recorded in the log:
• Client name (as shown in computer)
• Date received from the Relocation Specialist
• Name of Relocation Specialist
• Type of Acquisition
• Date the Plan check file is route to the Construction Representative.
• Date the green file is returned to the Specialist.
3. Plan Check File The Homesite Specialist will determine if a Plan check file (also known
as the green file) should be set up for the case. The Plan Check file will serve as a working file which
will be maintained by inspections and compliance staff during the construction process for houses
involved in new construction. The file will be established to facilitate routing blueprints and other
specification sheets and filing inspection reports and related documents which are received during
construction. Plan Check files are not usually established for acquisition or resale house or houses
already owned by the client which do not require construction. The Plans/Proposal Transmittal
Memorandum will be used to route information about these types of acquisitions.
The file folder used during the homesite lease processing will reused for the Plan Check file.
Documents which the Relocation Specialist will extract and provide to the contractor will be
filed on the right side of the file. Documents which the Relocation Specialist will use during the
acquisition process will be placed on the left side of the file. Underneath these documents on the left
side of the file will be documents retained in the file until construction is completed. The Homesite
Specialist will clip these documents together with a pink “do not remove” note while the file is
circulating between the Relocation Specialist and inspections and compliance staff.
All Plan Check files will contain the following forms: On-Site Clearance Form, Plan Review
Form, and Inspection Chart. Other documents to be inserted will vary depending upon where the house
is being built. The documents will include:
a. On-reservation: Documents placed on the right side of the folder to be given to the
Contractor will include:
• Approved Homesite Lease
• Lease location map and Final Feasibility Study (providing directions to the site)
• Archaeological clearance document
• IHS/NTUA Plot Plan
Documents placed on the left side of the folder for the Relocation Specialist will include:
• Pre-Construction Worksheet
• IHS Plot Plan and utility information
• Approved Homesite Lease
• Cost Estimates from IHS/NTUA
MM#1540
Issued 10/18/91; Revised and
Reissued 11/22/11, 8/20/15
2
MANAGEMENT SECTION 1500 RELOCATION OPERATIONS-INSPECTIONS AND
MANUAL COMPLIANCE
SUBJECT 1540 Construction Inspection _/s/CJB__
APPROVED
Documents placed on the left side of the folder to be retained until construction is completed
include:
• Plans/Proposal Transmittal Memorandum
• Final Feasibility Study
• IHS Plot Plan (four copies)
• All copies of blueprints submitted by the contractor.
• Copies of documents related to house features: Exhibit B, Color Sheet, Change Orders,
etc.
b. Off-Reservation: For new construction houses, all copies of the blueprints plus the
description of materials will be placed in the file. The blueprints must be approved by the jurisdiction
having authority and contain a copy of the local building permit.
c. Remodel/addition: If the client is requesting remodel/addition to an NHA or existing
mortgage house, a Plan Check file will be established and the blueprints and description of materials
placed in it.
The Homesite Specialist will prepare an On-Site Clearance form and insert it into the
Plan Check file or attach it to the Plans/Proposal Transmittal Memorandum.
d. Utility Cost Estimates: For on-reservation construction, excluding New Lands and
certain subdivisions, the Homesite Specialist will verify that cost estimates have been received from IHS
and NTUA or APS, as applicable to the location. If the cost estimates have been received but are out-of-
date, and need to be updated, the Homesite Specialist will issue letters to IHS/NTUA requesting updates.
The Homesite Specialist will also verify that a preliminary IHS plot plan has been received.
e. Flood plain check: For off-reservation acquisitions the Relocation Operations Branch
Manager will determine if the house is located in a flood plain. The Manager will determine this by
checking FIRM maps in the ONHIR files, or by calling or writing the engineering department of the
political jurisdiction in which the house site is located. The Manager will enter the flood plain zone on
the On-Site clearance form.
1) If the site is not in a flood plain, the Manager will route the Plan Check file to the
Construction Representative.
2) If the site is located in a flood plain (zone A), the Manager will record the information
on the On-Site Clearance form and route the file to the Construction Representative. The
Representative will disapprove the site and route the file to the Relocation Specialist who will inform the
client that a new site must be selected.
4. Assigning the Plan Review When the Homesite Specialist has finished the file review,
the Plan Check file will be routed to the Construction Representative. Within three (3) days of the
Construction Representative will review the file and assign the case for plan review. The Construction
Representative will maintain a log of assigned cases.
5. Plan Review The Construction Representative will conduct plan review within ten (10)
working days. The plans will be reviewed for technical adequacy, following the outline of items on the
MM#1540
Issued 10/18/91; Revised and
Reissued 11/22/11, 8/20/15
3
MANAGEMENT SECTION 1500 RELOCATION OPERATIONS-INSPECTIONS AND
MANUAL COMPLIANCE
SUBJECT 1540 Construction Inspection _/s/CJB__
APPROVED
Plan Review Checklist. As the review is conducted, the Representative will make notes on the subjects
which should be covered during the pre-construction conference. After completing the review, the
Representative will fill out the Plan Review form, MM#1540.3 and insert it into the folder.
a. Unsatisfactory/incomplete Plans If the Representative cannot complete the review
because required information is missing or because changes are needed in order for the plans to comply
with ONHIR requirements, the Representative will check item #1 on the Plan Review Form, insert it into
the file and route the file to the Relocation Specialist through the Construction Representative. The
Representative will provide as complete a list as possible of all items which need correction or
clarification so that the plans will not have to be returned a second time.
b. Resubmitted Plans When the Relocation Specialist has obtained information from
the contractor on all of the items identified by the Representative, the Specialist will insert the
information and any revised plans into the green folder and return it to the inspections and compliance
staff. The Homesite Specialist will log the re-submittal on the Plan Review Data Form and will give the
folder to the Construction Representative for assigned to a Construction Control Inspector. Assignment
and review will follow the process described herein.
6. Pre-Con Notes The Construction Representative’s notes of items which need to be
covering during the Pre-Construction Conference will be route to the Relocation Operations
Administrative Assistant for typing onto Form MM#1540.4, Pre-Con Notes. The Assistant will complete
the typing assigned within two (2) days and return it to the Representative. The Inspector will sign the
typed Pre-Con Notes and insert the form into the green folder. The Inspector will deliver the folder to
the Construction Representative for final review.
7. Review by Construction Representative Within three (3) days of receipt, the Construction
Representative will review the content of the file and will discuss the plans with the reviewing Construc-
tion Control Inspector as necessary. The Construction Representative will sign the Plan Review Form
and will forward the file to the ROB Manager for infrastructure calculation.
8. Infrastructure Computation Sheet If the case involves new construction on-reservation
or off-reservation, including New Lands and subdivisions, The Construction Representative will route
the green file to the Relocation Operations Manager for completion of Parts A and B of the Infrastructure
Computation Sheet, Form MM#1770.1.
9. Final Review by Relocation Operations Branch Manager After the technical reviews
have been completed, the Manager will review the file and take the following action.
a. On-Site Clearance Form The Manager will review the On-Site Clearance Form
regarding flood plain location, if applicable, and sign the form. This is an on-reservation move, the
Manager will review the client’s homesite lease documentation and will complete Items #1 and #2 on the
On-Site Clearance Form. If these entries require verification of homesite lease approval and
archaeological clearance, the Manager will enter them under Item #2 on the form.
b. Infrastructure Computation Sheet The Manager will complete the Infrastructure
Computation Sheet for on-reservation moves. If the amount required for infrastructure exceeds 30%, and
the approval of the Executive Director is needed, the Manager will complete the sign
MM#1540
Issued 10/18/91; Revised and
Reissued 11/22/11, 8/20/15
4
MANAGEMENT SECTION 1500 RELOCATION OPERATIONS-INSPECTIONS AND
MANUAL COMPLIANCE
SUBJECT 1540 Construction Inspection _/s/CJB__
APPROVED
Part C of the form. The form will be attached to the IHS and NTUA cost estimates and the final
feasibility study, and routed to the Executive Director for review/approval.
10. Transfer to Relocation Operations Housing Acquisition Phase The Manager will deliver
the green file to the Relocation Branch Administrative Assistant when review is completed. Within two
(2) days the Assistant will verify that the review is complete and that logging entries are current. The
Assistant will make the final log entries and route the file to the Relocation Specialist.
a. The date plans were accepted will be logged onto the Inspection Chart from the
Plan Review Form.
b. The date plans are returned to the Relocation Specialist will be logged on the
Inspection Chart and the Plan Review Log.
1542 PRE-CONSTRUCTION CONFERENCE
General Pre-construction conferences will be held for all acquisitions involving new
construction. The conference will be held at the time of contract signing. A representative of the
inspections and compliance staff will be present to review the house plans with the contractor, the client,
and the Relocation Specialist. All items listed on the Pre-Con Notes will be discussed and resolved, and
any/all changes to the plans resulting from the conference will be recorded on the blueprints.
1. Scheduling the Conference When the Plan Check file is returned to the Relocation
Specialist with the completed inspections/compliance review, the Specialist will schedule the Pre-
Construction Conference with Relocation Branch Administrative Assistant. The conference will include
the client, the contractor, the Specialist, and an inspections/compliance representative. The client will be
notified by letter or phone of the date and time scheduled and requested to telephone the Specialist to
confirm the appointment.
2. Reviewing the Pre-Con Notes During the conference the inspections and compliance
representative will review all items listed on the Pre-Con Notes with the client and the contractor. As the
items are clarified and resolved, the inspections/compliance representative will check them off the list,
and will write comments beside the item or will mark the house plans accordingly. After all items are
covered, the contractor and client(s) will sign the Pre-Con Notes form indicating their understanding and
agreement to the decisions made on each item.
3. Changes to the Housing Plan Both the inspections and compliance representative and
the contractor will have a set of the blueprints in front of them during the conference. As changes are
agreed upon, they will each mark the changes onto the blueprints in red ink. After the conference the
inspections/compliance representative will double check the changes made by the contractor on his/her
set of blueprints and will stamp both copies “Approved” and will initial and date the plans. As time
permits during the conference or after it has concluded, the inspections/compliance representative will
mark the changes on the back up set of plans provided by the contractor, and will approve and date this
set.
a. If there are extensive changes to the house plans, the contractor may be required to
submit revised blueprints which incorporate all red line changes. The revised blueprints must be
MM#1540
Issued 10/18/91; Revised and
Reissued 11/22/11, 8/20/15
5
MANAGEMENT SECTION 1500 RELOCATION OPERATIONS-INSPECTIONS AND
MANUAL COMPLIANCE
SUBJECT 1540 Construction Inspection _/s/CJB__
APPROVED
submitted before the contractor schedules a footing inspection. A inspections/compliance representative
will compare the revised plans with the red line plans to assure that all approved changes have been
incorporated.
b. Changes made to the house plans afer the initial plans have been approved must
follow the ONHIR’s procedures for change orders. (See Management Manual 1640.)
4. Exhibit B After the items on the Pre-Con Notes have been discussed and decided, the
Relocation Specialist will cover any remaining items from the Pre-Construction Worksheet which have
not already been discussed. Final decisions regarding house features and options will be reached by the
client and contractor with technical advice from the Construction Representative and from the Relocation
Specialist.
The final decision regarding house style, required features, and optional features will be listed on
Exhibit B to the Construction Contract. This form will be typed for the client(s) and contractor to sign
before the pre-con ends.
5. Color Sheet The client’s selections among available manufacturers, styles, colors, and
similar choices for appliances, fixtures, fixtures and paint will be recorded on the Color Selections and
Component Identification Form (HAB form COLORSEL). This form may be submitted with the Pre-
Construction Worksheet or at the time of the Pre-Con. The Specialist will assure that this form has been
signed and submitted as part of the house construction documentation.
6. Transfer of Plan Check File to Inspections and Compliance staff After the pre-
construction conference has been completed and all contract documents have been signed, the Relocation
Specialist will assure that the documents required by inspections and compliance for the inspection
process are inserted into the Plan Check file and routed back to inspections and compliance staff. These
documents are:
• Pre-Con Notes, as reviewed and approved
• Three (3) copies of the updated house plans
• Exhibit B
• Color Selection form
• Memo to the Engineering Technician stating the projected date of house
completion and the contract amounts allocated for utilities
7. Notification to Utility Providers In cases of on-reservation homesite leases, the
Relocation Specialist will issue two (2) sets of letters to the cooperating utility companies.,
a. Within five (5) days after receiving the memo, the Relocation Specialist will notify
IHS/NTUA (or other utility provider) of the following, and request completion of the utility lines by the
time the house has finished construction.
1) Date the relocation contract was signed and projected completion date of the house.
2) Payment amount orders for the water or power line hookup.
MM#1540
Issued 10/18/91; Revised and
Reissued 11/22/11, 8/20/15
6
MANAGEMENT SECTION 1500 RELOCATION OPERATIONS-INSPECTIONS AND
MANUAL COMPLIANCE
SUBJECT 1540 Construction Inspection _/s/CJB__
APPROVED
3) Name and phone number of the contractor.
1543 INSPECTIONS
General Six (6) inspections will be conducted as house construction proceeds. The inspections,
in the order in which they are conducted are: (1) footing (2) foundation form (3) foundation (4) interim
(framing, electrical, plumbing, mechanical) and insulation (5) lath and sheetrock and (6) final. Each
preceding stage must pass inspection before the next stage is inspected.
1543.1 Preliminary Activities
1. Plan Check File After the contract is signed and the Plan Check File is returned to
inspections and compliance staff by the Relocation Specialist, within two (2) days the Homesite
Specialist will assure that the Plan Check File contains two (2) complete sets of the following documents
and is inserted into the Inspections and Compliance file cabinets for reference:
• Approved Blueprints
• Pre-Con Notes
• Exhibit B
• Color Sheet
Change Orders If change orders are executed during the course of construction, the Relocation
Operations Administrative Assistant will make copies of the approved orders and insert them and any
accompanying blueprints into the Plan Check File.
2. Inspector’s Working Files While preparing the plan check file the Administrative Assis-
tant will provide the inspectors with a copy of the Plans/Proposal Transmittal Memorandum for the case
and a copy of the final feasibility study providing directions to the site. If the On-Site Clearance Form
contains instructions which the contractor is required to following during construction (ie., fencing or
avoidance) the Administrative Assistant will give a copy to the inspectors. The inspectors will prepare
working files for each house under constructions. Files are generally set up alphabetically by contractor.
1543.2 Scheduling an Inspection
General The majority of inspections which are conducted are for new construction. Other types
of inspections include: warranty complaints submitted by the client, warranty repairs, evaluations of
resale houses, and evaluations of houses already owned by a client.
1. Authority to Request Inspection The Office, or person who may request an inspection,
will depend upon the type of acquisition or type or inspection.
a. New construction inspections may only be scheduled or cancelled by the general
contractor or designated representative. The contractor will inform the Relocation Specialist, in writing,
of the name of the authorized representatives(s).
b. Resale inspections will be scheduled by the Relocation Operations Administrative
Assistant upon the receipt of a Plan/Proposal Transmittal Form from the Relocation Specialist, and
MM#1540
Issued 10/18/91; Revised and
Reissued 11/22/11, 8/20/15
7
MANAGEMENT SECTION 1500 RELOCATION OPERATIONS-INSPECTIONS AND
MANUAL COMPLIANCE
SUBJECT 1540 Construction Inspection _/s/CJB__
APPROVED
verification of flood plain clearance. The inspection appointment may be arranged by either the
Administrative Assistance or the realtor/seller.
c. Evaluations of houses already owned by the client will be scheduled by the
Relocation Operations Administrative Assistant upon receipt of the Plans/Proposal Transmittal
Memorandum from the Relocation Specialist. The Assistant will contact the client to set up an
appointment.
d. Warranty inspections will be scheduled by the Relocation Operations Administrative
Assistant according to the procedures set forth in MM#1560.
Monitoring Visits An inspector traveling in an area may stop at a construction site even though
no formal inspection is scheduled for the purpose of monitoring inspection activity.
2. Scheduling and Cancellations The contractor will notify inspections and compliance
staff to set up an inspection. The contractor must provide a minimum of two (2) days advance notice,
calling by 4:00 o’clock p.m. two (2) days prior to the date he wants the inspection. If the schedule for the
requested date is already full, the contractor will have to wait until the next date an inspector will be in
the area.
The contractor will be informed that the inspection will be scheduled for the morning or for the
afternoon. If the contractor needs to know more specifically what time during the morning or afternoon
the inspector expects to arrive, the contractor can call inspections and compliance staff or the inspector
on the date of the inspection. Due to unforseen circumstances encountered during travel to distant
locations, the ONHIR will not assure a specific arrival time.
If a contractor requests an inspection on short notice, inspections and compliance staff will
attempt to accommodate the request (1) if an inspector is schedule to be in the area, and (2) if an
additional inspection can be worked into the schedule.
The contractor may cancel a scheduled inspection by close of business the day before without
incurring a penalty. Inspections which are cancelled the day they are scheduled are subject to a re-
inspection fee of $150.00 at the discretion of the Construction Representative. The fee may be waived if
the inspector has not left for the appointment at the time the contractor’s call is received; or if there is
other field work which can be substituted for the cancelled inspection.
3. Checking Results of Prior Inspections Generally, inspections are scheduled or cancelled
by telephone. When a contractor calls in for an inspection, the Relocation Operations Administrative
Assistant will pull the Plan Check file and check that the prior stage passed inspection and that the
inspection report is on file. The written report may not be in the file if the inspector is still in the field
and has not had the opportunity to submit it. In this case, the Assistant may schedule an inspection based
upon the inspector’s telephone report of inspection results.
4. Verifying Receipt of Required Certificates The Relocation Operations Administrative
Assistant will also verify that any required certificates have been submitted. If the contractor intends to
give the certificates to the inspector when the inspection is conducted, the contractor must so inform the
Assistant who will note this on the Inspection Appointment Form. The following certificates are
MM#1540
Issued 10/18/91; Revised and
Reissued 11/22/11, 8/20/15
8
MANAGEMENT SECTION 1500 RELOCATION OPERATIONS-INSPECTIONS AND
MANUAL COMPLIANCE
SUBJECT 1540 Construction Inspection _/s/CJB__
APPROVED
required:
a. Certificates Required at Interim Prior to, or at the time of an interim inspection, the
contractor must submit (1) truss certificates, (2) concrete delivery tickets, (3) termite soil treatment
certificates, and (4) NTUA wiring compliance form. The Relocation Operations Administrative
Assistant will log the receipt of these certificates on the Inspection Chart and route them to the
Construction Representative for review. Following review the certificates will be retained in the Plan
Check file until construction is completed.
b. Certificate Required at Final Prior to the final inspection, the contractor must submit
documentation provide by the appropriate propane or natural gas supplier that gas appliances in the house
have been connected to the gas source.
5. Logging the Appointment When an inspection is requested, the Relocation Operations
Administrative Assistant will make an appointment for the inspector assigned to the area on the next
available date and will record the date and morning/afternoon inspection time on the Construction
Appointment/Inspection Form. The Appointment/Inspection Form will be placed in the assigned
inspector’s incoming box, set up by days of the week. If the inspector will not be coming into the Office
before the scheduled inspection appointment, the Assistant will inform him of the appointment by
telephone, from the information records on the Construction Inspections Appointment Log.
The Assistant will fill out the Appointment/Inspection Form completely. In addition to
the other information, the Assistant will record name of the contractor representative who called to
request the appointment; the date and morning or afternoon appointment time requested; and the date and
AM/PM schedule for the inspection. If the Assistant is not able to make the appointment for the date or
time the contractor requests, the reason will be recorded on the form.
If the contractor cancels the inspection before the inspector leaves for the field, the
Assistant will retrieve the appointment form and delete the inspection from the log.
6. Time Requirements In scheduling appointments, the Administrative Assistant will take
into consideration (1) approximate time required to conduct each type of inspection, and (2) approximate
travel time to and between sites. The inspector will establish the travel route so as to avoid backtracking
to the extent possible. Approximate time requirements for the different inspections are:
footing - 20 minutes
foundation - 20 minutes
interim (framing, rough wiring)
plumbing, mechanical) and insulation - 1 ½ hour
sheetrock and lath - 15 minutes
final, resale, or already owned house - 1 ½ hours to 2 hours
warranty complaint or inspection - variable according to number of
items to repair
MM#1540
Issued 10/18/91; Revised and
Reissued 11/22/11, 8/20/15
9
MANAGEMENT SECTION 1500 RELOCATION OPERATIONS-INSPECTIONS AND
MANUAL COMPLIANCE
SUBJECT 1540 Construction Inspection _/s/CJB__
APPROVED
1543.3 Conducting an Inspection
General The standards set forth in the following publication has been adopted by the ONHIR for
relocation housing. The inspectors will be equipped with copies of these standards and will apply them
in reviewing house plans and conducting an inspection:
“International Residential Code for One or Two Family Dwellings, “ Current Edition.
1. Materials/Equipment to be Taken into the Field When the inspector travels into the field,
he/she will take copies of the standards and the appointment forms and specification sheets for the house
which he/she will be inspecting. He/she will also take a supply of inspection checklists as required for
the types of inspections which he/she will be conducting.
Equipment to be taken into the field will include:
• Camera
• Compass to check house orientation
• Extension ladder and step ladder to reach attic crawl space, examine roof, vents,
chimney, truss supports, etc.
• three prong receptacle tester to check continuity and loose wires in electrical lines
Three-part checklist forms have been developed for each type of inspection conducted. They are:
• Footing Inspection Checklist
• Foundation Inspection Checklist
• Framing Inspection Checklist
• Plumbing Inspection Checklist
• Rough Electrical Inspection Checklist
• Mechanical Inspection Checklist
• Masonry Inspection Checklist (for block construction)
• Insulation Inspection Checklist
• Drywall/Lath (sheetrock) Inspection Checklist
• Final Inspection Checklist
2. Item Examination The inspector will locate and examine each item listed on the
inspection checklist. Items which pass inspection will be checked off the list. Items which do not pass
inspection will be circled. On the bottom of the form under “Instructions” the inspector will reference
each circled item by number and will describe the deficiencies in complete, coherent sentences. The
inspector will not instruct the contractor how to correct the deficiencies. If additional space is needed,
the inspector will use a continuation sheet.
3. Pass/Fail Determination After completing the examination of each item on the checklist
the inspector will determine whether the construction passed or failed. This determination is recorded on
the inspection checklist and also on Part B, Inspection Results, or the Appointment/Inspection Form..
The inspection may pass even though one or more items have been circled. In this case, the
inspector will write instructions about the items to be rechecked at a future inspection.
MM#1540
Issued 10/18/91; Revised and
Reissued 11/22/11, 8/20/15
10
MANAGEMENT SECTION 1500 RELOCATION OPERATIONS-INSPECTIONS AND
MANUAL COMPLIANCE
SUBJECT 1540 Construction Inspection _/s/CJB__
APPROVED
The inspector will direct any questions or instructions to the contractor or designated
representative. If the inspector notes problems in work performed by a subcontractor, the problems may
be discussed with the contractor or representative, if they are present, or with the subcontractor.
The inspector will give the pink (last page) copies of the appointment form and the checklist to
the contractor or designated representative before he/she leaves the job site. If there is not a
representative present at the time of the inspection, the pink copies will be attached to the house plans
which are in a secure location at the job site.
a. Reinspection If the work fails inspection, the contractor must correct the
deficiencies before proceeding to the next stage of construction. When the corrections have been made
the contractor will request a reinspection. Ordinarily only those items which failed the previous
inspection will be examined.
b. Pass with stipulations The inspection may pass but the inspector may have
comments which need to be brought to the attention fo the inspector making the next inspection. The
comments will be recorded on both the appointment form and the checklist.
The inspector make take photographs of items for the record. As courtesy to the
Relocation Specialist, at the time of final inspection the inspector will take photographs of the house for
insurance purposes: front and back views of the house and woodstove installation.
4. Reinspection Fee If the inspection fails the inspector will determine if a reinspection fee
should be charged. This determination will be entered on the Appointment/Inspection Form. The
amount of the reinspection fee is $150.00. In making this determination, the inspector will take into
consideration the following factors:
• Number and extent of deficiencies
• Location of the house and need for a special trip to conduct a reinspection.
• Prior performance of the contractor, such as repeated problems with a particular item;
or repeated problems on the job being inspected.
• Serious safety violations
The reinspection fee will be deducted from the contractor’s next draw when the draw is prepared
by the Relocation Specialist.
5. Review of Report Upon returning to the Office, the appointment form and checklist
(white and yellow copies) will be routed to the Construction Representative. The Representative will
review the reports within one (1) day of receipt, and initial them beside the inspector’s signature. In the
absence of the Construction Representative the Relocation Operations Manager will review the report.
The Construction Representative will discuss the results of the inspection with the inspector as
necessary. If the Construction Representative changes the pass/fail determination, the contractor will be
notified by telephone and will be sent a copy of the changed form. If the Construction Representative
identifies issues/problems which need to be discussed with the contractor, the Construction
Representative will inform the contractor of the problems and action to be taken.
MM#1540
Issued 10/18/91; Revised and
Reissued 11/22/11, 8/20/15
11
MANAGEMENT SECTION 1500 RELOCATION OPERATIONS-INSPECTIONS AND
MANUAL COMPLIANCE
SUBJECT 1540 Construction Inspection _/s/CJB__
APPROVED
6. Forms Distribution After review by the Construction Representative, the Relocation
Operations Administrative Assistant will record information from the forms and distribute them within
two (2) days.
a. Inspection Chart The Inspection Chart is a summary record of inspections for
each client. It is filled out with basic identifying information and filed on top of other
inspections/compliance documentation on the left side of the Plan Check File when the file is created.
When the checklist and appointment form from an inspection have completed review, the Relocation
Operations Administrative Assistant will enter on the Inspection Chart the type of inspection, date of the
inspection, inspector’s initials, pass/fail determination, and reinspection fee determination. The Assistant
or designee making the entries will initial them.
b. Inspection Report Log The Inspection Report Log is a running record of all
inspectors conducted. It is maintained in a binder and its principal purpose is to track routing of the
inspection reports for housing acquisition. The Relocation Operations Administrative Assistant will
record the client’s name, type of inspection, pass/fail determination, date sent to the Relocation Specialist
be the inspector’s initials on the log.
c. The yellow copies of the inspection checklist and the appointment form will be
filed in the Plan Check File.
d. The white (original) copies of the inspection checklist and appointment from will
be routed to the Relocation Operations Administrative Assistant who will distribute them to the
Relocation Specialists. The Specialists will make note of the pass/fail determination and the reinspection
fee determination and then route the forms to the Data Room for the client file. Payments to the
contractor pursuant to the Construction Payment Contract will be contingent upon receipt of passed
inspection reports.
7. Contractor Disagreement with Determination If the contractor disagrees with the
inspector’s determination, he/she may request a review by the Construction Representative.
Disagreements which cannot be resolved at the branch level may be submitted to the Executive Director.
Pursuant to the terms of the construction contract, the dispute may also be submitted to the American
Arbitration Association by either party. The contractor is not entitled to a time extension while the
disagreement is being resolved, unless the contractor prevails and the terms of the settlement provide for
an extension.
8. Stop Work Order The ONHIR uses two types of Stop Work Orders:
[1] A failed inspection determination constitutes notice to the contractor that he may
not proceed with the next phase of construction until the current phase passed
inspection.
[2] If there are major problems with a contract, either the Construction
Representative or the Relocation Operations Manager may issue a letter to the
contractor instructing that all work on the house stop. If the problems relate to
construction issues, ie. repeated structural problems, the letter will be issued by
the Construction Representative. If the problems relate to other issues covered
MM#1540
Issued 10/18/91; Revised and
Reissued 11/22/11, 8/20/15
12
MANAGEMENT SECTION 1500 RELOCATION OPERATIONS-INSPECTIONS AND
MANUAL COMPLIANCE
SUBJECT 1540 Construction Inspection _/s/CJB__
APPROVED
by the Construction Contract, ie. homesite lease dispute, potential contractor
bankruptcy, the letter will be issued by the Relocation Operations Manager. The
letter will specify the reasons for the stop work order and remedial actions to be
taken by the ONHIR and/or the contractor. The Construction Representative and
the Relocation Operations Manager will consult between themselves and with
the Executive Director on the stop work order.
9. Notice to Occupy The house is ready for occupancy after it passes final inspection.
Generally, the contractor/realtor informs the client when the house has passed the final inspection and
gives them the keys and a final tour of the house with explanations of the operations of the various
features.
10. Completion of Case When the house has passed final inspection, the inspections and
compliance activity on pre-move cases has been concluded. Subsequent activity of the inspection and
compliance phase of the relocation process relates to home maintenance training (MM#1575) and
warranty (MM#1560.) The Plan Check file will be removed from the inspections and compliance files
and routed to the Data Room for placement in the client file.
1543.4 Out-of-State Inspections
New Construction Houses
At the time of Plan Review, the Construction Representative will contact the jurisdiction within
which the house is being constructed to get information about local requirements relating to residential
inspections. The Representative will determine if the local requirements are sufficient to ensure that the
house will meet ONHIR standards. Ordinarily, if the house is being constructed in a planned
subdivision, the ONHIR will accept the standards established for the subdivision. If the Construction
Representative determines that the local standards are inadequate, he/she will inform the Relocation
Operations Branch Manager. The ONHIR will work with the client, the contractor, and officials of the
local jurisdiction to identify and accomplish the actions required so that the client may get a new house
which meets ONHIR standards at the relocation site he/she has chosen.
At the time of the Pre-Con, the ONHIR will specify the inspection reports which will be accepted
from the local jurisdiction and the inspections which will be performed by the inspectors. In most cases,
inspections and compliance will accept local reports of the footing, foundation, and sheetrock inspections
and the inspectors will travel to the site and conduct the final inspection, in addition to equivalent
inspections performed locally.
The Construction Representative will request that the local jurisdiction submit copies of their
inspection reports and the certificate of occupancy issued upon completion of the construction. The
Representative will review the reports and will route copies to the Relocation Specialist for payment
processing.
Resale Houses
An ONHIR inspector will ordinarily conduct one inspection of a resale house located out of
state. In order to assure that any deficient items have been rectified prior to final acquisition, the
MM#1540
Issued 10/18/91; Revised and
Reissued 11/22/11, 8/20/15
13
MANAGEMENT SECTION 1500 RELOCATION OPERATIONS-INSPECTIONS AND
MANUAL COMPLIANCE
SUBJECT 1540 Construction Inspection _/s/CJB__
APPROVED
Construction Representative shall specify the documentation which must be submitted by the
realtor/developer.
1543.5 Evaluation of Home Owned by Client
Inspections of resale houses will be scheduled as described in 1543.2. The inspector will use the
Resale Inspection Checklist in performing the inspection.
1543.6 Evaluation of Home Owned by the Client
Cross Reference: Management Manual #1730, Specialized Procedures.
Background: If a client already owns or is in the process of building or buying a home off of the
partitioned lands at the time the client’s relocation plan is developed by the Relocation Specialist, two
determinations must be made:
1. Is the house decent, safe and sanitary?
Pursuant to 15 CFR 700.187, if the house is not decent, safe and sanitary the ONHIR has the
discretion to either: 1. Repair and remodel the house to bring it up to ONHIR standards. Or, 2. Acquire
a new house for the client. If it is determined that the house is decent, safe and sanitary, the second
determination comes into play.
2. Does the client want to acquire the existing house as the relocation house?
If the client wants to acquire the existing house as the relocation house, the ONHIR will expend
the client’s benefits, up to the maximum entitlement, to bring the house up to code standards. Actions
may include razing the house and constructing a new house on the site, if the client is unable to obtain an
alternate site in the vicinity.
If the client does not want to acquire the existing house as the relocation house, the Relocation
Specialist will prepare the case for decision by the Executive Director.
Procedures
1. Scheduling an Inspection of a Client-Owned House An inspection will be scheduled as
described in 1543.2 (1) c., upon receipt of a Plans/Proposal Transmittal Memorandum. Requests for
inspection of an existing home may be scheduled at two points during the case processing:
a. While the client is in the counseling phase, a preliminary inspection must be
performed in order to determine if the home is decent, safe, and sanitary.
b. If the client wants to acquire the existing house, a thorough detailed inspection must
be performed after the client is referred to home search.
MM#1540
Issued 10/18/91; Revised and
Reissued 11/22/11, 8/20/15
14
MANAGEMENT SECTION 1500 RELOCATION OPERATIONS-INSPECTIONS AND
MANUAL COMPLIANCE
SUBJECT 1540 Construction Inspection _/s/CJB__
APPROVED
2. Requests Submitted by the Relocation Specialist When an inspection is requested by the
Relocation Specialist while the client is in the counseling phase, the Specialist must attach to the
Memorandum a copy of the Survey of Housing Conditions, any photographs of the dwelling, and any
additional information which will help in evaluating the dwelling.
3. Conducting the Inspection The inspector will use the final inspection checklist and
continuation form to record information about work needed on the house. If the documentation
submitted (housing survey and photographs) by the Relocation Specialist is clear and comprehensive, it
may not be necessary for the inspector to conduct a field inspection of the house.
4. Results of the Inspection The inspector will submit the record on the work required to
bring the house up to code to the Construction Representative. The Representative will make a rough
estimate of the cost of repairs and will develop a recommendation regarding the feasibility of repairing
and remodeling the house. The report will be routed to the requesting Relocation Specialist following
review by the Construction Representative.
MM#1540
Issued 10/18/91; Revised and
Reissued 11/22/11, 8/20/15
15
CONSTRUCTION INSPECTION PROCEDURES
APPENDIX 1. Standards of Conduct for Construction Inspectors.
1. Direct your questions and comments to the contractor, the contractor's representative, or job
foreman. It is not appropriate to discuss the work, particularly deficiencies, with the workmen or with clients.
2. Evaluation should be restricted to the adequacy of workmanship, materials, and adherence to
approved specifications. It is not appropriate to criticize the design or aesthetic features of the house, such as
paint or wallpaper color, cabinet style, etc.
3. Maintain a professional approach. Stick to the duties required for the inspection, and avoid
personal comments or political issues related to the ONHIR and its employees, the contractor and his
employees, or the clients.
4. Consider alternatives if there are alternatives available to the contractor in meeting the code
requirements.
5. Don't accept favors. Review the section of the Personnel Policies Manual relating to Employee
Responsibility and Conduct (sec. 735). It is contrary to ONHIR policy for employees to accept gifts or favors,
including meals or refreshments, from any persons doing business or seeking to do business with the ONHIR.
6. Treat all contractors equally and conduct all inspections impartially. Each inspection should be
performed on a 'clean slate' approach. Even though prior experience has shown that a particular job should be
examined carefully, no job should be pre-judged.
7. Don't argue with the contractor in the field; or with any of the contractor's workers or
representatives.
8. Don't criticize the contractor to the clients or workmen who are at the job site. Don't give
instructions about what should be done to subordinate workers - only the contractor or his authorized
representative.
MM#1540 ATTACHMENT A
MANAGEMENT SECTION 1500 RELOCATION OPERATIONS - INSPECTIONS AND
MANUAL SUBJECT 1555 COMPLIANCE - CONSTRUCTION INSPECTION:
Contractor Performance Evaluation
_/s/CJB__
APPROVED
SECTION 1500 RELOCATION OPERATIONS
INSPECTIONS AND COMPLIANCE
SUBJECT 1555 CONSTRUCTION INSPECTION
Contractor Performance Evaluation
POLICY.
In 1980 the Navajo and Hopi Indian Relocation Commission, now the Office of Navajo and Hopi
Indian Relocation (ONHIR), adopted a program for the inspection of all houses acquired for relocatees.
The program, as initially instituted and subsequently modified and expanded, requires inspections of
houses being constructed, at six specified construction completion points, and random monitoring of
construction sites by the Construction Control Inspector. The checklists and supplemental notes prepared
during the inspections provide routine monitoring of contractor performance, and a method for
communicating the ONHIR's evaluations to the contractor.
If review of reports prepared pursuant to routine inspection procedures reveals excessive
deficiencies on the part of a contractor, the contractor will be notified. Failure to correct deficiencies
following notification will result in remedial action with regard to construction contracting, and may
result in the contractor's probation, suspension, or disbarment from further contracting activity.
PROCEDURES.
General The inspections and compliance staff, (Construction Representative and Construction
Control Inspector) in coordination with the Relocation Specialists, will monitor the performance of
contractors who build relocation houses. The Construction Representative may at any time review the
record of a contractor whose performance under the terms of the Relocation and/or Construction
Contracts is in question.
1555.1 Initial Determination of Deficiency and Warning.
1. The Construction Representative will have operating responsibility for conducting the initial
evaluation of a contractor whose performance is in question, and preparing a report with
recommendations to the Relocation Operations Branch Manager. The Construction Representative will
base the evaluation upon review of reports submitted by the Construction Control Inspector. The
Construction Representative may, at his discretion, inspect job sites.
2. The written report prepared by the Construction Representative may include the following
items and any additional items which are appropriate to the case:
a. The number, frequency and type of failed inspections.
b. The number, frequency, and type of failed inspections on successive contracts and over a
period of time.
c. Quality of workmanship.
MM#1555 ISSUED 09/07/90; REVISED
AND 1 REISSUED 7/6/11.
MANAGEMENT SECTION 1500 RELOCATION OPERATIONS - INSPECTIONS AND
MANUAL SUBJECT 1555 COMPLIANCE - CONSTRUCTION INSPECTION:
Contractor Performance Evaluation
_/s/CJB__
APPROVED
d. Quality of materials used.
e. The nature and number of warranty complaints.
f. The contractor’s responsiveness to warranty complaints.
g. Contractor’s compliance with the terms of the construction contract, such as deadlines,
cleanliness of the worksite, etc.
h. Unacceptable activities of contractors and their employees and sub-contractors of their
employees, such as drinking on the job site.
I. Evidence of fraud
j. Any other matters relevant to the contractor's performance, such as complaints from
sub-contractors and suppliers regarding non payment.
3. If the evaluation determines that the contractor's performance is deficient, the Construction
Representative will recommend that the Relocation Operations Branch Manager issue a warning to the
contractor informing him of the areas of deficiency, corrective action expected, and time frame.
4. The Relocation Operations Branch Manager, after discussion with the Construction
Representative, may request a meeting with the contractor if they determine that discussion will be an
effective means of correcting deficient performance. Following the meeting, or in lieu of the meeting if
none is held, the Relocation Operations Branch Manager will issue a written warning to the contractor.
The warning will specify the areas of deficiency, corrective action expected, time frame, and follow up
monitoring by the Office. The letter will reiterate agreements reached at the meeting, if one was held.
The warning will inform the contractor that if performance deficiencies are not corrected, the ONHIR
will take further action.
5. In exceptional circumstances where the performance deficiencies are determined to be very
serious, the Construction Representative may recommend to the Relocations Operations Branch Manager
that the Office omit the warning to the contractor and proceed immediately to probation, suspension or
disbarment. In this case the Manager will proceed to 1555.2 #3.
1555.2 Contractor Failure to Correct Performance Deficiencies.
1. The Construction Representative will monitor the performance of a contractor who has been
issued a warning about performance deficiencies. If the contractor fails to correct the deficiencies within
the time period specified in the letter of warning, the Representative will submit a written report and
recommendations for remedial action to the Relocation Operations Branch Manager.
2. The Relocation Operations Branch Manager and the Construction Representative will assess
the impact of proposed disciplinary action upon current contract activity.
3. The Relocation Operations Branch Manager and the Construction Representative will meet
with the Executive Director to inform him of the situation and discuss a proposed course of action.
Following review of all factors, the Executive Director will issue the contractor a Notice of Remedial
Action (Form MM#1555.1, attached).
4. The Notice of Remedial Action will be issued certified mail. The Notice will inform the
MM#1555 ISSUED 09/07/90; REVISED
AND 2 REISSUED 7/6/11.
MANAGEMENT SECTION 1500 RELOCATION OPERATIONS - INSPECTIONS AND
MANUAL SUBJECT 1555 COMPLIANCE - CONSTRUCTION INSPECTION:
Contractor Performance Evaluation
_/s/CJB__
APPROVED
contractor of the performance deficiencies and the intended remedial action. The Relocation Operations
Branch Manager will schedule a meeting with the contractor within a week to discuss the conditions of
the remedial action, and the Notice of Remedial Action will inform the contractor of the date, place and
time of the meeting. After the meeting the Final Notice of Conditions of Remedial Action will be issued.
5. Remedial action will ordinarily be effective the date that the Notice of Proposed Remedial
Action is issued, even though the details about the conditions may change following the meeting with the
contractor. Remedial action may include:
a. Probation;
b. Suspension;
c. Permanent disbarment from further construction contracts with the Office. Disbarment
shall generally be imposed only as a last resort following probation or suspension; or in
instances of fraud or criminal activity on the part of the contractor.
6. If the contractor is unable to attend the meeting on the date scheduled, he may request that it
be rescheduled. The request for extension may not exceed two weeks. If the contractor fails to appear
for the meeting without notifying the Office; or cancels a meeting after rescheduling it, the ONHIR will
issue the Final Notice of Conditions of Remedial Action without the contractor's input.
1555.3 Final Notice of Conditions of Remedial Action.
The Final Notice of Conditions of Remedial Action will be issued certified mail. It will inform
the contractor that he is being placed on probation. Probation will carry a time frame and conditions
regarding work currently in progress. While the terms of the action will vary according to the nature of
the case, the Notice will at a minimum specify that the contractor must satisfactorily complete houses
currently under construction. The contractor will be instructed to inform clients with whom he is
working, in writing, of the remedial action.
A contractor who fails to comply with the terms of the Notice will be permanently barred from
future construction contracts with the Office.
MM#1555 ISSUED 09/07/90; REVISED
AND 3 REISSUED 7/6/11.
MANAGEMENT SECTION 1500 RELOCATION OPERATIONS-INSPECTIONS AND
COMPLIANCE
MANUAL SUBJECT 1560 Warranty Program _/s/CJB_
APPROVED
SECTION 1560 RELOCATION OPERATIONS
WARRANTY PROGRAM
AUTHORITY AND POLICY
AUTHORITY 42 USC §4622; 25 CFR §700.55, A.R.S. Title 32,
Chapter 10
POLICY
The Office of Navajo and Hopi Indian Relocation shall require contractors and vendors constructing
or selling relocation houses on the Navajo or Hopi reservations or off-reservation in the State of Arizona,
to meet the construction standards defined in the Arizona Manual of Minimum Workmanship Standards and
to warranty their work for two years following completion of construction.
The Office shall perform warranty inspections and dispute resolution for houses acquired on-
reservation during the period of time that the warranty coverage is in effect. The Office shall be the final
authority for resolution of complaints on houses located on-reservation. Clients who acquire houses off-
reservation in Arizona will be referred to the Registrar of Contractors.
The warranty programs for houses constructed or purchased in states other than Arizona shall adhere
to the laws of the particular state. In these cases, the Office may conduct post-move warranty inspections
and intercede with the contractor on the client’s behalf in addition to any remedy which the homeowner may
seek under state law. Warranty inspection services will be extended to houses acquired in states outside of
Arizona on a case by case basis as determined by the Executive Director if found to be cost effective and in
the best interests of the Government and the Relocatee.
At its discretion, the Office may require a two year warranty on houses built by the tribal
housing authority which are acquired by the Office for a relocatee, if the contract requires significant new
construction to (remodeling) the unit.
Warranty under the Housing Repair Process If the Office determines that the client shall
receive a replacement house under the Housing Repair Program, the construction shall be warranted
according to the policies stated above. If the client’s house is repaired and not replaced, the repairs shall be
warranted for one year, according to the Federal Acquisition Regulations (FAR).
Termination of the Warranty Coverage Warranty coverage shall be in effect for the specified
term as long as the house is owned by the relocatee. Coverage will cease if the owner sells or conveys the
house to another person.
Warranty Agreement The Warranty Agreement shall be incorporated into the Relocation
Contract by attaching the Agreement to the contract as an Exhibit thereto. At the time of contract signing,
the contractor, relocatee, and the Office shall execute the Warranty Agreement.
To assure that warranty defects will be corrected, the Office will withhold a warranty deposit of
$1,000.00 from the negotiated sales price for all new construction on-reservation. The Office may reduce
MM#1560
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MANAGEMENT SECTION 1500 RELOCATION OPERATIONS-INSPECTIONS AND
COMPLIANCE
MANUAL SUBJECT 1560 Warranty Program _/s/CJB_
APPROVED
or waive the warranty deposit for additions to existing Navajo Housing Authority (NHA) houses; provided,
however, the contract shall incorporate the Warranty Agreement.
If a contractor fails to correct warranty defects within a reasonable period of time as
determined by the Construction Representative, the Office will utilize the warranty deposit to contract for
the necessary repairs. If the cost of the repairs exceeds $1,000.00, the Office may bill the contractor for the
excess, or may utilize other funds due the contractor through other new construction contracts to make the
necessary corrections.
The Construction Representative will inform the Contracting Officer of the repairs needed, and the
Officer will contract for the work according to Government procurement procedures.
A contractor who fails to reimburse the Office for the costs of repairs which exceed the sum of
$1,000.00 may be excluded from future business with the Office until all monies due and owing the ONHIR
by the contractor have been paid in full. The Office may pursue such legal action against the contractor as
is available.
In the event there are no outstanding repairs to be made to the relocation house, any unused portion
of the warranty deposit remaining will be refunded to the contractor at the end of the warranty period.
Corrective Action Against a Contractor
A contractor whose work results in an excessive number of warranty complaints regarding materials,
workmanship, response time or other problems, may be excluded from future construction contracts to which
the Office is a party. The Construction Representative may recommend barring contractors from future
contracts based upon documented repeated instances of unsatisfactory performance. Any such
recommendations will be considered by the Relocation Operations Branch Manager and Senior Management
Officials on a case by case basis.
PROCEDURES
1561 Reporting Complaints During the Warranty Period
General The type of warranty and duration of the warranty coverage will be entered in the
automated records at the time of the Final Inspection. The type and duration of warranty coverages are
found in Code Table 98. They are:
N = New Construction, 2 year warranty
T = Remodel, 2 year warranty on additions to the house
S = Replacement house
H = Housing Repair warranty, 1 year
B = BIA Warranty, 1 year
X = No warranty
MM#1560
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MANAGEMENT SECTION 1500 RELOCATION OPERATIONS-INSPECTIONS AND
COMPLIANCE
MANUAL SUBJECT 1560 Warranty Program _/s/CJB_
APPROVED
The client will be informed of the warranty program during pre-move advisement. The client will
be instructed that problems with the house must be reported to the ONHIR as soon as they are observed,
so that the problems can be inspected and corrective actions can be tracked.
Corrective actions will require a response by the contractor in accordance with the time frames
established in these procedures. These time frames may be extended at the discretion of the Construction
Representative on a case by case basis. If the contractor fails to take corrective action within the specified
time period, the Office will initiate action to repair the warranty defects.
Emergency Situations The time periods established in the procedures below apply to actions
required on the majority of warranty complaints. A problem which requires an immediate remedy will be
considered an emergency situation. “Emergency Situations” are defined as those situations which present
an immediate threat to the health or safety of the occupant(s) of the house; or if allowed to continue would
result in serious, extensive damage to the house. Examples of such emergency situations include: plumbing
leaks, broken water lines, interior gas line leaks, and electrical shorts. All emergency situations will be
repaired in accordance with instructions issued by the Construction Representative who will establish a fixed
time period within which the contractor must complete the necessary repairs to the relocation home.
The Relocation Specialists will inform clients during pre-move that all emergency situations must
be reported to the ONHIR immediately at the time they are first observed. The client should also be
instructed to take immediate action to correct the problem to prevent any further damage to the house. Any
temporary repairs which are performed by the client to prevent additional damage to the house shall in no
way relieve or ameliorate the responsibility of the contractor to make the necessary repairs.
If the client believes that the problem presents an eminent threat to the safety of the family (ie., fire
or explosion) the client should move all the occupants from the house immediately and notify the local fire
or police departments if appropriate.
1561.1 Receiving a Warranty Complaint.
1. The client may submit warranty complaints by telephone or by letter, or may discuss
them with Relocation Staff during post-move field contacts. Complaints which are telephoned in by the
client or discussed with an ONHIR representative in the field, will be recorded on the Warranty Complaint
Form (Form MM#1560.1) by the ONHIR staff person who receives the complaint.
2. All Warranty Complaint forms, letter from the clients, and or documentation of telephone
calls from clients concerning warranty problems must be routed to the Administrative Assistant by the
ONHIR employee who receives the complaint.
3. The staff member who receives the complaint will ask the client to furnish as much
detail as possible so that the problem(s) can receive a thorough preliminary evaluation by the Construction
Representative. The complaint should include the following information:
• Does the problems constitute a health or safety hazard?
• Exactly where in the house is the problem located?
• What is the nature of the problems?
MM#1560
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MANAGEMENT SECTION 1500 RELOCATION OPERATIONS-INSPECTIONS AND
COMPLIANCE
MANUAL SUBJECT 1560 Warranty Program _/s/CJB_
APPROVED
• Has the problem gotten worse over time?
• Is the problem affecting other areas in the home (for example, is a leaking pipe
damaging flooring?)
1561.2 Actions of the Administrative Assistant
1. All complaints will be processed by the Administrative Assistant within one (1) day of
receipt.
2. The Assistant will check the client’s warranty record to make sure that the warranty
is still in effect.
3. The Assistant will date stamp (or write the date received ) on the warranty complaint
and will perform the necessary data entry in the automated file.
4. The Assistant will prepare a manual file for the warranty complaint, place the
the complaint in the file, and transfer the file to the Warranty Officer.
1561.3 Review by the Construction Representative
The Construction Representative will review the Complaint and will determine whether or not an
inspection is appropriate.
Inspection not required The Construction Representative may be able to determine that the problem
complained of is not covered by warranty and that no inspection is necessary. In such cases, the
Representative will issue a letter to the client explaining the decision and informing the client that the
problem is homeowner maintenance responsibility. The Administrative Assistant will then be directed to
enter an “H”code in the “Type of Complaint” entry screen in the automated files.
Inspection is required. In the majority of instances, the ONHIR will conduct an inspection to
determine if the complaints are covered by warranty. If the Construction Representative concludes that an
inspection is necessary, the representative will direct the Administrative Assistant to schedule an
appointment.
1561.4 Scheduling and Initial Inspection
Notification to Client The Administrative Assistant will telephone the client to schedule the
inspection appointment approximately two weeks in advance. The client will be asked to call and reschedule
if the date or time is inconvenient. A copy of the letter will be sent to the Contractor and a copy will be
placed in the client file.
Warranty File The Administrative Assistant will enter the date of the scheduled inspection in the
appointment notebook and will record it on the Construction Inspection Appointment Form to the Warranty
Officer. The Representative will note the inspection date and time and insert the form into the client
warranty file.
MM#1560
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MANAGEMENT SECTION 1500 RELOCATION OPERATIONS-INSPECTIONS AND
COMPLIANCE
MANUAL SUBJECT 1560 Warranty Program _/s/CJB_
APPROVED
Automated Records The Administrative Assistant will enter an “I” Code in “Type of Complaint”
and date of inspection in the scheduled inspection date.
1561.5 Initial Inspection
The Warranty Officer will inspect each item listed on the Complaint Form. If the client has
additional complaints on the date of inspection those complaints will also be addressed by the
Representative. The Representative will make a note of the fact that additional items have been inspected
as well as those listed on the original complaint.
The Representative will make notes of his observations and will record the summary results of the
inspection (pass, fail, or no-show by client) on the appointment form.
1561.6 Initial Inspection Report
Content and Time frame Within one week of the inspection the Construction representative will
prepare a report listing the items which and are covered by the warranty, as well as those items which are
homeowner responsibility.
Distribution A copy of the report will be mailed to the client and to the Contractor by certified
mail, return receipt requested. A copy will also be placed in the client Warranty file.
Data Entry The Administrative Assistant will enter the results of the inspection in the automated
file. If the result is “F” (failed) the type of warranty complaint will be changed to “W”. If the inspection was
conducted on a different date than originally scheduled, the date of the inspection will be updated. The
Assistant will also enter the date of the Report (the date the Contractor was notified.)
1561.7 Corrective Action by Contractor
Items Needing Immediate Repair The Construction Representative will determine if there are items
which need immediate repair. Repair to items which are considered minor repairs will be deferred until the
end of the warranty period in anticipation that additional minor items will be reported prior to the end of the
two year period.
As to repairs which require immediate attention, the Contractor shall have ten days (10) from the date
of the report to Notify the Inspections and Compliance staff of the date by which he intends to make the
repairs needing immediate attention. The repair date scheduled by the Contractor shall not exceed sixty (60)
days from the date of his response, unless an extension of time is approved by the Construction
Representative.
The Contractor will be instructed to notify the ONHIR when the repairs have been completed so that
a Final Inspection can by conducted.
The Contractor’s Response The Contractor’s response may be by telephone or in writing. If the
Contractor calls in, the response will be recorded by the Construction Representative. The original response
will be routed to the Representative for review who in turn will place documentation of the response in the
MM#1560
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MANAGEMENT SECTION 1500 RELOCATION OPERATIONS-INSPECTIONS AND
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MANUAL SUBJECT 1560 Warranty Program _/s/CJB_
APPROVED
warranty file. A copy will be forwarded to the Contractor as confirmation of the scheduled repair date and
a copy will also by delivered to the client.
Data Entry The Administrative Assistant will enter the date of the intended repair in the
automated files and an ‘S” (scheduled) in the type of contractor response.
No Response by Contractor If the Contractor fails to notify the ONHIR within ten (10) days of
the date by which he will make the repairs needing immediate attention, the Construction Representative will
notify the Contractor that the Office will initiate action to hire another contractor to make the necessary
repairs utilizing the $1,000.00 warranty holdback. The Administrative Assistant will enter an ‘N’ Code (no
response) in the type of contractor response.
Repairs Completed When the Contractor notifies the Office that the repairs have been
completed, the Administrative Assistant will record the information on the case log located in the warranty
file. The secretary will enter the date of the Contractor’s notification in the automated records. This date
will supersede the earlier date of intended repairs. The Assistant will change the type of response from Code
‘S’ to Code ‘C’ (completed by contractor.) The Assistant will also alert the Construction Representative
that an inspection should be scheduled.
Follow-up by Construction Representative. The Construction Representative will follow the same
procedures in scheduling and conducting a final inspection as in scheduling and conducting an initial
inspection. (See §s 1561.4 and 1561.5 above.)
If all items have passed inspection the Assistant will enter the result, Code ‘P’ and confirm the date
of inspection in the automated file. If the warranty period has expired, the amount remaining from the
warranty holdback will be refunded to the Contractor. (See §1563 below.)
In the event one or more items have failed the inspection, the Administrative Assistant will enter
the result, Code ‘F’ in the automated file. The Inspection Report will direct the Contractor to notify the
ONHIR within ten (10) days of the date by which he intends to correct the items. The Contractor will then
have 30 days within which to correct the items which fail the final inspection.
If the second inspection fails, the Construction Representative will consult with the Relocation
Operations Manager about the action to be taken. The Representative may initiate action to use the
contractor’s warranty holdback to make repairs; or may allow the contractor additional time to repair the
items, if circumstances justify extension. The Construction Representative will inform the Contractor by
Letter of the action which ONHIR will take.
1562 Notification to Client of Expiration of Warranty Period
Not less than 90 days before the expiration of the warranty period, the Administrative
Assistant will issue a letter reminding the client of the date that the warranty expires and ask the client to
notify the Inspections and Compliance staff of any problems which should be inspected prior to the
expiration of the warranty coverage. This letter should must be sent certified mail, return receipt requested.
MM#1560
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MANAGEMENT SECTION 1500 RELOCATION OPERATIONS-INSPECTIONS AND
COMPLIANCE
MANUAL SUBJECT 1560 Warranty Program _/s/CJB_
APPROVED
If the client submits a complaint in response to this notification, the standard procedures for
scheduling and reporting an inspection will be followed.
1563 Releasing Warranty Holdback
The Construction Representative will prepare the voucher for the release of the $1,000.00 holdback
(or the remaining amount thereof) after all the warranty repairs have been completed and have passed final
inspection.
MM#1560
7 R e i s s u e d 8 / 1 8 / 8 9 ;
7/16/00; 12/30/03;
Dec 31, 2010.
MANAGEMENT SECTION 1500 RELOCATION OPERATIONS-INSPECTIONS AND
COMPLIANCE
MANUAL SUBJECT 1560 Warranty Program _/s/CJB_
APPROVED
Note: The “Warranty of BIA Homes” section has been deleted from these procedures.
MM#1560
8 R e i s s u e d 8 / 1 8 / 8 9 ;
7/16/00; 12/30/03;
Dec 31, 2010.
MANAGEMENT SECTION 1500 RELOCATION OPERATIONS
MANUAL SUBJECT 1575 Home Maintenance Training Program _/s/CJB___
APPROVED
SECTION 1500 RELOCATION OPERATIONS
SUBJECT 1575 Home Maintenance Training Program
POLICY
The Office of Navajo and Hopi Indian Relocation will provide home maintenance training to clients
after they have occupied their relocation house. The Home Maintenance Training Program will be
administered by the Relocation Operations Branch (ROB). This training is intended to complement the
Warranty Program by informing relocatees of homeowner responsibilities and providing them with basic
instructions on monitoring and maintaining features of the new house.
PROCEDURES
1575.1 Pre-Contract Advisement
The Relocation Specialist will discuss with the client the ONHIR warranty coverage, homeowner’s
insurance, and homeowner maintenance responsibilities. The Specialist will advise the client that the
ONHIR Home Maintenance Training Contact Person will conduct training with them after they have moved
into the relocation house.
1575.2 Activities at Pre-Construction Conference
On the day of the client’s Pre-Construction Conference the client will be shown a home maintenance
training videotape which the ONHIR developed in both English and Navajo. The Construction Control
Inspector will then be available to answer any questions the client may have about the tape or general
questions the client may have concerning routine home maintenance. The Construction Control Inspector
inform the client that after they have moved into their relocation home that the ONHIR Home Maintenance
Training Contact Person will visit with them at their relocation home to conduct In-Home training and
answer any specific questions they may have about their new home.
At the conclusion of the Pre-Construction Conference the Relocation Specialist will ask the client
to sign a Home Maintenance Training Information Sheet (Form MM#1575B) which states that they have
viewed the video and understand and agree that when they have occupied their relocation home they are
expected to participate in the In-Home training to be conducted by the Home Maintenance Training Contact
Person.
After the client has signed the Information Sheet, the Relocation Specialist will file the original in
the client file and route a copy of the form to Relocation Operations Branch Administrative Assistant for
data entry in compliance with §1575.36 of these procedures.
1575.3 In-Home Maintenance Training
MM#1575 Reissued 11/13/00;
-1- Revised 5/14/11.
MANAGEMENT SECTION 1500 RELOCATION OPERATIONS
MANUAL SUBJECT 1575 Home Maintenance Training Program _/s/CJB___
APPROVED
1575.31 Scheduling Home Maintenance Training
The Relocation Operations Branch Administrative Assistant will run a copy of the report Home
Maintenance Training Needed/Scheduled quarterly. This report groups clients with open cases according
to relocation site, who have relocated but have not had home maintenance training. If the training has been
scheduled but not yet held, the scheduled date is shown on the report. The report shows the date the client
relocated and also provides the client’s mailing address, age, education level, English fluency, original
quarter quad location, Relocation Specialist, HPL code, and warranty complaint information.
The Relocation Operations Administrative Assistant will use this report to schedule field visits to
conduct the In-Home training. Clients will be scheduled for training within three months of their move into
their relocation home. Older clients with traditional lifestyles and limited English fluency will be prioritized
over clients who have lived and worked off-reservation and are familiar with living in modern housing. The
Assistant will inform the client that delays in electric or water connections can cause delays in scheduling
the training.
The training will be scheduled two to three weeks in advance. The Home Maintenance Training
Contract Person will spend three to four days per week in the field and will schedule all clients living in a
particular area before moving on to the next area. If several family members have moved to an area, the
Specialist may arrange a group training session.
The training sessions will be scheduled at 9:00 o’clock a.m and 1:00 o’clock p.m. with each session
lasting two to three hours. This daily schedule may vary and should take into consideration the number of
clients in an area, the likelihood of the client being home, and the anticipated length of time needed to
conduct the training. The duration of the training session will vary according to the client’s age, English
fluency, prior knowledge of the subjects to be covered, and other factors.
The Relocation Operations Administrative Assistant will prepare a list of the clients to be scheduled
and the date and time of the training. A letter will be sent or a telephone call made to the client informing
them of the training schedule asking the client to call and reschedule the training if the date or time is
inconvenient for them.
1575.32 Conducting the Training
The training will take place in the relocation home. The training will be conducted in either the
Navajo or the English language as appropriate to the individual client. The Home Maintenance Training
Contact Person will cover general maintenance subjects and answer any questions the client may have
regarding their home using the features of the home to illustrate the instructions. The Contact Person will
bring to the training session a Home Maintenance Book to be furnished to the client.
1575.33 Rescheduling the Training
The ONHIR is committed to a policy of assuring that all clients receive the In-Home maintenance
MM#1575 Reissued 11/13/00;
-2- Revised 5/14/11.
MANAGEMENT SECTION 1500 RELOCATION OPERATIONS
MANUAL SUBJECT 1575 Home Maintenance Training Program _/s/CJB___
APPROVED
training in order that they may possess the necessary skills and knowledge of routine home maintenance to
maintain their relocation home in good condition. Therefore, the In-Home maintenance training is
considered mandatory. In furtherance of this goal the Home Maintenance Training Contact Person will make
every continued effort possible to meet with the client and conduct the training.
If the client is not at home on the scheduled date and time of the training, and has not called to
reschedule the training, the Home Maintenance Training Contact Person will make a note on his/her copy
of the list of clients to reschedule the training at a later date (when he/she is again conducting field training
in the same general location) and instruct the Relocation Operations Branch Administrative Assistant to
notify the client of the new training date. The Home Maintenance Training Contact Person will make three
(3) attempts to meet with the client and conduct the training in the relocation home. In the event the training
has yet to be conducted, the client’s name will be placed on a separate list of “Clients Awaiting Home
Maintenance Training Unresponsive.”
During the third or final attempt, the Home Maintenance Training Contact Person will leave the
Home Maintenance Book with someone who is home. If there is no one home, the Contact Person will not
leave the book and make a note that no book was left. The Relocation Specialist will make a final attempt
to deliver the book during the Post-Move Visit. If the Relocation Specialist is unsuccessful, the book can
be picked up by the client at the Relocation Office if they want a copy.
1575.4 Repeat Training
At the request of the client or at the recommendation of the Relocation Specialist, repeat training will
be conducted for clients who are less familiar with the features of a modern home. At the conclusion of the
first training session, the Home Maintenance Training Contact Person will make a note to reschedule such
clients for a return training session. This follow-up training will be worked into the regular training
schedule.
1575.35 Geographic Area Covered
Home maintenance training will be provided for all clients who move to the greater Navajo
Reservation including the “New Lands,” and adjacent border communities (the area most commonly referred
to as the “Four Corners”) as well as Arizona and New Mexico cities and towns, including Phoenix, Tucson,
the White Mountain area, and Albuquerque.
Training it not generally provided for clients who have moved to other out-of-state communities.
However, if the client requests the training, or at the recommendation of the Relocation Specialist, the
Executive Director may authorize out-of-state travel for the Home Maintenance Training Contact Specialist
to conduct training. The client must assure the ONHIR that he/she will be at home when the Contact Person
arrives to conduct the training.
1575.36 Data Entry and File Documentation
The following codes will be utilized to update the client records in the automated file:
MM#1575 Reissued 11/13/00;
-3- Revised 5/14/11.
MANAGEMENT SECTION 1500 RELOCATION OPERATIONS
MANUAL SUBJECT 1575 Home Maintenance Training Program _/s/CJB___
APPROVED
M = The client has viewed the video and been advised that the In-Home
Maintenance Training will be conducted after relocation.
S = The In-Home Maintenance training has been scheduled.
Y = The In-Home Maintenance Training has been completed.
As set forth in MM#1575.2 of these procedures, at the conclusion of the Pre-Construction
Conference the Relocation Specialist will route to the Relocation Operations Branch Administrative
Assistant a copy of the Home Maintenance Training Information Sheet which was signed by the client at the
conference. The Administrative Assistant will update the client record in the automated files by entering
an “M” in the automated file.
When training is scheduled and the client is sent a letter about the date/time, the Administrative
Assistant will enter the “S” code and the date the training will be held. This date may be changed if the
training is rescheduled.
Upon returning from the field, The Home Maintenance Training Contact Person will give the
Relocation Operations Branch Administrative Assistant (Form MM#1575C) Home Maintenance Training
Checklist, reflecting the results of the field activity: training held, training rescheduled, or client(s) not at
home. The Administrative Assistant will enter the “Y” (training held) code for training which was
successfully completed in the automated records and will change the date in the record if applicable. After
completion of the data entry the Administrative Assistant will then route the Home Maintenance Training
Checklist to the File Room to be filed in the client’s main casefile.
1575.37 Program Reports
The Home Maintenance Training Contact Person will prepare a monthly and quarterly status report
on the training program. The programmed reports which are available from the electronic files are:
Home Maintenance Training Needed/Scheduled
Closed Cases with no HMT code.
Completed Home Maintenance Training
MM#1575 Reissued 11/13/00;
-4- Revised 5/14/11.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS - HOUSING ACQUISITION
MANUAL SUBJECT 1610 Improvements Located on Partitioned Lands __/s/CJB___
APPROVED
SECTION 1600 RELOCATION OPERATIONS - HOUSING ACQUISITION
SUBJECT 1610 IMPROVEMENTS LOCATED ON THE PARTITIONED LANDS
AUTHORITY: P.L. 93-531, as amended; 25 CFR 700 Subpart B.
POLICY: In the process of implementing the requirements of P.L. 93-531, the Office of Navajo
and Hopi Indian Relocation has defined the following policies regarding appraisal and acquisition of
improvements owned by individuals required to relocate pursuant to the Act.
1. APPRAISAL OF IMPROVEMENTS.
Public Law 93-531 directed the ONHIR to enumerate the habitation(s) and improvements owned
by households required to relocate pursuant to the Act, to determine the fair market value of such
habitations and improvements, and to pay the head of household this amount plus any additional sum
required to purchase decent, safe and sanitary replacement dwellings, subject to the maximum amount
specified in the Law.
Pursuant to this mandate, the ONHIR initiated a comprehensive enumeration and appraisal of all
Navajo-owned properties located on the HPL and Hopi-owned properties located on the NPL. The
majority of properties were identified and appraised in 1977 and 1978. Some properties which were
identified could not be appraised due to the owner’s refusal to allow examination by appraisers.
As additional properties are identified, or as reappraisal is required, the ONHIR shall conduct
appraisal as set forth in these procedures.
2. PAYMENT TO HEADS OF HOUSEHOLD.
Prior to 10/18/86 the ONHIR added the fair market value of any improvements owned by the
head of household to the housing benefit authorized by law and regulation. Effective 10/18/86, the date
of passage of the FY-87 Appropriations Act (P.L. 99-500), the ONHIR was instructed to calculate
housing benefits according to the method described in the Opinion issued by the Solicitor, Department of
Interior, dated August 25, 1986. This calculation provides that the value of improvements owned by the
relocatee will be applied first toward the cost of a replacement dwelling. To this will be added an
amount necessary to acquire a safe, decent and sanitary dwelling; the total will not exceed the maximum
amount established pursuant to 25 U.S.C. 640d-14(b)(2). If a relocatee has an appraisal that exceeds the
current amount of replacement home benefits to which he is entitled, the appraisal amount will become
the benefit entitlement.
A client who had received by 10/18/86 a Notice of Determination of Value of Improvements and
a Notice of Benefit Determination authorizing appraisal payment in addition to housing benefit will not
be affected by this change in policy, even if the Relocation Contract is signed after the effective date of
the policy. Such clients may elect to receive either housing benefit plus appraisal, or housing benefit
plus infrastructure (see MM#1770), whichever amount is greater. Clients in this circumstance shall not
be entitled to both appraisal and infrastructure.
3. CASH PAYMENTS.
Cash payment for improvements may be issued in the following specific circumstances.
MM#1610 Issued 8/1/94; Revised and Reissued
1 9/3/92; 12/8/93; 3/2/2011.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS - HOUSING ACQUISITION
MANUAL SUBJECT 1610 Improvements Located on Partitioned Lands __/s/CJB___
APPROVED
1. Payment to Estates. Cash payment for improvements may be issued to the estate of a
deceased certified head of household with no household remaining to be relocated, upon receipt of a
Court Order of Distribution issued by a court of competent jurisdiction. See Management Manual Vol.
4, Payments to Estates, MM#1790.
2. Payment to Denied Applicants. Cash payment for improvements may be issued to denied
applicants, pursuant to 25 CFR 700.127. See Management Manual Vol. 3, MM#1625, immediately
following this section.
3. Payment to Certified Applicants Who Own a Decent, Safe and Sanitary House. A client
certified for relocation who owns a decent, safe and sanitary house at the time of eligibility determination
and thus is not eligible to receive a replacement house, pursuant to 25 CFR 700.187, shall receive a cash
payment for any improvements owned on the land partitioned to the Tribe of which they are not a
member.
4. PURCHASE OF IMPROVEMENTS BY THE OFFICE OF RELOCATION.
No later than the date of contract signing a relocatee who owns improvements on the partitioned
lands according to ONHIR appraisal records must decide whether to apply their value to the housing
benefit or retain and remove them. The client shall transfer all improvements not retained to the ONHIR
by means of a Quit Claim Deed when the Relocation Contract is signed. "ONHIR appraisal records"
means the appraisal files developed by the ONHIR in 1977 and 1978, as subsequently updated by
ONHIR staff field work and by property transfers between clients prior to 5/12/87. The ONHIR will not
process nor accept quit claim deeds to individuals executed by the owner and/or received by ONHIR
after 5/12/87.
The ONHIR will review cases of property transferred between 8/25/86 and 5/12/87 where the
total amount of appraisal exceeds the client's benefit entitlement. The ONHIR shall determine if the
property transfer was accomplished in accordance with the spirit and intent of P.L. 93-531. The ONHIR
shall disallow cash payment for appraisals exceeding benefit entitlement if it is determined that property
transfer was contrary to the intent of P.L. 93-531.
5. PROPERTIES CONSTRUCTED WITH GOVERNMENT MONIES.
Improvements appraised by the ONHIR which were constructed on a client's traditional use land
with tribal, State, or Federal funds will not be purchased by the ONHIR. Such improvements are
typically range improvements such as wells, dams, dikes, ditches, spring improvements, and fence lines.
The ONHIR also will not purchase improvements built as community facilities, such as the Coal Mine
Chapter house and community livestock dipping, corral and hauling impoundment areas.
6. ILLEGAL CONSTRUCTION.
Pursuant to Legal Opinion 79-26, the ONHIR will acquire improvements built on the HPL since
1972 which a client claims as part of his/her appraisal. Compensation for the improvements will be
incorporated into the housing benefit in the same manner as other properties claimed by the client.
7. DISTRICT VI PROPERTIES.
Pursuant to P.L. 93-531, as amended by P.L. 96-305, the ONHIR shall not purchase
improvements located in District VI.
MM#1610 Issued 8/1/94; Revised and Reissued
2 9/3/92; 12/8/93; 3/2/2011.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS - HOUSING ACQUISITION
MANUAL SUBJECT 1610 Improvements Located on Partitioned Lands __/s/CJB___
APPROVED
8. TRANSFER OF PROPERTY TO THE TRIBE EXERCISING JURISDICTION.
The ONHIR will offer acquired properties to the tribe exercising jurisdiction over the area from
which the relocatee is moving (25 CFR 700.125). Properties owned by Navajos who are relocated from
the HPL will be offered to the Hopi Tribe when the client relocates to the replacement dwelling.
Properties owned by Hopis who are relocated from the NPL will be transferred to the Navajo Tribe upon
relocation of the last Hopi to own property.
PROCEDURES:
BACKGROUND. The Bureau of Indian Affairs was involved in the initial appraisal program.
BIA appraiser Wendall Thomas developed the Appraisal Handbook which was adopted for use by the
ONHIR, then the Relocation Commission. The Appraisal Handbook is referenced in these procedures
and is available in the Relocation Operations Branch. In addition to developing the appraisal system,
BIA appraisers conducted preliminary enumeration and appraisal of some of the improvements on the
partitioned lands. These individual ownership records were incorporated into the appraisal files
subsequently developed by ONHIR.
Systematic appraisal of improvements located on the partitioned lands was undertaken in 1977
by field staff of the ONHIR. Staff were sent to all camps of Navajos living on the HPL, and to
residences of Hopis living on the NPL. Geographic locations of the camps were identified by the system
of quarter-quad locations developed by the BIA during the JUA enumeration 1n 1975-76.
Because the dwellings and other improvements were constructed, occupied and used according to
tribal custom and no documentation regarding ownership existed, record of ownership was based on self-
identification. The head of household and spouse living at the residence were asked to identify the
improvements which they owned, and they were listed as the property owners on the appraisal records.
Procedures relating to the posting of improvements (see subsection MM#1616.2) provided for settlement
of counterclaims, in the event of dispute over ownership.
This section of the Management Manual includes background information on the appraisal
program in order to explain the program's operations. While the basic program activities have remained
the same since the inception of the program, procedural details have changed. This section is a revision
of procedures adopted by the Branch of Housing and Land Development in 1983-1984. Copies of these
earlier procedures are available for reference in the ONHIR Archives. The Relocation Operations Branch
has operating responsibility for the administration of these procedures.
For instruction purposes, these procedures are worded in terms of the acquisition of Navajo
improvements located on the HPL. Acquisition of Hopi improvements on the NPL, which have been
largely completed as of the date of approval of these procedures, are equivalent unless otherwise noted.
1611. IDENTIFYING, DESCRIBING AND EVALUATING IMPROVEMENTS
LOCATED ON THE PARTITIONED LANDS.
GENERAL. Historic appraisal activity was conducted by the ONHIR in 1977-78 in accordance
with the procedures described below. New appraisal/reappraisal activity follows these procedures with
minor variations as described subsequently in this section.
1. Identification of Improvements. Improvements which needed to be appraised were identified
primarily by (1) requests from potential relocatees, (2) field interviews and questionnaires filled out on
MM#1610 Issued 8/1/94; Revised and Reissued
3 9/3/92; 12/8/93; 3/2/2011.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS - HOUSING ACQUISITION
MANUAL SUBJECT 1610 Improvements Located on Partitioned Lands __/s/CJB___
APPROVED
potential relocatees, and (3) information compiled by the BIA in the form of the JUA roster.
2. Request for Appraisal. When an improvement was identified, an Appraisal Request form,
signed by an agency management official, was filled out and submitted to the Appraisal Office. The
Request stated the owner's name, census number, social security number and mailing address; and the
quarter-quad location (QQL) and chapter. This form is no longer used; see subsection MM#1614.
3. Field Record. The ONHIR Appraiser sent teams of two staff members into the field to record
and describe the improvements. Each separately identifiable improvement was numbered and described.
Two types of field sheets were used:
a. Residential Field Sheet. Dwellings were recorded on Residential Field Sheets (an
example of this form can be found in the Appraisal Handbook). Two types of dwellings were identified:
hogans and conventional dwellings.
b. Miscellaneous Improvements. After all dwellings had been numbered in sequence
and described, the field staff recorded other types of improvements (ie. ramadas, corrals, sweathouses,
clotheslines, trees, fields) on the Miscellaneous Improvements Sheet (an example of this form can be
found in the Appraisal Handbook). Miscellaneous improvements were numbered in sequence and listed
three to a sheet, with a brief description of each.
c. Photographs. A photograph was taken of each improvement. The photograph was
labeled with the number assigned to the improvement, and the date taken.
d. Sketch. The team drew a sketch of the principal camp improvements, showing rough
dimensions of the principal improvements and relative distances between them.
4. Government-Built Improvements. Field records were prepared for improvements which
appeared to have been built by Federal, State, or tribal agencies.
5. Refused Appraisals. No field records were prepared on improvements in cases where the
homesite occupant refused to allow the field team to conduct an appraisal.
1611.1 Evaluation Criteria.
1. Appraisal Values. Appraisal values are assigned to improvements according to the appraisal
system contained in the Appraisal Handbook. All improvements, whether appraised during the initial
appraisal program or later, will be assigned a dollar value calculated at the fair market value in effect in
1977. This includes improvements which have been built since 1977. Only improvements as described
in the Appraisal Handbook will be appraised. No land value will be considered in the appraisal.
2. Original/Historic Value. The system for valuing improvements took into consideration the
age and condition of the improvement as of 1977, depreciated in accordance with the formula set forth in
the Appraisal Handbook. The resulting value is referred to as the "historic value" or "original value" in
agency records.
3. Improvements Which Deteriorate Prior to Client Relocation. The client's appraisal record will
be reviewed prior to execution of the relocation contract. Improvements which were identified and
appraised during the initial appraisal but which no longer exist (due to vandalism, deterioration, etc.) will
continue to be listed in the inventory of improvements, with their historic value.
MM#1610 Issued 8/1/94; Revised and Reissued
4 9/3/92; 12/8/93; 3/2/2011.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS - HOUSING ACQUISITION
MANUAL SUBJECT 1610 Improvements Located on Partitioned Lands __/s/CJB___
APPROVED
4. Marshall & Swift/Boeckh Cost Modifier. At the time the relocation contract is prepared, the
historic appraisal value will be automatically updated by the current percentage of the Boeckh cost
modifier to provide the client with the fair market value at the time the property is acquired by the
ONHIR.
a. Denied Clients. In cases of request for payment of improvements to denied clients,
the Boeckh cost modifier in effect on the date of initial denial will be applied to the historic appraisal
value to determine the fair market value of the improvements to be paid a denied client pursuant to
MM#1625.
b. Deceased Clients. In cases of payment to estates, the Boeckh cost modifier in effect
on the date of the client's death will be applied to the historic appraisal value to determine the fair market
value of the improvements to be paid an estate pursuant to MM#1790.
c. Closed/Not Relocated. In cases of clients requiring special handling, the Boeckh cost
modifier in effect on the date of the Executive Director’s (formerly the Commissioner’s) decision to
close the case will be applied to the historic appraisal value to determine the fair market value of the
improvements owned by a certified client who is not able to receive a replacement home pursuant to
MM#1746. Payment for appraisal in these cases shall be issued as determined by the Commissioner.
1612. CREATION OF APPRAISAL RECORDS.
GENERAL. Manual file records were created when the improvements were enumerated and
appraised. Information from the manual files was incorporated into the agency's automated records
system in 1987. The manual appraisal files are maintained as separate files within the Relocation
Operations Branch until the improvements are transferred to the tribe exercising jurisdiction. At this
time the files are transferred to the data room and filed with the client casefile.
1612.1 Manual Files.
1. Envelope Files. The original materials were filed in envelopes which were labelled with the
following information:
a. Appraisal number. This was a hyphenated five digit number which started with the
last two digits of the year in which the appraisal was conducted (ie. 77) followed by the sequential
number of the appraisal (ie. 001)
b. Owner's name.
c. Owner's relocation casefile number.
d. Quarter quad location.
e. Chapter in which the improvement was located.
f. Names of the appraisers.
g. Date the appraisal was performed.
MM#1610 Issued 8/1/94; Revised and Reissued
5 9/3/92; 12/8/93; 3/2/2011.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS - HOUSING ACQUISITION
MANUAL SUBJECT 1610 Improvements Located on Partitioned Lands __/s/CJB___
APPROVED
2. Envelope Contents. The following information was placed in the envelope files:
a. Copy of the request for appraisal.
b. Any available computer printouts listing improvements appraised by the BIA.
c. Field sheets and photographs of all identified improvements, with the value of each
improvement according to the fair market value in 1977.
d. Sketch of the homesite.
e. Appraisal summary listing all improvements and their values.
3. Subsequent Documentation. Additional documentation collected during case processing
which related specifically to the improvements was added to the file. Such documentation included:
a. Affidavit of Ownership.
b. Notice of Intent to Purchase Improvements.
c. Affidavit of Publication.
d. Notice of Determination of Value.
e. Quit Claim Deed to ONHIR.
f. Quit Claim Bill of Sale to Hopi Tribe.
g. Incidental documents, such as quit claims of improvements to the client by other
family members, correspondence. Form MM#1610.3, Owner Retention of
Improvements.
4. More Than One Owner. Due to instances where the original owner quit claimed items to
other family members, usually children, many appraisal files have more than one owner. In these cases,
the names of all owners should appear on the appraisal file. The automated records and the rolodex file
should cross-reference the multiple ownership.
5. Government Properties. Improvements which appeared to have been built with Federal, State,
or tribal funds, such as range improvements and community facilities, were appraised by field staff. As a
general rule, records of improvements located within a client's traditional use area were filed with the
client appraisal record for reference purposes; while records of improvements located in a common area,
such as the Coal Mine Chapter house/community service facilities were filed in separate folders.
6. Refused Appraisals. In a minority of cases, the residents refused to allow ONHIR staff to
conduct an appraisal. In these instances, an envelope was prepared with the information listed in #1
above, but no field records were prepared.
7. Transfer to File Folders. As of the date of these procedures, documents contained in the
appraisal envelopes will be transferred to hard cover file folders for transfer to the data room when
activity on the appraisal has concluded (at the time of turnover to the tribe exercising jurisdiction). The
MM#1610 Issued 8/1/94; Revised and Reissued
6 9/3/92; 12/8/93; 3/2/2011.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS - HOUSING ACQUISITION
MANUAL SUBJECT 1610 Improvements Located on Partitioned Lands __/s/CJB___
APPROVED
folders will be labelled with the appraisal number, client name, and casefile number.
8. Rolodex File. Information from the appraisal files was recorded on rolodex cards which were
filed in alphabetical order by owner name. The information listed in a. above was recorded on the cards,
along with notes of activity relating to acquisition of the improvements.
1612.2 Automated Files.
GENERAL. The automated computer file was created in 1987 to record the most frequently
needed information in the manual records. Information in the automated files will be updated by the
Relocation Operations Branch Manager or the Administrative Assistant as necessary, as action is taken in
the course of program operations.
The following information is recorded in the automated files, and accessed by the client casefile
number:
a. appraisal number.
b. QQL
c. location of the QQL (NPL, HPL, or District 6).
d. historic (1977) value of the improvement.
e. date the appraisal payment was obligated.
f. type of obligation (code table 34).
g. actual (date of obligation) value of the improvement.
h. date of turnover to the tribe exercising jurisdiction.
i. type of turnover.
j. comments.
1613. REQUESTING A NEW APPRAISAL OR RE-APPRAISAL.
GENERAL. As of the date of these procedures, the majority of improvements on the partitioned
lands have been appraised, and follow-up posting and advertising procedures have been accomplished.
However, the client's appraisal file will be reviewed during case processing to assure that it is complete.
If a specialist learns that improvements owned by a client have not been appraised, the specialist will
initiate a request for appraisal. (For detailed instructions regarding appraisal file review during case
processing, see Subsection MM#1617.)
1. Request for Appraisal. A request for an appraisal of HPL improvements may be initiated by
the specialist when the client's case is being processed by Eligibility/Appeals or Relocation Operations.
If the request is from Eligibility/Appeals it should be in the form of a memo to the Relocation Operations
Branch Manager. The memo should provide the following information:
MM#1610 Issued 8/1/94; Revised and Reissued
7 9/3/92; 12/8/93; 3/2/2011.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS - HOUSING ACQUISITION
MANUAL SUBJECT 1610 Improvements Located on Partitioned Lands __/s/CJB___
APPROVED
- the name, address, and casefile number of the client.
- the QQL of the improvement(s) requiring appraisal.
- the approximate number and types of improvements which need to be appraised.
- appraisal file number, if the client already has an appraisal record.
- the best way to contact the client.
2. Refer Client to Relocation Operations. If the client is in the office when the
Eligibility/Appeals staff member or specialist learns of the need for an appraisal, the client will be
referred to Relocation Operations so that a specialist may be assigned to the case and can make an
appointment with the client to meet him or her at the HPL homesite.
3. Improvements to be Appraised. The request may be for appraisal of all improvements
owned by the client, if the client has no appraisal record or it may be for appraisal of miscellaneous
improvements which the client failed to identify when the original appraisal was conducted.
1614. CONDUCTING AN APPRAISAL.
GENERAL. Upon receipt of a request for appraisal, the Relocation Operations Branch Manager
will assign the job to a Relocation Specialist.
1. Appointment to Conduct Appraisal. If the client is in the office, the Relocation Specialist will
make an appointment to meet him or her at the homesite. The Specialist will ask for directions to the
homesite, and the types of improvements which need to be appraised.
If the client is not in the office, the Specialist will attempt to reach the client by phone, or will
issue a letter to the client, setting an appointment to meet the client at the homesite. The letter will
request the client to phone and reschedule the appointment if the date and time is inconvenient.
2. Appraisal Record. If the client already has an appraisal record, the Specialist will familiarize
him/herself with the contents. If the client does not have an appraisal record, the Specialist will instruct
the Administrative Assistant to assign the next sequential number and prepare a file folder and rolodex
card for the records.
3. Field Appraisal. When he/she arrives at the homesite, the Specialist will ask the client to
point out all improvements to be appraised. The Specialist will perform the following actions:
a. record the improvements on the appropriate field sheet (Residential Field Sheet or
Miscellaneous Improvements).
b. photograph each improvement recorded.
c. prepare a sketch of the homesite showing the approximate dimensions of each
improvement and its relationship to other improvements.
d. the Specialist may obtain an Affidavit of Ownership (or an amended Affidavit) and
post the property while still at the homesite.
4. Value of the Improvements. Upon return to the office, the Specialist will calculate the 1977
Fair Market Value of each of the improvement(s) and enter the values on the field sheets.
MM#1610 Issued 8/1/94; Revised and Reissued
8 9/3/92; 12/8/93; 3/2/2011.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS - HOUSING ACQUISITION
MANUAL SUBJECT 1610 Improvements Located on Partitioned Lands __/s/CJB___
APPROVED
5. Appraisal Summary. The Relocation Specialist will route the appraisal information to the
Administrative Assistant, who will file the documents in the client's appraisal record. The assistant will
prepare an appraisal summary, which is a list of all of the client's improvements with their historic value
and total. The summary is headed with the client's name, appraisal file number, and casefile number.
The appraisal summary is kept in the appraisal file for reference.
6. Manual Record. If the client had no previous appraisal record, the assistant will assign the
next sequential appraisal number and prepare a manual file.
If the client already has an appraisal record, the information will be filed in the manual appraisal
file. The earlier appraisal summary sheet and Affidavit of Ownership will be voided, and new forms
inserted in the file.
7. Data Entry. The Administrative Assistant will perform the following data entry.
a. New Appraisal. The assistant will create a new appraisal record in the automated
files and will enter all information collected to this point in time.
d. Addition to Existing Appraisal Record. The assistant will increase the amount of the
historic improvement value by the amount of the added item(s). No other data entry is required for added
items.
1615. AFFIDAVIT OF OWNERSHIP.
The Affidavit of Ownership, Form MM#1610.1, will be obtained from the client at the earliest
practicable time. As of the date of these procedures, the majority of appraisal files contain Affidavits of
Ownership.
1. Preparation of Affidavit. The Administrative Assistant will prepare the Affidavit of
Ownership from the appraisal summary. The Affidavit will list the client's improvements in sequential
order, without the monetary value. The client will be requested to sign the Affidavit in the presence of a
notary.
a. Signature Obtained in Office. If the client is present in the Office and identifies
improvements which need to be appraised, the Affidavit may be prepared before the appraisal is
performed based upon the client's description of the improvements. The client will be requested to sign
the Affidavit while he/she is in the office.
b. Signature Obtained in Field. The Relocation Specialist may obtain the client's
signature on the Affidavit at the time the Specialist travels to the homesite to perform the appraisal. In
this case the Specialist must be a notary.
c. Affidavit Mailed to Client. If the Affidavit is prepared after all office interviews and
field work have concluded, the Affidavit will be mailed to the client to sign and return. The assistant will
mail the form to the client with a cover letter instructing the client to sign the Affidavit in front of a
notary and have the Affidavit notarized. The assistant will enclose a pre-paid, addressed envelope for the
client to return the Affidavit.
1616. ISSUING THE NOTICE OF INTENT TO ACQUIRE IMPROVEMENTS AND
POSTING THE PROPERTY.
MM#1610 Issued 8/1/94; Revised and Reissued
9 9/3/92; 12/8/93; 3/2/2011.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS - HOUSING ACQUISITION
MANUAL SUBJECT 1610 Improvements Located on Partitioned Lands __/s/CJB___
APPROVED
GENERAL. After the Affidavit of Ownership is obtained, the ONHIR will publish a Notice of
Intent to Purchase Improvements, and will post the property. This is done in order to issue public notice
of the Government's intended action, and allow counter-claimants to the property to come forward to
assert their claim.
1616.1 Posting and Publishing.
Posting and publishing activities have been completed for the majority of improvements which
were appraised during the initial appraisal program. In the event that a new appraisal is conducted, or
review of the appraisal record reveals that notice and posting have not yet been accomplished, the
following actions will be performed.
1. Preparation of the Notice of Intent to Purchase Improvements, MM#1610.2. The Relocation
Specialist will prepare the Notice of Intent to Purchase Improvements. The Notice of Intent to Purchase
must list all improvements the client is claiming, whether or not all the improvements have been
appraised. The Notice of Intent to Purchase will be signed by the Relocation Operations Manager or
his/her representative. The Notice will state:
- description of the improvements.
- the location of the improvements (QQL and chapter).
- that the Office of Relocation intends to purchase the improvements described.
- names of the persons claiming the improvements.
- that anyone else asserting a claim to the improvements must file a claim within
the Office of Relocation within thirty (30) days of the date the Notice of Intent is posted.
2. Publishing the Notice. The ONHIR will publish the Notice of Intent to Purchase in the
following newspapers: * Arizona Daily Sun * The Navajo Times * The Holbrook Tribune.
3. Action of the Administrative Assistant. The assistant will send a copy of the Notice of Intent
to these newspapers, with a cover letter requesting that the Notice be published. The assistant will
request that the newspaper provide the ONHIR with Proof of Publication and a tear sheet of the legal
notice.
4. Posting the Improvements. The Specialist will travel to the field to post the Notice of Intent
to Purchase Improvements. This action constitutes preliminary acquisition notice to the client.
Arrangements should be made in advance for the client to meet the Specialist at the homesite. The
Specialist will sign and date each copy of the Notice and will post copies at the following locations:
- the dwelling or principal improvement at the homesite.
- the bulletin board of the chapter house.
- the bulletin board of the nearest trading post.
- other locations which the Specialist deems appropriate.
5. Posting at the Time of Appraisal. The improvements may be posted at the same time the
appraisal or reappraisal is conducted, if the ONHIR has obtained an Affidavit of Ownership from the
owner.
6. File Document. The Specialist will give a signed and dated copy of the Notice of Intent to
Purchase to the Administrative Assistant to be filed in the appraisal file.
MM#1610 Issued 8/1/94; Revised and Reissued
10 9/3/92; 12/8/93; 3/2/2011.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS - HOUSING ACQUISITION
MANUAL SUBJECT 1610 Improvements Located on Partitioned Lands __/s/CJB___
APPROVED
1616.2 Resolution of Ownership Disputes.
GENERAL. Individuals asserting a counterclaim to the property are allowed thirty (30) days
from the date of publication of the Notice of Intent to Purchase to file a counterclaim. Historically, the
ONHIR has received few counterclaims and they have subsequently been settled between the disputing
parties without recourse to higher authority. In the event of a dispute, the following procedures will
apply:
1. Counterclaims. Counterclaims must be submitted in writing by the claimant and must set
forth factual statements indicating the basis of the claim. Any relevant documentation possessed by the
claimant must be submitted with the claim.
2. Action of Relocation Operations Branch Manager. The Manager will review the claim and
will notify the owner of record that there is a dispute regarding ownership, and the identity of the person
submitting the counterclaim. The Manager will instruct the client to come to an agreement with the
other claimant and inform ONHIR of the decision. The client will be informed that their relocation will
not be processed until an agreement is reached.
3. Resort to Court of Competent Jurisdiction. In the event that the claimants cannot reach
agreement, they may submit the dispute to a court of competent jurisdiction or seek other resolution
sanctioned by Navajo Tribal Code.
1617. REVIEW OF APPRAISAL RECORD DURING CASE PROCESSING.
The issue of client ownership of improvements on the partitioned lands will be covered by case
workers in the Eligibility/Appeals and Relocation Operations branches during client case processing.
1617.1 Review at the Time of Eligibility Determination.
1. Newly Certified Clients. While reviewing documentation pertaining to eligibility, the
Eligibility/Appeals Specialist will determine if the applicant is currently an HPL resident and/or owns
property on the HPL. The Eligibility/Appeals Specialist will check the appraisal files to see if the
applicant already has an appraisal record. If the applicant does not have an appraisal record but owns
property on the HPL, and is determined to be eligible for relocation assistance, the Eligibility/Appeals
Specialist will issue a memorandum to the Relocation Operations Branch Manager, requesting that an
appraisal be conducted. The request for appraisal will contain the information set forth in section
MM#1613.
At the time of the approval of these procedures, clients who may be determined eligible for
benefits include: (1) people who failed to apply for relocation assistance by 7/7/86 but who meet the
eligibility requirements of 25 CFR 700.138; (2) divorced spouses, pursuant to Management Manual Sec.
1220; and (3) denied clients whose denial has been reversed through the ONHIR appeals system.
1617.2 File Review During Counseling.
1. Check of Appraisal Records by Specialist. The Specialist will determine from the automated
records whether or not the client has an appraisal file. The Specialist will also ask the client if they own
improvements on the partitioned lands. If the client is an HPL resident but states that they do not own
the improvements they occupy on the HPL, the Specialist will ask about ownership and will record the
information on the Case Narrative.
MM#1610 Issued 8/1/94; Revised and Reissued
11 9/3/92; 12/8/93; 3/2/2011.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS - HOUSING ACQUISITION
MANUAL SUBJECT 1610 Improvements Located on Partitioned Lands __/s/CJB___
APPROVED
2. Review of Appraisal File. If the client owns improvements and has an appraisal file, the
Specialist will check out the file from the Relocation Operations Branch and will review the file contents
with the client. The Specialist will assure that the file is complete; all improvements owned by the client
have been appraised and all required documentation is in the file.
3. Appraisal Needed. If the client owns improvements on the partitioned lands but has no
appraisal record, or there are additional improvements which need to be appraised, the Specialist will
request an appraisal according to MM#1613.
4. Documentation Needed. The Specialist will check that the appraisal file contains the (1)
Affidavit of Ownership and (2) Notice of Intent to Purchase Improvements. If either of these documents
is missing, the Specialist will refer the client to the Relocation Operations Branch before they leave the
office.
a. Affidavit of Ownership. If the client has not yet signed an Affidavit, the Relocation
Operations Administrative Assistant will prepare an Affidavit for the client to sign in the presence of a
staff member who is a notary.
b. Notice of Intent to Purchase Improvements. If the improvements have not yet been
posted with a Notice of Intent to Purchase Improvements, a Relocation Specialist will be assigned to the
case. The Specialist will make an appointment with the client for a field visit to the homesite. The
Specialist will also assure that the improvements are advertised according to MM#1616.1 of these
procedures.
5. Advice by Specialists. During the discussion about the appraisal file, the Specialist will
explain the ONHIR's policies regarding the HPL improvements which the client owns. The client will be
informed that they may retain any or all of the improvements, provided they move them from the HPL
homesite. (NOTE: the client may only retain improvements which can be moved. The client may not
retain land improvements such as cornfields and earthen dams). If they do not choose to retain the
improvements, they must execute a Quit Claim Deed to the ONHIR at the time they sign the relocation
contract. The Specialist will inform the client that all improvements owned by the client will be turned
over to the Hopi Tribe for removal thirty (30) days after the date of final inspection, which is the date
that the client takes possession of the relocation house. Any improvements which the client has retained
but has failed to remove will be subject to removal by the Hopi Tribe.
6. Owner Retention of Improvements. If the client wants to retain one or more improvements,
the Specialist will list the improvements by improvement number and description on Form MM#1610.3.
The Specialist will route the original to the file room for the client casefile, and will place a copy in the
appraisal file.
1617.3 File Review During Housing.
1. Initial Interview. At the time of the initial interview the Specialist will once again ask the
client if he/she owns improvements on the HPL, and ask the client to verify that the list of improvements
on the Appraisal Summary and Affidavit of Ownership is complete and correct. The Specialist will do
the following.
a. Verification That All Improvements Have Been Appraised. If the client claims
improvements which have not been appraised, the Specialist will schedule a field trip to conduct the
appraisal prior to scheduling the contract signing (see previous sections MM#1613 and MM#1614).
MM#1610 Issued 8/1/94; Revised and Reissued
12 9/3/92; 12/8/93; 3/2/2011.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS - HOUSING ACQUISITION
MANUAL SUBJECT 1610 Improvements Located on Partitioned Lands __/s/CJB___
APPROVED
b. Completion of File Documentation. The Specialist will obtain the client's signature
on documents which the Administrative Assistant has identified as needed; or, if the Specialist learns
that new appraisal/reappraisal is needed, he/she will assure that associated documentation is completed.
The specialist will initial Optional Form MM#1610.6 to show that action has been completed.
c. Owner Retention of Improvements. The Specialist will ask the client whether or not
they want to retain any of the improvements. If the client wants to retain one or more improvement(s),
but did not previously complete a Owner Retention of Improvements form, the Specialist will obtain a
signed Owner Retention of Improvements form. The original will be held in the mini-file to be attached
to the Relocation Contract. A copy of the owner retention form will be placed in the appraisal file.
2. Notice of Benefit Determination. Cross reference MM#1710 and MM#1640. The
Specialist will incorporate the amount of appraisal to be applied to the housing benefit into the Notice of
Determination of Value. The client will have thirty (30) days to appeal the appraisal amount if they
disagree with it. The Notice of Benefit Determination may be reissued prior to contract signing if there
is a change in the value of the appraisal.
3. Quit Claim Deed. Prior to the pre-construction conference, the Specialist will draft a Quit
Claim Deed, Form MM#1610.4, for the Administrative Assistant to type for the client's signature. The
Specialist will enter the following information on the Deed.
- Quarter Quad location of the client's primary homesite. This information is obtained from the
automated Client Master File inquiry.
- legal description of the quarter quad location. This information is obtained by checking the
USGS topographic maps.
- if the client is quit claiming one or more improvements to the ONHIR, the items will be listed
on the Deed.
- client(s) name beneath the signature line.
4. Executing the Deed. When the client comes to the office for contract signing, the Specialist
will obtain their signature on the Quit Claim Deed, the assistant will type the date onto the Deed. The
Deed will be notarized.
5. Relocation Contract. The following information about the client(s) appraisal will be
incorporated into the relocation contract: amount to be applied to the housing benefit; QQL; and legal
description of homesite quit claimed to ONHIR. If the client is retaining one or more of the
improvements, the contract will state this fact, and will incorporate the requirement that the client will
remove the improvements at their own expense. The client will agree through the contract as well as on
the Owner Retention of Improvements form that any improvements not removed within thirty (30) days
after the date of final inspection will be considered ONHIR property and will be transferred to the Hopi
Tribe for removal. The original Quit Claim Deed with the Owner Retention of Improvements form, will
be attached to the contract and filed in the client casefile. Copies of the quit claim deed and the owner
retention form will be placed in the appraisal file.
6. Data Entry. The Relocation Operations Branch Manager will enter the date of contract
signing in the automated file. Entry of this date automatically updates the date of obligation of the
appraisal amount and code (type) of obligation. The automated system will compute and enter the actual
improvement value, as updated by the Boeckh cost modifier, for all cases with a date of obligation and
"B" (benefit) obligation code.
MM#1610 Issued 8/1/94; Revised and Reissued
13 9/3/92; 12/8/93; 3/2/2011.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS - HOUSING ACQUISITION
MANUAL SUBJECT 1610 Improvements Located on Partitioned Lands __/s/CJB___
APPROVED
7. Data Entry for Cash Payment for Appraisals and Other Types of Appraisal Actions. In cases
of cash payments to estates or to denied clients, or other cases of appraisal disposition which require
special action, the Manager will access the automated appraisal file to perform the following entries.
a. Date of Obligation. The Manager will enter the date of obligation of payment. This
is the date that the ONHIR receives the properly executed (1) request for payment and the (2) Quit Claim
to the ONHIR.
b. Code of Obligation. The Manager will enter the code of obligation: 'C' for cash
payments, 'N' for no payment, or 'O' for other.
c. Actual Improvement Value. The Manager will manually calculate the amount to be
paid based upon the Boeckh cost modifier for estate payments or payments to denied clients, and will
enter this amount.
d. Appraisal Comment. The Manager will enter a brief explanation about the type of
payment or other action.
1618. PROPERTY DISPOSAL.
GENERAL. Pursuant to the terms of the contract between ONHIR and the Hopi Tribe, HPL
improvements acquired by the ONHIR will be turned over to the Tribe's Office of Hopi Lands for
assessment and removal.
1. Quit Claim to ONHIR. The Quit Claim Deed relinquishes ownership of the improvements to
the ONHIR. The ONHIR will retain ownership of the property for thirty (30) days following the date of
final inspection, which is the date the client takes possession of the relocation house. The thirty (30) day
period will be utilized by the client to remove personal property, including any retained improvements,
from the HPL homesite.
2. Notification to Hopi Tribe at the Time of Contract Signing. The Relocation Operations
Branch Manager will notify the Hopi Tribe when a client who owns property on the HPL signs the
relocation contract. The notification will be issued within three days of contract signing, and will inform
the Tribe of the client's name, ONHIR casefile number, appraisal number, quarter quad location of the
property, and projected date for completion of house construction (see sample letter MM#1610.6)
3. Quit Claim to the Hopi Tribe. No less frequently than the beginning of each month, the
Administrative Assistant will run the computer report entitled Appraisals Needing to be Turned Over to
Hopi. The assistant will check that thirty (30) days have passed since the date relocated and will prepare
the following documents to send to the Hopi Tribe:
a. Quit Claim Deed for Each Appraisal. The assistant will prepare a Quit Claim Deed,
Form MM#1610.5, listing all improvements owned by the client. If the client has retained any of the
improvements, these will be marked with an asterisk. When ready, the Quit Claim Deed will be signed
by the Relocation Operations Branch Manager and notarized.
b. Owner Retention of Improvement Forms. The Administrative Assistant will make a
copy of the Owner Retention of Improvements form (if one or more improvements have been retained)
and attach it to the Quit Claim Deed.
c. Photographs of the Improvements. The assistant will make a copy of the photographs
of the improvements which are in the appraisal file. The sheets of original photographs will be attached
MM#1610 Issued 8/1/94; Revised and Reissued
14 9/3/92; 12/8/93; 3/2/2011.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS - HOUSING ACQUISITION
MANUAL SUBJECT 1610 Improvements Located on Partitioned Lands __/s/CJB___
APPROVED
to the Quit Claim Deed. The copies will be placed in the appraisal file; they may be discarded when the
Hopi Tribe returns the original photographs.
d. Cover Letter. The assistant will prepare a cover letter to the Director of Hopi Lands
for the Relocation Operations Branch Manager’s signature, to accompany the documents being
forwarded to the Hopi Tribe. The letter will list the appraisals being turned over, by appraisal number.
The letter will request the OHL Director to sign and return the original Quit Claim Deed, and return the
photographs when the Tribe finishes recording the information they need.
4. Cases Where There is More Than One Owner. In many instances there is more than one
owner of the various improvements. This usually occurred when the original owners quit claimed one or
more items to their children. Usually the quit claimed properties fall into the category of miscellaneous
improvements - corrals, outbuildings, etc. Occasionally dwellings were quit claimed to children. The
assistant will follow this guideline in preparing appraisals for turnover:
Guideline. An appraisal with more than one owner will not be turned over to the Hopi Tribe
until the owner/occupant of the dwelling(s) has relocated. After the principal owner/occupant has
relocated, his/her improvements plus minor improvements owned by other relocated clients who share
the appraisal will be quit claimed to the Hopi Tribe. If there are still one or two family members who
own miscellaneous improvements who have not relocated, their improvements will not be turned over
until they relocate. The assistant will enter a comment on the client's rolodex card and in the automated
file that the rest of the appraisal has already been turned over.
The Administrative Assistant may request assistance from the Relocation Operations Branch
Manager in determining how to handle problematic cases.
5. Data Entry and Mailing. The Administrative Assistant will perform the following data entry
and will mail the documents regular mail to the Office of Hopi Lands.
a. date of turnover, which is the date on the Quit Claim Deed.
b. type of turnover: 'H' for Hopi Tribe.
c. Appraisal Comments: The assistant will enter explanations as appropriate, such as
the numbers of the improvements which the client has retained, or the names of other clients owning
portions of the appraisal.
6. Follow-up Activities. When the executed Quit Claim Deed and original photographs are
returned by the Hopi Tribe, the assistant will file the documents in the appraisal file. The appraisal file
will be placed in a suspense file. If the documents are not returned within a month, the assistant will
telephone the HPL office to inquire about the status of the documents.
7. Transfer to Data Room. When all action by ONHIR staff on an appraisal has been completed,
the appraisal file will be transferred to the data room to be filed in the client casefile. If the casefile is
too voluminous to accomodate the appraisal file, the appraisal file will be filed right next to the casefile.
a. More Than One Owner. If there was more than one owner of the improvements listed
in the file, the file will be placed in the casefile of the principal owner - the client who owned the
dwelling(s). This is usually the original owner, before items were quit claimed to other family members.
The location of the file will be cross-referenced in the casefiles of the other owners.
MM#1610 Issued 8/1/94; Revised and Reissued
15 9/3/92; 12/8/93; 3/2/2011.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS-HOUSING ACQUISITION
MANUAL SUBJECT 1625 Acquisition of Improvements Owned by Denied Applicants
_/s/CJB___
APPROVED
SECTION 1600 RELOCATION OPERATIONS - HOUSING ACQUISITION
SUBJECT 1625 ACQUISITION OF IMPROVEMENTS OWNED BY DENIED
APPLICANTS
AUTHORITY: 25 CFR 700.127
POLICY.
Applicants who are denied eligibility for relocation assistance benefits may receive a cash payment
for improvements which they own on the partitioned lands.
In order to receive a cash payment, the denied applicant must be shown as the owner of the
improvement(s) according to Office of Relocation records as of the date of initial eligibility determination.
The improvement must be located on land partitioned to the tribe of which the owner is not a member. In
addition, the person must have exhausted all administrative appeals, or must have informed the Office of
Relocation that he/she does not intend to appeal the denial. The time period of time allowed for filing
appeal following receipt of denial must have expired before the request will be processed.
PROCEDURES.
1626. REQUEST FOR PAYMENT OF IMPROVEMENTS.
GENERAL. The Relocation Operations Branch Manager shall exercise the operating
responsibility for processing requests by denied applicants for cash payment for improvements. The
Manager will consult with the ONHIR Legal Counsel regarding the applicant's eligibility and appeal status.
Processing payment for improvements for applicants who have been denied eligibility for
relocation assistance but who own improvements on the partitioned lands may be initiated in one of several
ways, as follows.
1. Request by Applicant. A denied applicant who requests payment for improvements which
he/she owns on the partitioned lands must submit the request in writing to the Relocation Operations
Branch Manager. If the applicant has a legal representative, the representative should submit the request.
2. Referral by ONHIR Legal Counsel. The ONHIR Legal Counsel will notify the Relocation
Branch Manager by memo when Final Agency Action is taken on denials of applicants who claim to own
improvements on the partitioned lands. If the applicant has an appraisal file, the memo will reference the
appraisal file number. If the applicant does not have an appraisal file, Legal Counsel will attach copies of
information about the improvements which was considered at the time of initial eligibility determination.
Legal Counsel will issue a letter to the applicant at the last known address informing them that they may be
entitled to appraisal payment, and requesting that they contact the Relocation Operations Branch Manager
to initiate the process.
3. Review of Automated Records by Relocation Operations Branch Manager. Periodically the
Manager will request a report from the Information Systems Branch of denied applicants with completed
or no appeal who have open appraisal records. The Manager will issue a letter to the applicant at the last
known address informing the applicant that he/she may be entitled to appraisal payment, and requesting
that they contact him/her to initiate the process.
MM#1625 Issued 8/2/85; Revised/Reissued 9/8/92;
1 3/2/2011.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS-HOUSING ACQUISITION
MANUAL SUBJECT 1625 Acquisition of Improvements Owned by Denied Applicants
_/s/CJB___
APPROVED
1627. REVIEW OF APPEAL STATUS.
General. The Relocation Operations Branch Manager shall verify that the applicant has received
notification of denial, and shall determine the appeal status of the case. This information is available
through the appeal and determination files in the automated records, and from the Eligibility/Appeals
(Legal) Branch.
1. Applicant With Open Appeal. If the applicant has filed an appeal which is pending action in
the administrative review process, the Manager shall inform the applicant that no action can be taken on
the request for payment until there is Final Agency Action on the appeal or it is withdrawn. The Manager
will document the instructions to the client.
2. Client Did Not File Appeal. If the applicant has not filed an appeal, the Manager will verify
that the applicable time period has expired since the applicant received the Notice of Denial. The date the
applicant received the Notice is available through the automated records. No action will be taken on the
request for payment until the period allowed for filing an appeal has expired.
1628. REQUIRED FILE DOCUMENTATION.
1. Affidavit of Ownership. After receiving a written request for cash payment for improvements
and verifying the applicant's appeal status, the Relocation Branch Manager will review the denied
applicant's appraisal file. The Manager will assure that an appraisal summary has been prepared from the
field records, that an Affidavit of Ownership is on file, and that the property has been advertised and
posted.
a. No Affidavit on File. If the applicant has not signed an Affidavit of Ownership, the
Manager will instruct the Relocation Operations Administrative Assistant to prepare an Affidavit listing
the applicant's improvements in sequential order, without the monetary value. The assistant will mail the
Affidavit to the applicant with a cover letter instructing the applicant to sign the Affidavit in front of a
notary and have the Affidavit notarized. The assistant will enclose a pre-paid, addressed envelope for the
applicant to return the Affidavit. When the Affidavit is returned by the applicant, it will be routed to the
file room for filing in the applicant's case file. A copy will be inserted in the appraisal file.
2. Notice of Intent to Acquire Improvements and Posting the Property. The Manager will assure
that the improvements claimed by the applicant on the Affidavit of Ownership have been posted with the
ONHIR's Notice of Intent to Acquire Improvements, and that the Notice has been published. If posting and
publishing have not been accomplished, the Supervisor will follow the procedures in MM#1616.
3. Notice of Determination of Value and Offer of Fair Market Value for Improvements. The
Notice of Determination of Value and Offer of Fair Market Value for Improvements, Form MM#1625.1,
will be issued no sooner than 30 days after the improvements have been posted and advertised. The Notice
will list the improvements in sequence according to the assigned appraisal number, and will state the value
of each improvement and the total value as modified by the Boeckh Building cost modifier. The Notice
will inform the applicant that he/she has 30 days from the date of the letter in which to appeal the amount
offered. This time period may not be waived by the applicant nor by the ONHIR.
a. Marshall/Swift Boeckh Building Cost Modifier. In cases of request for cash payment
of appraisal by denied clients, the Boeckh Building cost modifier in effect on the date of original denial
will be used to determine the fair market value of the improvements. The Relocation Operations Branch
MM#1625 Issued 8/2/85; Revised/Reissued 9/8/92;
2 3/2/2011.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS-HOUSING ACQUISITION
MANUAL SUBJECT 1625 Acquisition of Improvements Owned by Denied Applicants
_/s/CJB___
APPROVED
Manager will calculate the amount manually, and will enter it in the automated records at the time the
Notice of Determination is prepared.
4. Quit Claim Deed. When the Notice of Determination of Value is prepared, the Relocation
Operations Administrative Assistant will also prepare a Quit Claim Deed for the applicant's signature.
The Quit Claim Deed will list the improvements owned by the applicant. The Deed will be enclosed with
the Notice of Determination and sent to the applicant with a cover letter instructing him/her to sign the
Deed in the presence of a notary and have his/her signature notarized. The Administrative Assistant will
enclose a pre-paid, addressed envelope for the client to return the Deed.
5. Funds Obligation and Disbursement Voucher Request. When the signed Quit Claim Deed is
returned by the applicant, the Supervisor will route a copy of the Deed to the Finance Branch and request
that funds be obligated for the appraisal payment. The Manager will prepare a Disbursement Voucher
Request and route it to the Finance Branch for processing. The payment for the quit claimed
improvements will be sent directly to the applicant.
6. Data Entry. The Relocation Operations Administrative Assistant will perform data entry of the
actual appraisal value, the date of obligation, and obligation code ©, and will note in file comments that
this is a denied applicant payment.
1629. PROPERTY DISPOSAL.
Property acquired from denied applicants shall be offered to the tribe exercising jurisdiction over
the land on which the improvements are located. Transfers of acquired improvements will be processed as
described in MM#1618.
1630. DENIED APPLICANTS WHO CLAIM TO OWN IMPROVEMENTS ON THE
PARTITIONED LANDS BUT DO NOT HAVE AN APPRAISAL FILE.
General. In order to be paid for improvements, the denied applicant must be shown as the owner
of the improvements according to ONHIR records as of the date of the original determination of denial. If
the applicant claims to own improvement(s) on the partitioned lands, but the ONHIR does not have an
appraisal file for the applicant, the Relocation Operations Branch Manager will determine the validity of
the applicant's claim. The Manager may consult with the ONHIR Legal Counsel and other management
staff in assessing the validity of the applicant's claim.
1. Applicant's Assertion of Claim. The applicant will submit the claim to improvements in writing
and will explain the basis for the claim and attach any relevant documents. Legal Counsel will inform the
applicant that the claim to ownership of improvements must be supported by records which date from the
period prior to denial. No payment shall be issued to applicants whose claim is not supported by
documentation. The posting process verifies the applicant's ownership of improvements (see MM#1616)
but for denied applicants, it is not used as the sole means of validating a claim to improvements.
2. Acceptable Documentation. The ONHIR may consider the following records in support of the
applicant's claim of ownership. The property must be described in sufficient detail to enable the
Supervisor to determine the type, condition, and exact location of the property.
MM#1625 Issued 8/2/85; Revised/Reissued 9/8/92;
3 3/2/2011.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS-HOUSING ACQUISITION
MANUAL SUBJECT 1625 Acquisition of Improvements Owned by Denied Applicants
_/s/CJB___
APPROVED
- will
- court award
- quit claim deed
- JUA enumeration listing the applicant as owner of the improvements claimed
- information developed by ONHIR Legal Counsel at the time of the initial determination
- Findings of Fact issued by the Hearing Officer during the appeal process, recognizing applicant’s
claim to ownership of improvements at the time of initial determination of denial
- Information from the applicant's case file or other casefiles relating to the ownership of
improvements
3. Initial Appraisal. If one or more of the improvements claimed by the applicant has not been
appraised, the Relocation Operations Manager will assign a Relocation Specialist to conduct a field
appraisal and create an appraisal record according to MM#1614. The applicant will be told that it may be
necessary for him or her to accompany ONHIR staff who conduct the appraisal in order to locate and
identify the improvements. The Relocation Operations Administrative Assistant will assure that required
file documentation is obtained for the newly-created record (appraisal summary, Affidavit of Ownership,
posting/publishing activity, and data entry).
3. Determination by Relocation Operations Branch Manager . The Manager shall determine
whether or not records submitted by the applicant and/or contained in the ONHIR system of records
support the applicant's claim of ownership. If records support the applicant's claim, the Manager will
process the cash payment according to MM#1628.
4. Denial of Claim. If the Manager determines that records do not support the applicant's claim,
the Manager will issue the applicant a letter denying the payment. Denial of payment may be reviewed by
higher management officials, but is not subject to appeal through the formal appeals process.
MM#1625 Issued 8/2/85; Revised/Reissued 9/8/92;
4 3/2/2011.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS
MANUAL SUBJECT 1640 Housing Acquisition _/s/CJB_
APPROVED
SECTION 1600 RELOCATION OPERATIONS BRANCH
SUBJECT 1640 HOUSING ACQUISITION
AUTHORITY: P. L. 93-531, as amended; 25 CFR 700 Subpart E.
POLICY.
The Office of Relocation will enable certified clients and their families to acquire replacement
housing at a location of their choice. The ONHIR will expend the replacement housing benefits to which
the client is entitled to purchase a house of the client's choice, provided it meets the specifications of 25
CFR 700.53 and 700.55. Each acquisition will be handled as an individual transaction, whereby the
client on behalf of the household contracts with the ONHIR to relocate, and contracts with a contractor or
realtor for the construction and/or purchase of a replacement home.
Upon executing the relocation contract, the client will agree to vacate permanently any
improvements owned on the Former Joint Use Area, and will remove or quit claim to the ONHIR any and
all habitations and improvements located on the land partitioned to the tribe of which he/she is not a
member.
Public Law 93-531 provides for two levels of housing benefit amount: housing benefit for a
family of three or less and housing benefit for a family of four or more. The specific amount is subject to
change to reflect changes in the cost of acquiring decent, safe and sanitary replacement housing.
The assistance payment (incentive bonus) authorized pursuant to sec. 14(b) of P.L. 93-531 shall
be issued to the head of household upon verification of actual occupancy of the replacement dwelling.
PROCEDURES.
GENERAL. The Relocation Specialist will initiate housing acquisition activities when all
counseling phase and site acquisition activities have been completed. Housing acquisition activities will
be coordinated with the activities of the Inspections Section to accomplish timely review of house plans
and inspection of replacement housing.
1641. Establishing the Housing Benefit Amount.
General. Pursuant to P. L. 93-531 and 25 CFR 700.183 (b), the ONHIR may increase or decrease
the amount of housing benefit to reflect changes in the cost of acquiring decent, safe and sanitary
replacement housing.
1. Review of Housing Costs. Relocation Operations Branch (ROB) staff will monitor housing
costs. The ROB Manager will prepare a written recommendation annually for action by the
Commissioner. The ROB Manager may recommend that the housing benefit be increased, decreased, or
remain the same. Cross reference Management Manual Vol. 4, Sec. 1710 Benefits.
2. Recommendation to Executive Director. The written recommendation will be in the form of a
memorandum to the Executive Director. The recommendation shall ordinarily be prepared in March, in
MM#1640 Issued 12/3/93; Revised and Reissued
1 1/1/99; 3/2/2011.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS
MANUAL SUBJECT 1640 Housing Acquisition _/s/CJB_
APPROVED
order to receive action by the first Friday in April as required by 25 CFR 700.183(b). In the
memorandum, the Manager will set forth the factors which constitute the basis for the recommendation.
The recommendation may cover all types of acquisitions, or may affect only (1) minimum or maximum
housing benefit, or (2) on or off-reservation acquisitions.
The recommendation as approved by the Executive Director may be amended later in the year
and prior to the next year's recommendation, if required to meet the exigencies of housing acquisition
costs.
3. Basis for Recommendation. The Relocation Operations Branch Manager will recommend a
change in housing benefit based upon the following factors.
a. Increases or decreases in basic house costs per square foot and options costs as
submitted by contractors for new construction houses.
b. Appraisal reports of off-reservation houses which show changes in construction costs
per square foot.
c. Changes in residential housing costs for Arizona as published in Marshall and Swift's
Residential Cost Handbook and the Marshall/Swift Boeckh Building Cost Modifier.
d. Information regarding changes in HUD housing costs, provided by the Phoenix
District Officer.
4. Review and Action by Executive Director. The Executive Director will review the
recommendation and discuss it with the ROB Manager as necessary. The Manager may be instructed to
obtain additional information. If an increase in benefit is recommended, the Executive Director will
determine the impact of the potential increase on current budget allocations and budget planning. The
Executive Director shall approve or disapprove the recommendation. If the approved recommendation
results in a change in benefit amount, the new benefit amount(s) will be effective the date of the
Executive Director’s approval. The ROB Manager shall disseminate information about the revised
amounts to all departments.
1642. Transferring Client Cases to the Housing Acquisition Phase of Case Processing.
General. The client's case will be transferred from the 'SC' phase of activity to the 'HS' phase of
activity after the client has completed counseling activity, and after the client's site has been acquired and
all necessary clearances obtained or performed by the Homesite Lease Section of the Relocation
Operations Branch.
1642.1 Action to Transfer Case.
1. Relocation Services Checklist. The Specialist will select the Relocation Services Checklist
which is applicable to the client's case. When all counseling actions have been completed and the client's
homesite lease has been completed (for clients moving on-reservation), the specialist will fill out page 1
of the checklist and route it to the Relocation Operations Branch Team Leader for review and approval.
The Specialist will attach any documentation which the team leader will need to review in order to
approve transfer to HS status.
MM#1640 Issued 12/3/93; Revised and Reissued
2 1/1/99; 3/2/2011.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS
MANUAL SUBJECT 1640 Housing Acquisition _/s/CJB_
APPROVED
The checklist is available in form-fill format. Page 1 will be filed in the casefile after the team
leader has approved HS status. The specialist will keep a copy in the mini-file. Entries on the remaining
pages will be made as the case progresses through housing acquisition. When the contract has been
signed, the Specialist will print the checklist and route it through the team leader for signature before
filing it in the casefile. Entries will continue to be made on the checklist until post move counseling has
been completed; at that time the final page will be printed and filed in the casefile.
2. Transfer to HS by Team Leader. Page 1 of the checklist serves as a case tracking form and
verifies that all actions preparatory to the initial housing interview have been completed. If the Team
Leader agrees that the case is ready for the initial housing interview he/she will approve and date page 1,
and enter the approval in the automated records. Data entry will transfer the case to HS status.
If the Team Leader determines that additional information or action is required before the case is
ready for housing, he/she will return the casefile and the checklist to the specialist with instructions.
3. Computer Generated Forms. Data entry will generate the Client Information Summary
Printout (See MM#1640.c). The Specialist will receive a message that the printout is ready.
4. Actions of the Administrative Assistant. Upon receiving the printout, the Specialist will ask
the assistant to prepare a mini-file and file dividers for case documents.
a. Mini Files. The "mini file" is the working file maintained by the Relocation
Specialist while the client is in Housing Acquisition. The assistant will prepare a file folder labeled with
the client's name, casefile number, and census number. Original documents relating to the client's
case will be filed in the client casefile. Copies of documents which the Specialist wants readily
available will be placed in the mini file for reference during case processing. The contents of the mini
file will be discarded after housing acquisition activity has been completed.
Under no circumstances shall mini-files be locked up in Specialists’ desks. The files
must be accessible to the Team Leader and other Branch staff when the Specialist is out of the office.
b. File Dividers. The Specialist will file the originals or copies of all documents relating
to the case in the client casefile as they are received or created. The documents will be organized
according to the headings listed below, and will be filed behind the appropriate file divider. The
Administrative Assistant will type the headings on fifth cut file dividers and deliver them to the
Specialist with the mini file. The Checklist will be filed on the left side of the middle section of the case
file, and the dividers will be filed on the right side underneath the "T" sheet. The dividers will be in the
following order, top down:
(1) Inspection Reports; Invoices; Truss, Termite and Concrete Trip Tickets
(2) Contracts, Change Orders & Time Extensions
(3) Worksheet, Color Sheet, Infrastructure, Escrow Documents, Appraisal, Deed
Restriction
(4) Insurance
(5) Initial Interview Documents, Correspondence & Miscellaneous
MM#1640 Issued 12/3/93; Revised and Reissued
3 1/1/99; 3/2/2011.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS
MANUAL SUBJECT 1640 Housing Acquisition _/s/CJB_
APPROVED
1643. Initial Housing Interview.
General. At the initial housing interview the Specialist will inform the client of the specific
actions required to select a house, house plan, contractor, or realtor. If the client does not take timely
action after the initial housing interview, the specialist will contact the client regularly to determine the
reasons. If it appears that the case may require pro-active intervention, the Specialist may request a case
staffing with the team leader, ROB Manager, Executive Director, and any other staff who may have ideas
which will expedite the case.
1643.1 Scheduling the Initial Housing Interview.
1. Scheduling the Initial Interview. The Specialist will schedule the initial interview within five
days of the client's transfer to HS status. The Specialist will inform the Administrative Assistant of the
date and time for the appointment, and any special instructions which should be incorporated into the
appointment letter. The Specialist will review the casefile to determine if there is any additional
information which the client should bring to the interview.
2. Actions of the Administrative Assistant. The assistant will type a letter to the client
informing him/her of the date and time of the initial interview (see sample letter MM#1640 Attachment
B). The letter will include a signature line for the client to confirm the appointment. A postage paid
addressed envelope will be enclosed for the client to return the signed letter. The letter will also remind
the client to take his/her mileage reading for expense reimbursement. The letter will request the client to
call and reschedule the appointment if he/she unable to travel to Flagstaff on the date/time scheduled.
The letter will be sent regular mail. The Specialist will record the appointment on their schedule.
3. Preparing Materials Needed for the Initial Interview. After instructing the Administrative
Assistant to schedule the initial interview, the Specialist will prepare a packet of materials to be used
during the initial interview. These materials include: For on-reservation moves:
* on-reservation initial interview checklist
* letter of introduction to contractor and instructions for completing the pre-
construction worksheet
* pre-construction worksheet with Part 1 completed by the Specialist (3-5 copies)
* copy of the IHS plot plan attached to each worksheet
* color and appliance worksheet
* NTUA plot plan
* IHS plot plan
* list of contractors
* search expense reimbursement form and instructions
For off-reservation moves:
* off-reservation initial interview checklist
* letter of introduction: off reservation acquisitions
* deed restriction
* list of contractors
* search expense reimbursement form and instructions.
MM#1640 Issued 12/3/93; Revised and Reissued
4 1/1/99; 3/2/2011.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS
MANUAL SUBJECT 1640 Housing Acquisition _/s/CJB_
APPROVED
4. "T" Sheet. The Specialist shall prepare the ONHIR Funds Obligation and Disbursement
Record, known as the "T" sheet (see Attachment MM#1640.T), for the client casefile. The T sheet is a
running record of the funds obligated and expended for the client's benefits. It is filed on top of the
documents pertaining to Housing Acquisition activity. At the time of case preparation, the specialist will
enter the client's name, casefile number, escrow number if applicable, and amounts obligated for housing
benefit, moving, and bonus on the sheet. The document, vendor number, and payee numbers are entered
later by the Finance Branch (see MM#1645.3 #4). The specialist will enter the date, payee, reason for
payment, escrow number if applicable, and amount of payment each time a voucher is prepared. The
payment history recapped on the T sheet is compared with information in the automated records to verify
accuracy.
5. Special Handling Cases. If the case requires special handling, the Specialist will assure that
the casefile contains the instructions necessary for the case to be processed correctly. If the Specialist is
uncertain about the way in which the contracts should be signed or the way payments or property should
be issued, the Specialist will consult with the Relocation Operations Branch Manager for instructions.
The Manager will consult with the Executive Director and/or Legal Counsel for direction as necessary.
Such cases may include:
* conservatorships
* power of attorney
* client occupying temporary emergency housing
* housing requiring extensive handicap modifications.
1643.2 Conducting the Initial Housing Interview.
1. Initial Interview Checklist. There are two checklists for initial interviews: On-Reservation
Initial Interview Checklist, Form MM#1640.1, and Off-Reservation Initial Interview Checklist, Form
MM#1640.2. The Specialist will follow the appropriate checklist while conducting the interview. At the
end of the interview, the Specialist will have the client sign the checklist, to verify that all subjects have
been discussed.
The Specialist may prepare additional notes on issues to cover with the client during the initial
housing interview.
2. Verifying and Updating Casefile Information. At the initial housing interview the specialist
will verify and update any relevant client data which has changed since the specialist's last contact with
the client. Changes which are significant enough that they require changes to the client's automated
records will be routed to the Relocation Operations Administrative Assistant for data entry.
Client information which must be updated regularly in the manual and automated files up to the
time when the client signs the relocation contract is:
* household membership information
* employment/income for clients moving off-reservation
* mailing address
* HPL residence status
* pre-move location description.
MM#1640 Issued 12/3/93; Revised and Reissued
5 1/1/99; 3/2/2011.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS
MANUAL SUBJECT 1640 Housing Acquisition _/s/CJB_
APPROVED
3. Appraisal and Retention of Improvements. If the client has an appraisal, the Specialist will
review the file with the client during the initial housing interview and verify that the client understands
that all of the property will be quit claimed to the Office of Relocation at the time of contract signing
unless the client chooses to retain one or more items. If the client wants to retain the improvements, the
specialist will assure that the client has signed an Owner Retention of Improvements form which
correctly lists the property the client wants to retain.
4. Range Unit Moves. If the client is moving to a range unit, the Specialist will determine from
the Client Information Summary whether the client is a permittee or sponsored family member, and will
observe the following policy guidelines with regard to case processing (cross reference MM#1820).
a. Permittee.
(1) If this is a transferred permit (little "e"), the client who transferred the permit
eligibility must sign their relocation contract first, unless a waiver is granted by the Executive Director.
(2) The Specialist will ask if the client has been contacted by a New Land range
technician regarding the range management plan. If the client states that he/she has not been contacted,
the specialist will arrange a meeting between the client and the Range Management office.
b. Sponsored Family Member.
(1) The client must be sponsored by a permittee living in the same range unit.
(2) The permittee must sign the relocation contract first.
5. Bonus Payment. The Specialist will inform the client of the ONHIR's policy regarding
payment of the bonus. The bonus will be issued upon verification that the client has completed an
application for homeowner's insurance (cross reference MM#1670) and has moved into the replacement
house. As feasible, the bonus payment will be mailed or delivered to the client in the field. The client
must sign the Inspection of Replacement House and Certification of Occupancy form in order to receive
the bonus payment.
6. Homeowner's Insurance (see MM#1670). The Specialist will inform the client that the
ONHIR will pay the first two years of homeowner's insurance from the client's housing benefits, unless
the client is taking out a mortgage on the house, in which case the insurance will be paid through the
mortgage. After the first two years, the client will be responsible for the insurance premium if he/she
wishes to continue the coverage.
7. Home Maintenance Training Program. The Specialist will inform the client of the ONHIR's
home maintenance training program. The Specialist will inform the client that a home maintenance video
will be shown the day of contract signing, and the Home Maintenance Trainer will make an appointment
to conduct the training after the client moves into the replacement house.
8. Key Day. The Specialist will encourage the client to be present at the final inspection to take
possession of the house. The Specialist will instruct the client to phone the office inspections and
compliance staff or keep in contact with the contractor to find out the date when the final inspection will
be performed.
MM#1640 Issued 12/3/93; Revised and Reissued
6 1/1/99; 3/2/2011.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS
MANUAL SUBJECT 1640 Housing Acquisition _/s/CJB_
APPROVED
9. Other Issues. After discussing general requirements associated with case processing, the
specialist and client will discuss issues which the client should consider in selecting a house plan. These
issues will include: number of bedrooms needed to accommodate the family; room arrangement; amount
of storage space needed; maximum glazing on south side of house, for passive solar heating; handicap
features required or desired by the client; and similar issues directly related to the specific circumstances
of the client. The specialist may request that a construction inspector be present during this part of the
discussion to provide technical assistance on questions the client may have about house construction.
If the client has ideas about options which he/she would like, the Specialist will discuss them
with regard to the amount of housing benefit available and the basic house features which must be
considered before options are added to the plan.
The Specialist will also cover any other subjects applicable to the client's type of housing
acquisition, and will give the client the forms specified on the Initial Interview Checklist, and an ONHIR
business card. Types of housing acquisition are covered in following sections of these procedures.
1643.3 Special Arrangements for Clients Requesting Assistance in Selecting a House Plan
or Contractor.
If a client requests assistance from the ONHIR in selecting a house plan or a contractor, the
specialist will submit the request to the Relocation Operations Branch Manager and the Executive
Director. The Specialist will provide an analysis of the client's circumstances and a recommendation for
action. The ONHIR will maintain a list of contractors in good standing who can be contacted on a
rotational basis and requested to submit a bid on the project.
After a plan to facilitate the acquisition has been defined, the Specialist may assist by arranging
meetings in the field between the contractor(s) and client; providing the client with transportation; and
providing language interpretation. The Specialist may recommend a basic house plan model which can
be modified by the client and the contractor.
MM#1640 Issued 12/3/93; Revised and Reissued
7 1/1/99; 3/2/2011.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS
MANUAL SUBJECT 1645 Housing Acquisition __/s/CJB___
APPROVED
ON-RESERVATION RELOCATION
General. The majority of clients who relocate to reservation sites acquire a new construction
home. In a few instances, clients acquire the NHA home which they are currently occupying. The first
part of these procedures will discuss new construction homes.
1645. NEW CONSTRUCTION HOMES.
1645.1 Activities Prior to the Pre-Con.
General. The process of acquiring a new construction home varies in minor respects according
to the location of the home: 1) reservation homesite lease; 2) reservation subdivision; 3) New Lands
Rural Community; 4) New Lands Range Unit.
1. Choosing a Contractor. The client shall select a licensed contractor to build his/her relocation
house. At the time of the initial interview the Relocation Specialist will provide the client with a list of
licensed contractors in good standing who have informed the ONHIR that they want their names made
available to clients. The Specialist will advise the client to contact several contractors, look at houses
they have built, and compare offers before making a final selection. The Relocation Specialist will not
recommend any specific contractor to the client nor discourage a client from selecting a contractor
who is in good standing.
2. ONHIR House Plan Requirements. Contractors who do business with the Office of Relocation
will receive a written description of ONHIR approved materials and specifications. These specifications
are referenced as Exhibit "C" of the contract documents. The specifications are revised periodically as
needed and distributed to all contractors. Inspections and compliance staff will orient new contractors to
the ONHIR's construction requirements.
3. Basic House Plans. In the early 1980's the ONHIR developed Basic House Plans incorporating
energy efficient features. Use of the Basic House Plans has been largely superceded by the submission
by contractors of custom plans incorporating the energy-efficient standards. Contractors who have built
houses for ONHIR clients in the past have copies of the Basic House Plan technical specifications. New
contractors will receive copies of the technical specifications if the client selects one of the plans.
4. Basic Plans Given to Clients. A client moving on-reservation will be given a non-technical
set of the simplified floor plans for Basic House Plans during the initial interview. The client may select
from among these plans or may work with the contractor to develop a set of custom plans which
incorporate the ONHIR requirements.
5. Pre-Construction Worksheet. The Pre-Construction Worksheet, Form MM#1640.3, is used
for on-reservation new construction housing. It is intended to help the client compare prices and options
offered by different contractors. Prior to the initial interview, the Specialist will fill out Part 1 of the
worksheet with the information required by the contractor to estimate construction costs. The Specialist
will attach a copy of the approved materials and specifications and give the client three to five copies of
this package of forms. As applicable to the client's situation, the Specialist will attach SPV
specifications, cistern specifications, and/or septic specifications.
MM#1645 Issued 12/3/93; Revised/Reissued
1 1/1/99; 7/6/11.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS
MANUAL SUBJECT 1645 Housing Acquisition __/s/CJB___
APPROVED
6. Letter to Contractor and Other Handouts. In addition to the copies of the Pre-Construction
Worksheet and specification requirements, the Specialist will give the client the following additional
handouts:
a. On-Reservation Construction Letter to Contractor, Form MM#1640.5. The letter to
the contractor sets forth general requirements governing the contracting process, and specific instructions
for filling out the Pre-Construction Worksheet.
b. Color and Appliance Selection, Form MM#1640.4 (contract document Exhibit E).
This form is attached to the Pre-Construction Worksheet and supplements the information provided by
the contractor on the Worksheet. After the client has selected the house plan he/she wants, the contractor
will discuss each of the items on the Color and Appliance Selection form with the client, and will record
the client's choices. Both the client and the contractor will sign the form. At the time of contract
signing, this form will be attached as Exhibit E to the contract documents.
The Color and Appliance Selection form must be returned to the Specialist at the same
time as the Pre-Construction Worksheet.
c. Plot Plans. The Specialist will provide copies of the homesite lease plot plan and
utility information (IHS and NTUA plot plans) for the contractor's use in preparing the house plan.
d. Travel Reimbursement Claim Form. The Specialist will give the client a copy of the
travel claim form and instruction sheet MM#1640.B.
7. Returning the Pre-Construction Worksheet. Only one Pre-Construction Worksheet should be
returned to the Specialist, the one for the contractor which the client has selected. If the client wants
assistance in choosing a contractor, he/she may bring in worksheets filled out by several contractors and
ask for the Specialist's help in analyzing and comparing options and costs. The Specialist's help will be
limited to comparison of quantifiable items listed on the worksheets. The Specialist will not state an
opinion on the merits of the different contractors being considered.
The Worksheet may be returned to the Specialist by either the client or the contractor. If the
contractor submits the form, it must contain the client's signature, and the Specialist will contact the
client to verify that the client has selected this contractor. The following documents must be attached:
a. The contractor will submit four sets of blueprints. The plans shall include a statement
that they meet ONHIR's specifications and must be signed by the client.
b. The contractor will obtain an estimate of the premium for one (1) year of
homeowner's insurance from an insurance company willing to insure homes on the reservation. The
quote obtained must be on company letterhead and should be for the minimum deductible offered by the
insurance company.
c. Color and Appliance Selection form.
d. If applicable, cost estimates for an SPV and propane system, and/or for individual
cistern and septic, plus a detailed description of the materials and the work which will be done.
MM#1645 Issued 12/3/93; Revised/Reissued
2 1/1/99; 7/6/11.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS
MANUAL SUBJECT 1645 Housing Acquisition __/s/CJB___
APPROVED
8. Review by Relocation Specialist. The Specialist will review the worksheet, blueprints, and
insurance estimate, and will contact the contractor if necessary to clarify any issues. The Specialist will
verify that the contractor has provided the following information:
a. The Worksheet is complete; all required entries have been made by the contractor.
b. The client has signed the Worksheet and has verified contractor selection.
c. The contractor has submitted four sets of blueprints, and the blueprints have been
signed by the client.
d. The submission includes an insurance estimate from a company which is willing to
insure on-reservation homes and the estimated cost for two (2) years of coverage has been accurately
calculated and recorded on page 2 of the Worksheet.
e. The Specialist will double check the accuracy of the cost totals entered on the
Worksheet for the basic house and options.
9. Contractor License Number. If the contractor is a new contractor who has not previously
done business with the ONHIR, and the contractor is operating in a state which has a contractor registry,
the Specialist will contact the contractor registry to verify that the contractor has a valid license. If the
contractor does business with ONHIR regularly, the Specialists will routinely verify the validity of the
license twice a year.
10. Transmitting the Plans to Inspections staff. After verifying that all required documents have
been received and that the costs have been calculated correctly, the Specialist will fill out Form
MM#1640.6, Plans Transmittal Memorandum, and attach the blueprints and Worksheet. The Specialist
will make a copy of the transmittal memo for the mini file and route the original and attachments to
inspections staff.
11. Plan Review by the Inspections staff. Inspections staff will set up a plan check file for the
client and conduct plan review according to the procedures in MM#1540. The plan reviewer will check
the square footage of the house as shown on the blueprints against the square footage entry on the
Worksheet to make sure the contractor has calculated the square footage accurately.
The plan reviewer will contact the contractor directly if clarification of minor technical points
is needed. The Specialist will not generally be involved during this phase of activity. If there are major
or numerous problems with the plans the plan reviewer will return the plans to the Specialist with the
Plan Review Form stating all of the items requiring correction or clarification. The Specialist will
contact the contractor about the problems and will resubmit the changed/corrected plans when they are
received from the contractor.
If discussions with the contractor over problem issues do not result in agreement, the Specialist
will instruct the client to look for another contractor. (Cross Reference MM#1641.)
12. Review by the Construction Representative. The Construction Representative will review
the work of the plan reviewer and will identify any problem issues which must be discussed with the
contractor prior to or during the pre-construction conference. The Construction Representative will
calculate the cost of the house per square foot and the cost of options selected by the client, and will
determine whether or not the cost is reasonable. The determination is based upon experience with
historic and current residential construction costs.
MM#1645 Issued 12/3/93; Revised/Reissued
3 1/1/99; 7/6/11.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS
MANUAL SUBJECT 1645 Housing Acquisition __/s/CJB___
APPROVED
13. Approval by Relocation Operations Branch Manager. After all staff reviews have been
completed, the house plans, Pre-Construction Worksheet, Pre-Con Notes and any other related
documents will be routed to the Relocation Operations Branch Manager for final review and preparation
of the On-Reservation Infrastructure Computation Sheet. After approval of all documents, the plans will
be routed to the Specialist in the "green file".
14. Contents of the Green File. The green file contains all the documents which the Specialist
will need for the Pre-con. On the right side are copies of documents which will be given to the
contractor, with the exception of the On-Site Clearance Form.
Right Side: * On-Site Clearance
* Homesite Lease approval and tract description
* Feasibility Study with directions to the site
*Archaeological clearance (with special instructions, if applicable)
* IHS and NTUA plot plans
* Copies of Exhibits B,C,D,E, F.
On the left side are documents which the Specialist will use to prepare the contracts. All
documents beneath the Inspection Chart are returned to inspections and compliance staff after the Pre-
con and the green file is then used for the documents created during construction inspection.
Left Side: * Plan Review Form
* Transmittal Memorandum
* Pre-Construction Worksheet with attachments, color sheet, utility information,
insurance quote
Return to Inspections and staff:
* Inspection Chart
* Four (4) copies of the Feasibility Study
Inserted loosely into the file are the 4 sets of blueprints, preconstruction notes, preconstruction
conference checklist, and the On-Reservation Infrastructure Computation Sheet.
15. Notice of Benefit Determination. The Specialist will issue the Notice of Benefit
Determination to the client when the house plans are routed to inspections and compliance staff for
review. If adult children are included in the household, the Specialist must complete the Declaration of
Household Membership before the Notice of Benefit Determination is issued. The Specialist will route
the signed Notice to the Administrative Assistant who will mail it certified mail, return receipt requested.
The Notice informs the client that he/she has thirty (30) days to appeal the determination if he/she
disagrees with it.
1645.2 Pre-Construction Conference (cross reference MM#1540)
General: Pre-construction conferences will be held for all acquisitions involving new
construction. The Relocation Specialist will coordinate the activities of the conference. There are two
principal functions of the conference: 1) comprehensive review of the house plans to reach final
agreement about construction items and house plan options, and 2) detailed review of the contracts and
other official documents which are executed at the conclusion of the conference. Prior to the Pre-con,
the client will view the home maintenance training video.
MM#1645 Issued 12/3/93; Revised/Reissued
4 1/1/99; 7/6/11.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS
MANUAL SUBJECT 1645 Housing Acquisition __/s/CJB___
APPROVED
1. Scheduling the Pre-Construction Conference. When the inspections staff returns the green
file, the Relocation Specialist will schedule the pre-construction conference. The conference will
include the client, the contractor, the Specialist, a Construction Control Inspector and a representative
from the Range Management Office, if the client is a permittee.
The client will be notified by letter or phone of the date/time the session will begin. The letter
will instruct the client to phone to reschedule the appointment if the date/time is inconvenient.
The Administrative Assistant will enter the date/time the Pre-con is scheduled in the main desk
appointment book.
2. Pre-Con Notes (Cross-reference MM#1540) The Administrative Assistant will enclose a
copy of the Pre-Con Notes, Form MM#1540.4, initialled by the plan reviewer, in the letter to the client.
The Specialist will inform the client of the items which he/she must be prepared to discuss at the Pre-con,
and will instruct the client to think about these items. The Administrative Assistant will also send a copy
of the Pre-con notes to the contractor.
3. Review of Contract Documents by Relocation Team Leader. Ten days prior to the Pre-con,
the Specialist will assemble the files containing the information necessary to prepare the contract
documents. The specialist will prepare the contract documents for review by the Relocation Team
Leader, using the Contract Review Checklist (see attached example) to assemble the information and
documents. The Specialist will complete the entries on the Contract Review Checklist and forward the
Checklist and the typed contract documents to the Team Leader. The Specialist will include these files:
* green file (plan review file)
* client casefile
* mini file
*appraisal file (if client has an appraisal)
4. Review by Relocation Team Leader. The Team Leader will review the contract documents
against the information in the relevant files, including the automated records, for accuracy, consistency,
and completeness. The Team Leader will note any necessary corrections and instruct the Specialist as
appropriate. The Specialist will prepare the final contract documents from the drafts as corrected or
changed by the Team Leader. The contract documents are:
1. Contract for Relocation: New Construction
2. Quit Claim Deed and Owner Retention of Improvements, if applicable
3. Construction Contract
4. Exhibits A, B, and C
5. Disbursement Schedule - Exhibit G
6. Warranty Agreement
7. Memorandum - Utility Information
The contract documents will be computer generated. The Specialist will type or write the
required entries onto the Contract Data Worksheet. The Administrative Assistant will type up the
Contract Data Worksheet and will generate the contract documents through merge. The Assistant will
deliver the contract documents to the Specialist after they have been generated and the Specialist will
proof the final documents to assure that all provisions applicable to the case have been included in the
contract documents.
MM#1645 Issued 12/3/93; Revised/Reissued
5 1/1/99; 7/6/11.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS
MANUAL SUBJECT 1645 Housing Acquisition __/s/CJB___
APPROVED
Examples of contract documents are available from the Administrative Assistant. They are not
included with the forms attached to this section of the management manual.
5. Home Maintenance Training Video. Prior to the Pre-con, the Specialist will show the home
maintenance training video to the client and will discuss any questions which the client has about the
subjects presented.
6. Review of Plot Plans. The pre-con will begin with review of the plot plan and the siting of
the house with respect to the utility plot plans submitted by IHS and NTUA. If the house is being served
with individual cistern and septic, the plot plan will be prepared by the engineering technicians. After
the plot plan has been prepared, if either the contractor or client want a deviation of more than ten (10)
feet for the house location, the plan must be resubmitted to the engineering staff who prepared it. The
engineering technicians will determine if the water and sewer and electric service connections are
impacted by the change and will calculate cost and material changes.
7. Review of Construction Plans. The Construction Control Inspector will discuss the house
plans selected by the client, following the items on the Pre-Construction Checklist MM#1540.6. Copies
of the blueprints will be spread out in front of the contractor and the Inspector. Conference participants
will also have copies of the Pre-Construction Conference Notes. The Inspector will cover each item
listed in the Pre-Con Notes. Items which are not applicable and/or are not incorporated into the plans
will be crossed out on the Pre-Con Notes. Items which are clarified and are incorporated into the plans
will be marked on the blueprints in red ink. Each red line change will be initialed by the Inspector. The
inspector will write additional information on the Pre-Con Notes as appropriate, and will initial the notes.
The contractor and the client will sign the Pre-Con Notes after decisions have been made on all items.
The Pre-Con Notes will be attached to the construction contract as Exhibit D.
After all final changes have been made the Inspector will double check the contractor's copy and
the backup copy of the blueprints and will verify that all red line modifications have been entered on all
four sets of the blueprints. The contractor must initial each change on one set of plans. The Inspector
will stamp the four copies "approved" and sign and date them.
The Inspector, contractor, and client will sign the Pre-Construction Conference Checklist
verifying that all items were covered.
8. Exhibit B: Individual Specification Summary Sheet. The Specialist will fill out the Individual
Specification Summary Sheet, Form MM#1640.7, in advance of the Pre-con. During the Pre-con, as
final decisions are made about house style, required features, and options, the Specialist will change the
entries on Exhibit B as necessary. The sheet will be typed by the Administrative Assistant for signature
by the client and contractor before they leave the office. The Individual Specification Sheet will be
attached to the construction contract as Exhibit B.
a. Special Conditions. Any special conditions which are not part of the house plans but
are required for the accomplishment of construction will be written onto the Exhibit B by the Specialist.
These additions will be initialed by the client and contractor. For example: client must remove trailer or
other temporary dwelling from premises before construction can start.
b. Changes During the Pre-Con. If there are significant changes in the house plans or
costs during the pre-con, it may be necessary for the Specialist to recess the conference in order to make
changes to the contracts and reprint them. Changes which add to the house costs must be reviewed by
the Construction Representative who will determine if the costs are reasonable. The conference will
MM#1645 Issued 12/3/93; Revised/Reissued
6 1/1/99; 7/6/11.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS
MANUAL SUBJECT 1645 Housing Acquisition __/s/CJB___
APPROVED
reconvene when the contracts are ready. Change orders will not be used to make changes at the time of
the Pre-con. They will be used only to make changes after the contracts have been signed. (See
MM#1655.)
c. Rescheduling the Pre-Con. During the Pre-con there may be such major changes to
the house plans that it becomes necessary to adjourn the meeting and reschedule it after new plans have
been submitted and reviewed by inspections staff The conference may be rescheduled at the request of
the client, the contractor, the inspections representative, or the Specialist.
9. Color and Appliance Selection Sheet. The client's selections among available manufacturers,
styles, colors, and similar choices for appliances, fixtures and paint will be recorded on the Color and
Appliance Selection Sheet, Form MM#1640.4. This form shall be signed and attached to the
construction contract as Exhibit E.
10. Contract Documents. The Specialist will provide the client with the contract documents to
review. The contract documents are:
* Contract for Relocation: New Construction
* Quit Claim Deed; and Owner Retention of Improvements, if applicable.
* Construction Contract
* Disbursement Schedule (Exhibit G)
* Warranty Agreement
The Relocation Specialist will explain the documents as necessary and will answer any questions
which the client has about the provisions of the documents. If there are any last minute changes to any of
the documents as a result of the review of house plans or for other reasons (i.e. client changes his/her
mind about improvements to be retained), the Specialist will make the changes and the Administrative
Assistant will produce a final document for signature while the client is in the office.
The Specialist will assure that the contractor and client sign each of the contract documents, as
specified on the document, before leaving the office.
The contract documents will be arranged in the following order for review by the Relocation
Team Leader and Relocation Operations Branch Manager and filing in the casefile:
* Contract for Relocation
* Construction Contract
* Exhibit B, Color Sheet, Precon Notes, Plot Plan
* Disbursement Schedule (Exhibit G)
* Warranty Agreement
11. Requirement of Client's Signature on Contract Documents. The person who is the certified
relocatee is the head of household for purposes of relocation planning. This individual must sign all
contract documents which require the relocatee's signature. If the certified head of household cannot
write his/her name, the contract documents will be executed with the relocatee's right thumbprint. The
Specialist will sign as witness to this act.
If the certified head of household cannot be physically present during relocation planning and
document execution, or if the certified head of household is incompetent to participate in relocation
planning and document execution, the ONHIR will assure that housing documents are executed by a
MM#1645 Issued 12/3/93; Revised/Reissued
7 1/1/99; 7/6/11.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS
MANUAL SUBJECT 1645 Housing Acquisition __/s/CJB___
APPROVED
properly authorized power of attorney or court appointed guardian/conservator. These arrangements
must be made while the client is in the counseling phase of case processing.
If the benefit entitlement has been transferred to the spouse or other family member as the result
of the death of the original applicant, the casefile will contain documentation of the transfer and the
surviving household representative will sign the contract.
12. List of Subcontractors and Suppliers. The contractor will submit a list of the subcontractors
and suppliers he/she intends to use. The list should be submitted at the time of contract signing so it can
be reviewed as part of the package of contract documents submitted to the Relocation Operations Branch
Manager for review and signature.
13. Homeowner's Insurance. (Cross Reference MM#1670, Homeowner's Insurance.) The
Specialist will give the client a copy of the insurance quote which the contractor has submitted. The
Specialist will inform the client of the following ONHIR requirements regarding homeowner's insurance:
a. Insurance Application. If the company is willing to provide blank copies of its
insurance application form, the Specialist will have the client fill out the application at the pre-con. If
the company requires the client to come into its offices and fill out an application in person, the
Specialist will so instruct the client. The ONHIR will authorize round trip mileage reimbursement from
the client's pre-move location to the offices of the insurance agent for this purpose. The Specialist will
instruct the client to submit the claim as soon as the trip has been completed and to attach evidence that
he/she has been to the insurance company and filled out the application form. Such evidence may be a
copy of the signed application form or copy of the insurance binder, intent to insure, or equivalent
documentation.
b. Evidence of Completed Application for Bonus Payment. The Specialist will inform
the client that the bonus will not be issued until the client has moved into the new house and also until
the ONHIR has received confirmation from the insurance company that coverage is ready to go into
effect.
14. Utility Deposits. At the Pre-con the Specialist will get the client's signature on applications
for water and power service in areas served by NTUA and/or CDEC. The completed applications will be
placed in the green file and routed back to the inspections staff. The amount required for deposits will
be withheld from the client's moving money and issued to the utility provider by the ONHIR. Clients
moving to areas served by other providers will have to go to the company offices to fill out an application
and make the deposit.
15. Clients Who Are Receiving New Lands Grazing Permits. After the contract documents have
been signed, the Specialist will contact the representative of the New Lands Range Office who has been
scheduled to meet with the clients. The range official will obtain the client's signature on the term permit
and on the Range Management Plan for the unit to which he/she is moving. (Cross reference
MM#1820.)
16. Invoices. The contractor must invoice the OHNIR for work done. Since the amount of each
draw is predetermined and specified in the Disbursement Schedule Exhibit G, the contractor may submit
all invoices at the time of the Pre-con and the Specialist will hold them until inspections staff submits a
passed inspection report for each of the invoiced construction stages.
MM#1645 Issued 12/3/93; Revised/Reissued
8 1/1/99; 7/6/11.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS
MANUAL SUBJECT 1645 Housing Acquisition __/s/CJB___
APPROVED
17. Search Expense Claim. The Specialist will pick up the pre-move search expense claim from
the client at the pre-con, and make sure that all entries have been completed and the client has signed the
form. The specialist will explain how the claim is processed.
18. Post Move Expense Claim. The Specialist will give the client an expense reimbursement
form for one post-contract trip. The ONHIR will authorize search expense reimbursement for one trip
for the client to travel to the insurance agency to submit the homeowner's insurance application. The
expense reimbursement will be processed when the client submits evidence of completed insurance
application. The ONHIR will not reimburse a client for post-contract travel for any other purpose.
1645.3 Activities Immediately Following the Pre-Con and During the Remainder of the
Housing Acquisition Phase of Case Processing.
General. The Relocation Specialist will double check all contract documents to verify that they
are complete and all entries are correct. The Specialist will route the documents as instructed below.
During the construction process the Specialist will process construction payments and serve as the
primary contact for any issues or problems which may impact completion of the house according to the
terms of the construction contract.
1. Review by Relocation Team Leader. After the Pre-con has concluded, the Specialist will
submit the contract documents as a package to the Relocation Team Leader for review. The Team
Leader will check documents to make sure that the contents are accurate and complete and are arranged
in the required order for signature by the Relocation Operations Branch Manager.
2. Approval by Relocation Operations Branch Manager. After the Team Leader has reviewed
the contract documents they will be routed to the Manager for approval and data entry. The Manager
will sign as provided on the documents.
3. Data Entry by Relocation Operations Branch Manager. The Manager, or Team Leader in
his/her absence, will perform the following data entry. Data entry of the date of contract signing
automatically transfers the client case from the housing phase to the construction phase in the automated
records.
(a). Screen #1: Contract Information Update.
* date contract signed
* anticipated completion date
* contractor vendor number
* benefit amount
* appraisal amount
* infrastructure amount
* moving expense amount
* square footage of house
* fiscal year obligation
(b). Screen #2: Relocation Home Legal Description.
*state
*county
*tax parcel number (off-reservation only)
MM#1645 Issued 12/3/93; Revised/Reissued
9 1/1/99; 7/6/11.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS
MANUAL SUBJECT 1645 Housing Acquisition __/s/CJB___
APPROVED
*legal description
©. Screen #3: Payment Schedule Entry:
*amounts of the draws to be disbursed to the contractor
and to IHS and NTUA, per the schedule listed in the Construction Payment Contract.
4. Distribution of Copies of Contract Documents. After all signatures have been obtained, the
Relocation Specialist will file the original contract documents in the client casefile. The Specialist will
tab the payment schedule for ready reference and will distribute copies as follows:
a. Client Copies. The client will receive copies of all documents which he/she has
signed, except the house plans. A copy of the house plans will be sent to the client by inspections staff
after construction has been completed.
b. Contractor Copies. The Relocation Specialist will mail the contractor the following
documents after the Relocation Operations Branch Manager has signed them: Construction Contract,
Disbursement Schedule, Color and Appliance Selection Sheet, Pre-Con Notes, Exhibits, Warranty
Agreement, and any other documents from the right side of the green folder.
c. Plan Check File. The Specialist will place the following documents in the green
file/Plan Check File and route it to inspections staff: NTUA utility application, Pre-Con Notes, four
copies of the approved house plans, Exhibit B, Color and Appliance Selection sheet, plot plans for
homesite and utilities, and Form MM#1640.8, Information for Utility Providers.
5. Coordination With the Finance Branch. The Relocation Specialist will make copies of the
relocation contract and the disbursement schedule for the finance branch. The Specialist will highlight
the amounts listed in the relocation contract, and the prepayments and moving expense on the
disbursement schedule. He/she will deliver the copies and the casefile to the Finance Officer. The
Finance Officer will assign the vendor number and document numbers for disbursement of housing,
bonus, and infrastructure funds. The Finance Officer will enter these numbers on the ONHIR Funds
Obligation and Disbursement Record (the "T Sheet").
The Finance Officer will set up the vendor file and create the Client Obligation and Payment
Record. Vouchers and supporting documents (as appropriate) submitted by the Relocation Specialists,
along with the corresponding fiscal activity documents, will be filed in the vendor file. The Finance
Officer will enter the funds obligated, payments, dates of payment, and batch numbers on the Client
Obligation and Payment Record, and maintain a running balance of funds disbursed and remaining in the
vendor account.
The Finance Officer will return the casefile and the “T” sheet to the Specialist, who will enter the
amounts obligated for each expenditure category on the “T” sheet.
6. Utility Deposits. If utility deposits are not covered by pre-paid agreements, the Relocation
Specialist will prepare vouchers for utility deposits. The checks will be sent to ONHIR, and when they
are received the Specialist will issue the checks and the application for service, signed by the client, to
the service providers.
7. Travel Claims. The Finance Branch will provide the Specialist with a copy of the client's
search expense claim after reviewing and approving it. The Specialist will send the claim to the client
with a cover letter alerting the client that he/she will be receiving the payment within two weeks.
MM#1645 Issued 12/3/93; Revised/Reissued
10 1/1/99; 7/6/11.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS
MANUAL SUBJECT 1645 Housing Acquisition __/s/CJB___
APPROVED
8. Letter to the Insurance Company. At the sheetrock draw, the Specialist will issue the First
Year Insurance Letter (see attached example) to the insurance company which submitted the cost
estimate, informing them that the client has selected them as the insuring agent and has signed the
relocation contract. The Specialist will provide the client's name, address, phone number (if applicable),
ONHIR casefile number, the legal description of the house location, and directions to the house. The
letter will also instruct the insurance company that any refunds should be issued to ONHIR and not to the
client.
The Relocation Specialist will be responsible for providing any other information or documents
required by the company, (i.e. photographs). At the time of the final inspection, the Specialist will
contact the insurance company to verify that everything is in place for the homeowner's policy to go into
effect.
9. Notifications to Indian Health Service. (Cross reference MM#1774.) After the house has
passed the footing and foundation inspections, the Specialist will issue Notification of Passed Footing
and Foundation, Form MM#1774.2, to the Indian Health Service (IHS) District Engineer. This report
will alert the Engineer that the contractor's heavy equipment is off the site and IHS can proceed to install
the septic tank and/or begin construction on the water and/or sewer lines.
A second notification to Indian Health Service will be automatically generated when the house
passes interim inspection. This signals that the house will be completed in about sixty (60) days and the
water and septic should be completed when the house is finished.
Other Notifications. The Specialist will inform the District Engineer by memo if construction is
halted for any reason, or any other unusual event occurs which will impact the construction work to be
done by Indian Health Service.
10. Change Orders. The Relocation Specialist will process change orders in accordance with
MM#1655.
11. Review of Inspection Reports. The white copy of the inspection reports will be routed
through the Construction Representative to the Relocation Specialist. There are four possible results of a
scheduled inspection: passed, passed with carry-over items, cancelled, and failed. The Administrative
Assistant will data enter the following information from the inspection reports, as applicable, and route
the reports to assigned Relocation Specialist.
*number of failed items
*number of items carried forward
*'contractor not ready for inspection' code
12. Construction Draws. Upon receipt of a passed inspection report the Relocation Specialist will
prepare a voucher for funds disbursement. The Specialist will check the inspection report to see if the
contractor will be charged a reinspection fee. If so, the Specialist will record it on the “T” sheet and on
the disbursement schedule next to the draw from which the fee will be deducted.
Five payments or more are issued to the contractor during the course of house construction.
Specific dollar amounts of the payments are stated in the Disbursement Schedule. When the Specialist
receives a "passed" or "passed with carry over" inspection report, the Specialist will pull the pre-
submitted invoice and prepare a Disbursement Voucher Request Form. If the contractor did not submit
invoices at the pre-con, the Specialist will suspense the payments until the invoices are received.
MM#1645 Issued 12/3/93; Revised/Reissued
11 1/1/99; 7/6/11.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS
MANUAL SUBJECT 1645 Housing Acquisition __/s/CJB___
APPROVED
The Relocation Specialist will enter the vendor number, payee number, document number, amount
of payment, date, and face-of-check comment on the voucher. At the bottom of the voucher the
Specialist will enter the total payment, client name and casefile number and calculate and enter any funds
to be deobligated from the original contract amounts due to reinspection fees or change order
modifications. Only one draw is permitted per voucher; any other entries on the voucher can only be a
deobligation with explanation.
The Relocation Specialist will initial the voucher and route it to the Construction Representative to
double check the entries and calculations. After it is checked the voucher will be routed to the Finance
Branch. Vouchers are due every Wednesday by 10 a.m. unless otherwise instructed on holidays. The
voucher will be filed in the vendor file by the Voucher Examiner. The contractor's invoice and the white
copy of the inspection report will be filed in the casefile by the Relocation Specialist behind the
apppropriate file divider.
Partial Payments: No partial draws will be made to a subcontractor or supplier without a written
request from the contractor and the approval of the Relocation Operations Branch Manager.
13. House Wiring Compliance. When the house passes interim inspection the contractor is
responsible for insuring that the electrical subcontractor submits a statement that the electrical system
installed in the house meets code requirements. This statement or form is submitted to the Relocation
Operations Branch Administrative Assistant.
14. Action at the Time of Sheetrock Inspection. The sheetrock inspection signals that the house
should be ready for final inspection in about six weeks. At the time the house passes sheetrock, the
Relocation Specialist will do the following:
*Order the remaining moving expense allowance;
*Order the insurance premium;
*Mail the insurance application, plot plans, and directions to the homesite with the “First
Year Insurance” letter; and
*Write the client about the final inspection.
a. Moving Expense Allowance. At the time the house passes the sheetrock inspection the
Relocation Specialist will prepare a Disbursement Voucher Request for the amount of moving expense
allowance remaining after the utility deposit has been subtracted.
b. Insurance Premium. (Cross reference MM#1670.) The Relocation Specialist will order the
first year insurance payment when the house passes the sheetrock inspection. The check will be sent
directly to the insurance agent.
c. Bonus Check. The Specialist will order the bonus check at the time of sheetrock inspection.
The check will be sent to the ONHIR.
d. Letter to Client. When the house passes sheetrock, the Specialist will write to the client and
inform him/her that the/she will soon be receiving the moving allowance check and will inform the client
of the approximate date of final inspection. The Specialist will encourage the client to be present at the
final inspection to take possession of the house and will instruct the client to telephone the Construction
Representative, or keep in contact with the contractor, to find out the date of the final inspection.
MM#1645 Issued 12/3/93; Revised/Reissued
12 1/1/99; 7/6/11.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS
MANUAL SUBJECT 1645 Housing Acquisition __/s/CJB___
APPROVED
15. Action after Final Inspection. When the Relocation Specialist receives the passed final
inspection report, he/she will do the following:
*Order the final draw.
*Send the photographs to the insurance company and request the company initiate coverage.
*Issue the “Inspection of Replacement Dwelling and Certification of Occupancy Form.”
*Complete the “Case Closing Sheet.”
*Make sure that lien waivers have been received from all subcontractors and suppliers.
a. Transmitting Photographs to the Insurance Agent. As of the date of these procedures,
insurance agents providing coverage for reservation houses require photographs of the stove and two
exterior views of the completed home, prior to effecting coverage. The photographs will be taken by the
Construction Control Inspector at the time of final inspection and routed to the Relocation Specialist
along with the passed final inspection report.
The Relocation Specialist will assure that the photographs accompany the final inspection report,
and are correctly labeled. The Specialist will transmit the photographs to the insurance agent within 24
hours, using overnight mail or delivering the photos personally if the agency is located in Flagstaff.
b. Case Closing Sheet. After receiving the passed final inspection and ordering the contractor's
final draw, the Relocation Specialist will fill out the Case Closing Sheet, Form MM#1640.20. This
form is available in ONHIR “Forms Made Easy.” The Relocation Team Leader will review the closing
sheet and perform the following data entry: date of final inspection, warranty expiration date, type of
warranty, benefit document number.
c. Lien Waivers. The Relocation Specialist will review the list of subcontractors and suppliers
submitted by the contractor at the time of contract signing and verify that all subcontractors and suppliers
have submitted lien waivers, Form MM#1640.21, stating that they have been paid in full. The list
should reflect any changes which have occurred since contract signing. The final draw will not be issued
until all lien waivers have been received.
16. Client Possession of Home. When the house has passed the final inspection, the contractor
will give the client the keys to the house. This usually takes place at the homesite, frequently at the time
of final inspection. Generally the contractor takes the client through the finished house and explains the
features of the house and the operation of the mechanical systems and appliances.
17. Inspection of Replacement House and Certification of Occupancy. This form is generated by
the computer entry of the date of passed final inspection. A Warranty Complaint form will be attached to
the Inspection/Certification form. The form requires the client to inspect the house and report any
observable defects on the Warranty Complaint form. A client may not subsequently complain that
something was wrong when he/she moved in if he/she does not report it at the time of move-in.
The bonus check will be sent certified mail after the Inspection/Certification form has been signed,
notarized, and returned to the Relocation Specialist. Before issuing the bonus check, the Specialist will
verify that all actions to effect homeowner's insurance are completed.
MM#1645 Issued 12/3/93; Revised/Reissued
13 1/1/99; 7/6/11.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS
MANUAL SUBJECT 1645 Housing Acquisition __/s/CJB___
APPROVED
If workload permits, the Relocation Specialist will schedule a field visit to obtain the client's
signature on the Inspection/ Certification form and deliver the bonus check. If a field visit is not
possible, the bonus check will be sent by certified mail.
No Homeowner's Insurance Application. If the client has failed to submit a completed application
for homeowner's insurance, the Specialist will notify the client that the bonus check will not be sent out
until the application is submitted.
18. Property Disposal. If the client claimed ownership of improvements on the HPL the property
will be conveyed to the Hopi Tribe by means of a Quit Claim Deed, approximately thirty (30) days after
the house passes final inspection. The Administrative Assistant will prepare these conveyance
documents monthly according to the procedures set forth in MM#1610.
19. Case Transfer to Post-Move Status. When the house passes final inspection, data entry of the
date of final inspection by the Relocation Team Leader will transfer the case automatically into post
move (PM) status.
20. Closing Out the Mini-File. When the housing acquisition is completed and the mini-file is no
longer needed, the Relocation Specialist will file any original documents in the main casefile and destroy
copies of any documents which are no longer needed.
21. Second Year Insurance. The Relocation Specialist will run as needed a report of outstanding
second year insurance premiums for his/her clients. The report will reflect:
*client name *date relocated
*casefile number *date first year policy expires.
If the insurance agent has not yet invoiced the ONHIR for the second year premium, the
Relocation Specialist will phone the insurance agent and request an invoice. The agent may provide a
verbal quote, to be followed by a invoice, from which the Specialist can prepare the voucher. The
payment will be issued electronically to the agent or regional office, as appropriate. The Specialist will
notify the client by letter that payment has been ordered. A copy of the letter will be sent to the agent.
Refunds. All refunds will be issued to the ONHIR. The Relocation Specialist will inform the
insurance company of this policy. When a refund is received, the Specialist will check the records and if
the client used personal funds (including bonus and moving money) for the purchase of the house the
refund will be reissued to the client.
Data Entry. When the second year insurance is paid the Relocation Specialist will enter this in the
automated records. This entry eliminates the client's name from the list of outstanding second year
payments.
The Relocation Specialist will notify the client by letter that the premium has been paid and that
this is the final premium payment by ONHIR. A copy of the letter will be sent to the insurance company.
1645.4 Special Conditions Affecting Clients Moving to the New Lands and Reservation
Subdivisions.
There are minor variations in procedures for moves to reservation subdivisions, depending upon
the subdivision. The Relocation Operations Manager will inform the Relocation Specialists of any
special conditions which must be observed in moving clients to subdivisions located on the reservation.
Special conditions may include the following:
MM#1645 Issued 12/3/93; Revised/Reissued
14 1/1/99; 7/6/11.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS
MANUAL SUBJECT 1645 Housing Acquisition __/s/CJB___
APPROVED
1. Construction Requirements. Subdivisions may have certain housing design specifications or
technical building requirements. The Relocation Specialist will provide the contractor with
specifications and requirements applicable to the subdivision.
2. Infrastructure Allowance. In cases where the ONHIR is building the infrastructure for
subdivisions there will be no infrastructure allowance added to the client housing benefit.
1645.41 Special Conditions Applicable to the New Lands.
1. Infrastructure Allowance. Because the ONHIR is funding infrastructure on the New Lands,
there is no infrastructure allowance added to client housing benefit.
2. Utility Service. After the house passes interim inspection the Relocation Specialist will send
the following forms to “Continental Divide Electric Cooperative,” with a cover letter.
*Application for Electric Service,
*Meter Deposit Fee (The current amount required by Continental Divide Electric Cooperative.)
*Two (2) Data Cards,
*Letter of Compliance, and
*Map with the legal description of the property.
Copies of the above documents will be filed in the client casefile.
3. Grazing Issues.
a. Permittee.
1. If the client or spouse is a permittee, the Relocation Specialist will assure that a
representative from the Range Office is present at the Pre-con to obtain the permittee's signature on the
Range Management Plan and the term grazing permit.
2. If the client has a transferred permit, the Relocation Specialist will assure that the
person who transferred permit eligibility has already signed a contract; or that the Relocation Operations
Branch Manager has obtained a waiver of this requirement from the Executive Director.
b. Sponsored Family Member.
If the client is a sponsored family member, the Relocation Specialist will assure that the sponsor
is a permittee who has already signed a contract or that the Relocation Operations Branch Manager has
obtained a written waiver of this requirement from the Executive Director.
1646. Acquisition of Navajo Housing Authority (NHA) Housing.
General. A client who has moved off the Hopi Partitioned Land and is buying a house may
acquire the house as his/her relocation home. On the Navajo reservation a client may be purchasing a
home through the Navajo Housing Authority's mutual help or home ownership programs which are
funded by the Department of Housing and Urban Development. Acquisition of such homes will follow
the procedures contained in this section, with necessary modifications as determined by the Relocation
MM#1645 Issued 12/3/93; Revised/Reissued
15 1/1/99; 7/6/11.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS
MANUAL SUBJECT 1645 Housing Acquisition __/s/CJB___
APPROVED
Specialist and the Relocation Operations Branch Manager, based upon the circumstances of the
particular case.
The client's benefit will be applied to the acquisition in the following manner: 1) problems or
defects which represent safety items must be repaired; 2) benefit monies remaining after the repairs have
been made will be applied to the purchase price of the house; 3) if any benefit funds remain after
essential repairs have been made and the house has been paid off, the remainder may be used for options
desired by the client as approved by the Relocation Operations Branch Manager.
Depending upon the amount which the client owes on the NHA house and the cost of required
repairs, the payment made by ONHIR to NHA may not result in the house being full paid off. However,
the payment will substantially reduce the number of years the client will be making payments. Some of
the procedures stated below will depend upon whether the house can be paid off completely or whether
the client will still be making payments under the terms of the NHA contract.
1. Inspection of the House. When a client wants to acquire his/her NHA house the Relocation
Specialist will request the Construction Representative schedule an inspection of the house.
2. Requesting Pay-Off Figure. The Relocation Specialist will write directly to the Navajo
Housing Authority central office in Window Rock and request an updated statement of the account
balance on the housing contract. The Specialist will also request the infrastructure cost for the project.
3. Safety Items Which Must be Repaired. The Relocation Specialist will review the Inspection
Report and will discuss the report with the Construction Representative in order to determine an
estimated cost of repair. In cases of NHA house acquisition the report will be prepared as a narrative
list which the client can use to obtain bids from contractors. The report shall separate the required
corrections from the items desired by the client.
4. Initial Housing Interview. After the Relocation Specialist has obtained the pay-off figure and
the inspection report, the initial interview will be scheduled. The Specialist will inform the client of the
updated pay-off amount and the approximate amount of benefit required for essential repairs. If the
client wants additional remodeling or modifications to the house, he/she will submit the items to the
Relocation Team Leader and the Relocation Operations Branch Manager for approval.
5. Selecting A Contractor. The Relocation Specialist will encourage the client to take the list of
corrections and the list of desired items to several contractors to compare price estimates. The contractor
whom the client selects to make repairs will submit a bid detailing the work to be done, the cost for
repairing or remodeling each item, and the anticipated amount of time required for the repairs and
remodeling. If an addition is going to be built onto the house, the contractor will submit four copies of
blueprints for the addition.
If it will be necessary for the client to move out of the house while the repairs/remodeling are
accomplished, the contractor will estimate how long a period this will be so that the Relocation Specialist
can make arrangements for temporary accommodations for the client and family (Cross reference
MM#1754, Temporary Accommodations During Initial Acquisition). The Specialist will inform the
client that any costs for temporary accommodations, including furniture storage, will be charged to the
client's housing benefit.
6. Homeowner's Insurance. If the house will be completely paid off by ONHIR, the contractor's
bid must include an estimate for two years of homeowner insurance coverage from a company willing to
insure the home on the reservation. If the house will not be completely paid off, no insurance bid is
MM#1645 Issued 12/3/93; Revised/Reissued
16 1/1/99; 7/6/11.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS
MANUAL SUBJECT 1645 Housing Acquisition __/s/CJB___
APPROVED
required; the house will be covered by NHA insurance while the client is still making payments.
7. Reviewing the Bid. The Relocation Team Leader and the Relocation Operations Branch
Manager will review the repair/remodeling bid and approve or disapprove it. Infrastructure costs will be
allowed only if NHA has provided information about the project infrastructure cost and the number of
units served, for a per capita breakdown of infrastructure allowance.
8. Approval by Navajo Housing Authority. The Navajo Housing Authority must approve repairs
to the house. The Relocation Specialist will send a copy of the list of proposed repairs and remodeling
items to NHA and check with the NHA contact official to verify approval.
9. Review of Blueprints. If blueprints for an addition or for remodeling are required the
contractor will submit four copies of the blueprints. The Relocation Specialist will route the blueprints
to the Construction Representative.
10. Contract Signing. After the blueprints (if any) and costs have been reviewed and approved,
the Relocation Specialist will set a date for contract signing. The Construction Representative will be
notified to have a representative present at the meeting even though there may not be an addition to the
dwelling, as all repairs must pass inspection before the contractor's draws will be issued.
11. Contract Documents. Depending upon the amount and type of repair required by the dwelling,
the Relocation Specialist shall decide whether to use (a) Contract for Relocation and Repairs, or (b)
Contract for Relocation and New Construction Contract. These contracts must be individually prepared
in order to incorporate the clauses applicable to the acquisition. If the ONHIR has agreed to arrange
temporary commercial accommodations during housing renovation, information about the location of the
accommodations and the amounts to be charged to the client's benefits will be stated in the contract.
Warranty Deposit. The Relocation Operations Branch Manager will determine whether or not
the contract will provide for the $1,000.00 warranty deposit. Generally there is no warranty hold back
but the decision will be based upon the list of repairs/remodel items.
12. Memorandum of Agreement (MOA). The Office of Relocation will utilize a Memorandum of
Agreement between the ONHIR and the Navajo Tribal Housing Authority to formalize the purchase of an
NHA home. The MOA will reference the client's existing contract to purchase the NHA house, and will
specify the project number and unit to be acquired and the amount which ONHIR will pay for the unit.
The MOA will be signed by the Relocation Operations Branch Manager and the Director (or designated
official) of the Navajo Housing Authority, Window Rock, Navajo Reservation, Arizona.
13. Issuing the Check to Navajo Housing Authority. The Relocation Specialist will prepare the
Memorandum of Agreement and obtain the signature of the Relocation Operations Branch Manager.
After the contract documents have been signed, the Specialist will give a copy of the relocation contract
and the first two pages of the relocation contract to the Finance Branch, and will prepare a voucher for
the amount to be paid to the Navajo Housing Authority. The Finance Branch will direct that the check
be mailed to the ONHIR office.
When the check is received, the Relocation Specialist will prepare a cover letter to the Director of
the Navajo Housing Authority in Window Rock requesting that the Director (or designated official) sign
and return the Memorandum of Agreement as soon as possible. The Relocation Specialist will inform
the Director of the date when repair work will begin on the house.
The Relocation Operations Administrative Assistant will make copies of the cover letter, the
MM#1645 Issued 12/3/93; Revised/Reissued
17 1/1/99; 7/6/11.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS
MANUAL SUBJECT 1645 Housing Acquisition __/s/CJB___
APPROVED
check, and the Memorandum of Agreement for the client casefile. The original letter, check and
agreement will be sent certified mail, return receipt requested, to the Director of the Navajo Housing
Authority in Window Rock. The Administrative Assistant will type the return mail receipt number on
the cover letter.
14. Construction Start Date. The construction contract will specify a tentative construction start
date which will be no sooner than 30 (thirty) days following the date of execution of the contract, so that
the payment to NHA can be ordered by the Relocation Specialist and received by NHA. The contract
will provide that the contractor shall not begin work until notified to proceed by the Specialist. If it is
necessary for the Specialist to extend the start date, the extension will be accomplished by means of a
contract amendment signed by the client.
Regardless of the date that the Navajo Housing Authority Director signs and returns the
Memorandum of Agreement, receipt and deposit of the check by NHA will constitute action to proceed
with housing repair/remodeling.
15. Other Activities Relating to the Acquisition of a Navajo Housing Authority House. With
certain exceptions as noted, activities following the execution of contract documents follow the general
outline for new construction houses set forth in section 1644.3 of these procedures. In broad outline,
these activities are:
a. The Relocation Operations Branch Manager will review and sign the contract documents.
(MM#1645.3 #2)
b. The Relocation Operations Branch Manager will perform data entry as appropriate to the
case. (MM#1645.3 #3)
c. Copies of the contract documents will be distributed as provided in MM#1645.3 #4.
d. Insurance Premium. If the payment to NHA results in the house being fully paid off, the
contractor will obtain an estimate for insurance coverage and submit it with the bid for corrections. The
Relocation Specialist will obtain a completed insurance application from the client, or will instruct the
client to go to the insurance agency to fill out an insurance application as described in MM#1645.2 #11.
The Specialist will order the insurance check at the time the contract documents are signed. The
Specialist will arrange for insurance coverage to go into effect as soon as possible after the house payoff.
No ONHIR Insurance. If the house is not fully paid off the ONHIR will not arrange for
insurance coverage, as the house will continue to be covered under the terms of the Navajo Housing
Authority Purchase Contract.
e. Moving Expense. The moving expense money may be issued to the client at any time
following the execution of contract documents.
f. Payments to the Contractor. The Relocation Specialist will prepare vouchers for payments
according to the schedule set forth in the payment contract, upon receipt of passed construction
inspection reports.
g. Closing Sheet. The Specialist will prepare a case closing sheet after ordering the final draw.
h. Bonus Payment. In cases of NHA acquisitions, the Specialist will not travel to the home to
verify occupancy and deliver the bonus check. Provided the Specialist has received verification that the
MM#1645 Issued 12/3/93; Revised/Reissued
18 1/1/99; 7/6/11.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS
MANUAL SUBJECT 1645 Housing Acquisition __/s/CJB___
APPROVED
client has applied for homeowner's insurance, the bonus payment will be mailed to the client. The
Specialist will send the client the Inspection of Replacement Dwelling and Certification of Occupancy
Form upon completion of repairs. The form will be sent to the client with a cover letter instructing the
client to sign the form in the presence of a notary and return the form to ONHIR. A postage paid pre-
addressed envelope will be enclosed with the form.
i. Transfer to Post Move. Data entry of the date of final inspection by the Relocation Operations
Branch Administrative Assistant will transfer the case to Post-Move status.
Note: All forms referenced in this section can be found at the end of the section referred to.
MM#1645 Issued 12/3/93; Revised/Reissued
19 1/1/99; 7/6/11.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS - HOUSING ACQUISITION
MANUAL SUBJECT 1648 Housing Acquisition - Off-Reservation Relocation
___/s/CJB__
APPROVED
SECTION 1600 RELOCATION OPERATIONS BRANCH -HOUSING
ACQUISITION
SUBJECT 1648 Off-Reservation Relocation
AUTHORITY: P.L. 93-531, as amended: 25 CFR 700 Subpart E
POLICY.
1648. OFF-RESERVATION RELOCATION.
General. A client who is moving off-reservation will acquire a replacement house through one of
three methods: (1) new construction; (2) resale (purchase of a house available on the local housing
market); (3) mortgage payoff or paydown plus remodeling and repair on the house currently occupied by
the client (commonly referred to as "existing mortgage").
The principal difference between the acquisition of a home on the reservation and a home off the
reservation relates to land title. A client moving to a reservation site will obtain a lease interest in the
one (1) acre homesite or lot on which the house is built. Off reservation the client will obtain title to the
parcel of land on which the house is built. Title will be obtained according to the laws and procedures of
the jurisdiction to which the client is moving.
Purchasing Land Off-Reservation: The ONHIR will purchase a lot in order to build a new house
for a relocatee moving off reservation. The size of the lot will vary according to local market conditions,
but the total cost of the land and house may not exceed the amount of the client's benefit or benefit plus
additional financing arranged by the client. The ONHIR will not purchase land parcels on behalf of the
client for any purpose other than the construction of the relocation house.
Original Documents. Frequently documents required for an off-reservation purchase are faxed to
the Relocation Specialist. The Specialist will require that faxed documents which have legal significance
be followed up by mailed originals. This includes the relocation contract documents and the appraisal.
Data Entry of Actual Relocation Site. Data entry of the actual relocation site for off reservation
moves will be made by the Relocation Operations Branch Manager when the contract has been signed
and data entry of contract data is performed.
1648.1 Housing Initial Interview.
General. During the initial housing interview with clients who are moving off reservation, the
Relocation Specialist will inform the client of the actions required to acquire both new construction and
resale housing. The Specialist will also provide general information about the housing market at the
location to which the client is moving.
The Specialist will follow the Off-Reservation Initial Interview Checklist, Form MM#1640.2, in
conducting the interview. After the interview is over, the Specialist will ask the client(s) to sign the
form, confirming that all subjects were covered. General information which must be discussed with all
clients during the initial interview regardless of relocation site is set forth in MM#1640.3.2. Information
MM#1648 Issued 12/3/93; Revised/Reissued 1/1/99;
1 7/20/00; 7/6/11.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS - HOUSING ACQUISITION
MANUAL SUBJECT 1648 Housing Acquisition - Off-Reservation Relocation
___/s/CJB__
APPROVED
which is applicable only to off-reservation moves is listed below.
The Off-Reservation Initial Interview Checklist will be filed in the client casefile under the
correspondence tab.
1. Housing Expenses. Pursuant to 25 CFR 700.53 (d), monthly expenses of the replacement
house may not exceed 25% of the monthly gross income of the household. Monthly housing costs off
reservation include: utilities, homeowner's insurance, real property taxes, and mortgage payment. The
Specialist will prepare an analysis of the client's household income in relation to anticipated housing
costs to determine maximum allowable housing expense. This figure will be incorporated into the letter
to the contractor or real estate agent. If the client applies for mortgage financing, the Specialist will
inform the lender of the 25% requirement.
In order to prepare the income and expense analysis, the Specialist will do the following:
a. Income and Employment. The Specialist will update casefile information on the
client's (household) annual income and employment. If the information on the Client Information
Summary is not correct, the Specialist will record the information provided by the client on the Client
Information Summary. The Specialist will use code table 19 for occupations and code table 2 for
location of job. The Specialist will route the corrections to the secretary for data entry.
If the household income has dropped below $35,000 the case will be put on hold until the
income goes up, or the Specialist will ask for an income waiver. If the household income is still $35,000
or higher but the client or spouse has changed jobs or employment status, supporting documentation is
needed. Acceptable documentation is: income tax records, W2 copies, cumulative wage statement, year-
to-date; employer statement of earnings. Supporting documents are not needed to verify routine annual
salary increases in the same job.
b. Credit Report. The Specialist will order a credit report if there is no credit report in
the file; or if there is a credit report which is more than six (6) months old. The credit report will be used
to advise the client about the wisdom of applying for mortgage financing, and the amount of mortgage
which the client can reasonably assume given his/her current debt structure.
c. Income/Housing Cost Analysis. Form MM#1640.17, Income/Housing Cost Analysis
is used to provide the client with a comparison of his/her annual income and current expenses vs. the
housing expenses he/she will incur following the off-reservation move. The Specialist will enter the
client's income, loan and credit card payments, and an approximate figure for post-relocation utility,
property tax, and insurance payments. The Specialist will discuss the anticipated expenses and will give
the form to the client so he/she can enter the amount of the mortgage loan after the client has selected a
house and applied for mortgage financing.
d. Advice to Client. The Specialist will discuss the advantages and disadvantages of a
mortgage, and appropriate size of mortgage considering the family income and obligations. The
Specialist will advise the client about the need to budget for monthly and annual payments for utilities,
mortgage, property tax and insurance.
1). Property Taxes. The Specialist will explain that if the client takes out a
mortgage, property tax and homeowner's insurance will be collected through the monthly payments if it is
MM#1648 Issued 12/3/93; Revised/Reissued 1/1/99;
2 7/20/00; 7/6/11.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS - HOUSING ACQUISITION
MANUAL SUBJECT 1648 Housing Acquisition - Off-Reservation Relocation
___/s/CJB__
APPROVED
a PITI loan. PITI stands for "principal, interest, taxes and insurance." Not all loans provide for the
collection of taxes and insurance premiums. If the client does not have a PITI loan, the client will have
to budget and set aside money for the bi-yearly tax payment and homeowner's insurance (after the first
two years). The Specialist will explain the consequences of not paying the property tax.
2). Property Tax Proration. The Specialist will explain to the client that taxes
are due every six months (by October 31 and April 30 in Arizona). Depending upon the date that escrow
closes, a client may either owe taxes on the property or may receive a tax credit. Tax payment or credit
will be handled through escrow. The Specialist will advise the client about the tax payment which
applies in the client's particular situation.
3). Special Assessment Districts. If the purchase agreement shows that a resale
house is located in a special assessment district, the Specialist will explain to the client what this means.
Usually the seller will be required to pay the special assessment fee. If this is not feasible, the Specialist
may negotiate a lower house purchase price and ONHIR will pay the special assessment from
infrastructure allowance.
If the client is building a new construction house in a rural area which has been
designated a special assessment district, the ONHIR will pay the assessment from the infrastructure
allowance.
Special assessment fees which are identified prior to contract signing will be
paid in full as part of the contract process, so that the client will not encounter subsequent extraordinary
fees. However, if a client moves to a rural area which is designated a special assessment district after the
client has relocated, the ONHIR will not be responsible for fees.
2. Types of Ownership Titles. The Specialist will inform the client of the different types of
ownership titles in the jurisdiction where they are moving. The Specialist will explain the differences in
the types of titles, and the advantages and disadvantages of the different types, with specific regard to the
client's personal circumstances. The Specialist will inform the client that the real estate agent/vendor
will ask him/her how he/she wants to take title, because the title company will need the information. The
Specialist may provide the client with a copy of Attachment MM#1640.15, Forms of Ownership, if the
client wants a written explanation of the different ways of taking title in Arizona.
3. Infrastructure Allowance. Cross reference MM#1770. The ONHIR may contribute from
discretionary funds an amount not to exceed 30% of the total housing benefit plus infrastructure cost for
infrastructure to be brought to the lot line. Infrastructure may include water, sewer, natural gas,
electricity; and items which meet subdivision development requirements, such as streets, sidewalks,
curbs, gutters, and streetlights. Infrastructure does not include telephone or cable.
During explanation of the client's benefits, the Specialist will explain the off-reservation
infrastructure allowance. The Specialist will inform the client that ONHIR can pay an amount equal to
the costs for off-site infrastructure if the developer or seller can provide a statement of development
costs. This means that the housing benefit will be increased by the amount spent on the approved
infrastructure development. If the contractor/seller does not provide documentation on infrastructure
cost, no allowance will be provided when the client contracts for his/her house. The Specialist will
explain that the infrastructure allowance is not a set amount; it depends upon what the developer spent.
MM#1648 Issued 12/3/93; Revised/Reissued 1/1/99;
3 7/20/00; 7/6/11.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS - HOUSING ACQUISITION
MANUAL SUBJECT 1648 Housing Acquisition - Off-Reservation Relocation
___/s/CJB__
APPROVED
4. ONHIR Deed Restriction. The Specialist will inform the client that the title will contain a
deed restriction which is applicable for the first two years that the client owns the home. The deed
restriction is intended to assure that the client makes an informed decision if he/she wants to sell the
house or borrow money using the home as security. The deed restriction requires that the client consult
with ONHIR if he/she proposes a transaction which will alter the terms of the title. Cross reference
MM#1780, Deed Restrictions. If the client obtains mortgage financing in order to build or buy the
house, the deed restriction does not apply to the lender, who is in first position on the lien.
5. Letters of Introduction. The Specialist will give the client as many copies as needed of the
Letter of Introduction - Off-Reservation Acquisitions. The Specialist will carefully explain the terms of
acquisition which are contained in the letter of introduction:
* the ONHIR will not pay more than the appraised value of the house.
* the house is subject to the inspection and approval of the house by the ONHIR.
* the acquisition is contingent upon the client raising sufficient funds, which may include
a mortgage and personal savings in addition to the government housing benefit and
infrastructure.
6. Instructions to Client. The Specialist will instruct the client about contacting real estate
agents/contractors, and will inform the client of the process which will occur once he/she has found a
house or house plan that he/she wants to acquire. The Specialist will advise the client not to sign any
purchase agreement without prior approval of the ONHIR; the ONHIR may reject any purchase
agreement negotiated by the real estate agent/contractor and client without ONHIR review and approval.
The Specialist will answer the client's questions and conclude the interview with instructions to
contact the Specialist as soon as he/she finds a house or a contractor.
7. Checklist #3. Checklist #3, which is available in the form-fill word processing library, will
be used by the Specialist for off-reservation moves. As the case proceeds, the Specialist will use
Checklist #3 to enter actions and receipt of documents. If the client chooses a new construction house,
the Specialist will fill out Part A of Checklist #3. If the client chooses a resale house, the Specialist will
fill out Part B of the Checklist.This form will be filed in the client casefile when the acquisition has been
completed.
1649. OFF-RESERVATION NEW CONSTRUCTION.
General. Acquisition of a new construction home off reservation varies from acquisition of a
new construction home on reservation in these principal respects:
(1) ONHIR does not perform feasibility studies on off reservation lots. However, flood plain
clearance and archaeological clearance are required.
(2) Payments are disbursed through escrow rather than directly to the contractor. In Arizona,
escrow is administered by a title company, and these procedures describe this type of disbursement.
Disbursement methods vary from state to state, and the Specialist will process payments according to the
requirements of the locality where the client is building.
MM#1648 Issued 12/3/93; Revised/Reissued 1/1/99;
4 7/20/00; 7/6/11.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS - HOUSING ACQUISITION
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(3) The Pre-Construction Worksheet and associated forms are not used for off-reservation
construction. The contractor shall submit a sales agreement which describes what is being provided,
including lot, utility hookups, and completed house.
(4) The contractor must provide at his/her expense an appraisal of the house plans on FNMA
1004 Appraisal Report.
(5) The client will frequently obtain mortgage financing in order to acquire the house of his/her
choice.
(6) The ONHIR warranty agreement and $1, 000 warranty hold back applicable to on-reservation
construction shall not apply to off reservation construction. The home owner shall have recourse to the
protections and indemnification procedures established by the jurisdiction to which he/she is moving.
1. Lot Acquisition. When the client chooses a contractor and house plans, the contractor will
identify lots which are available for building and will acquire the lot selected by the client. Lot costs will
be incorporated into the sales agreement and the construction payment contract.
Occasionally a client will find a lot and will want to purchase it before he/she has selected a
contractor; or will already own or be making payments on a lot. These cases are unique and must be
handled by the Specialist according to the circumstances of the acquisition. The Specialist will develop
wording to be incorporated into the relocation contract and payment contract which states the purchase
terms, and will obtain approval from the Relocation Operations Branch Manager and the Executive
Director. The following guidelines will apply to such acquisitions.
a. Purchase of Lot by ONHIR. The ONHIR cannot disburse housing acquisition funds
until the relocation contract is signed. Lot cost is the first payment issued pursuant to the construction
payment contract after the relocation contract is signed. If a client wants the ONHIR to purchase a lot
before he/she has selected a contractor, the Specialist will strongly advise that the sales agreement
between the client and the lot seller allow for a 60-90 day closing in order for the following
contingencies to be met:
(1). The lot must receive floodplain clearance and archaeological clearance.
The Relocation Specialist will initiate these reviews (see section 1654 of these procedures).
(2). The title company handling the transaction must submit a preliminary title
report or condition of title report.
(3). The purchase of the lot will be contingent upon the client selecting a
contractor and submitting blueprints and having them approved by ONHIR within the specified closing
period.
Under no circumstance will the purchase of the lot be finalized before the contract is
signed. If the client has secured the lot by making an earnest deposit and subsequently changes his/her
mind, the ONHIR will not reimburse the forfeited deposit.
MM#1648 Issued 12/3/93; Revised/Reissued 1/1/99;
5 7/20/00; 7/6/11.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS - HOUSING ACQUISITION
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APPROVED
b. Purchase of a Lot by the Client. If the client is making payments on a lot, the client
may instruct ONHIR to use the amount necessary from the housing benefit to pay off the lot through the
relocation contract and construction payment contract. Alternately, the client may prefer to continue
making payments independent of the relocation contract in order that all of the housing benefit be
available for construction of the house.
No ONHIR deed restriction will be placed on lots purchased by the client.
Lots which are being purchased or are owned outright by the client must meet the
requirements of (1) and (2) above: there must be a title report stating that the lot is free of liens; and the
lot must receive floodplain and archaeological clearance.
2. Selecting a Contractor. The Specialist will advise the client to contact several contractors
who build houses in the community where the client is moving, and discuss development of a house plan
which meets the client's needs. The Specialist will recommend that the client compare offers from
several contractors before making a final selection. The Specialist may provide a list of contractors, but
will not recommend a specific contractor to the client. If the client wants assistance in choosing a
contractor, he/she may ask for the Specialist 's help in analyzing and comparing house plans and costs
submitted by different contractors.
3. House Plans. In consultation with the contractor, the client will choose a house plan which is
within the amount of the client's benefits and infrastructure allowance, plus any additional financing that
the client may obtain. ONHIR's Letter of Introduction - Off-Reservation Acquisition states the
conditions which must be met in order for the ONHIR to build the house. The Specialist will clarify any
questions which the contractor may have regarding the terms of purchase.
4. Documents Required From Contractor. The Specialist shall obtain the following documents
from the contractor selected by the client:
a. Sales Agreement. The contractor selected by the client will submit a sales agreement to
the ONHIR. The agreement may take the form of a letter, contract, or other written document. The sales
offer must contain the following contingencies:
1). The sale is subject to the inspection and approval of the home by the
ONHIR.
2). The sale price (price negotiated) will be $ (specific amount) or ONHIR
approved appraisal, whichever is less.
3). The sale is contingent upon the client obtaining sufficient funding through
housing benefits, infrastructure, loan, and personal funds.
b. House Plan. The contractor must submit plans which include:
* 4 copies of working blueprints signed by the contractor and the client.
* 4 copies of Federal Specification Form 2005, Description of Materials
* plot plan
MM#1648 Issued 12/3/93; Revised/Reissued 1/1/99;
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MANAGEMENT SECTION 1600 RELOCATION OPERATIONS - HOUSING ACQUISITION
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* mechanical schedule (as appropriate)
* schedule of windows and doors
* cross section drawings and elevation plans
* truss certificates
The contractor may submit ONHIR Form MM#1640.4, Color and Appliance Selection
Sheet as an optional form, and/or may submit additional specification sheets for house components.
c. Appraisal. The contractor must submit an Appraisal of Fair Market Value of the
house. The appraisal shall be in the form of FNMA 1004 Appraisal Report.
d. Insurance Estimate. If the client fails to obtain an insurance estimate, the contractor
must obtain and submit a cost estimate for one year hazard insurance with the minimum deductible
offered by the company. The estimate must be on insurance company letterhead (cross reference
MM#1670).
e. Infrastructure Breakdown. In order for the client to receive an allowance for the cost
of bringing infrastructure to the lot line, the contractor must provide a breakdown of the lot development
costs, as listed on Form MM#1640.14 (cross reference MM#1770). Infrastructure costs must be set
forth on the contractor's letterhead, signed by the contractor/developer.
f. Copy of Contractor's State License. The contractor must provide either a copy of his/
her state license, or the license number. The Specialist will contact the Registrar of Contractors (or
other appropriate office, depending upon the jurisdiction) to verify that the license is valid and the
contractor is in good standing.
5. Title Company. An escrow shall be established with a title company for the purpose of
processing the documents and disbursing all funds required for the purchase. The contractor may
recommend a specific title company to the client; however, the client, as buyer, shall have the right to
make the final decision as to which title company is selected to handle the transaction. When the title
company has been selected, the Specialist will obtain the following documents from either the title
company or the contractor:
a. Preliminary Title Report. The title company will provide a preliminary title report for
the land and will initiate a title insurance policy for the lot. After the house is built the insurance policy
will be amended to include the value of the house. The Specialist will verify that the preliminary title
report includes the following information:
* client's name and signature must match
* method of vesting
* legal description
* any liens against the client must be shown on the preliminary title report
* any tax liens or special assessments on the property.
* commitment to insure
b. Covenants, Conditions and Restrictions attached to the land. This information may be
submitted separately from the preliminary title report.
c. Escrow Instructions if available. A sales agreement, or a letter from the Specialist
stating ONHIR requirements as set forth in Form MM#1640.20, Letter of Introduction - Off-Reservation
MM#1648 Issued 12/3/93; Revised/Reissued 1/1/99;
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MANAGEMENT SECTION 1600 RELOCATION OPERATIONS - HOUSING ACQUISITION
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Acquisition, may serve as escrow instructions.
6. Loan Approval. Any additional financing obtained by the client must be finalized before the
relocation and housing contract documents are signed. The client and/or lending institution must provide
the Specialist with the following information, which may be in the form of a letter of commitment or
good faith estimate of settlement costs:
* amount of the loan
* interest on the loan
* terms and conditions of the loan, including: do the installment payments include
or exclude tax and insurance impound; any balloon payment, number of months
of loan.
The Specialist will analyze the monthly payments in relation to the requirement that total
monthly housing costs may not exceed 25% of the gross household income. The Specialist will
incorporate the information about the loan into the contract documents.
7. Review by Specialist . The Specialist will use Form MM#1640.14 Items Needed for Off-
Reservation New Construction as a self-check that all essential documents required for the purchase have
been received. The Specialist will assure that all issues related to the acquisition have been satisfactorily
addressed by the contractor, title company, finance institution, and client. If negotiations with the
contractor over price or other issues do not result in agreement, the Specialist will instruct the client to
look for another contractor.
8. Review and Approval by Relocation Operations Branch Manager. The Specialist will submit
the infrastructure breakdown to the Relocation Operations Branch Manager. The Manager will fill out
Form MM#1770.2, Off-Reservation Infrastructure Computation. If the amount which the Manager
approves exceeds $20,000 the Manager will submit the infrastructure cost calculations to the Executive
Director for final approval. The Manager will also review and approve the appraisal.
9. Transmitting the Plans to Inspections and Compliance. The Specialist will fill out Form
MM#1640.6, Plans Transmittal Memorandum, and attach the blueprints and required documents. The
Specialist will route the memo and attachments to Relocation Operations/Inspections and Compliance
staff.
10. Plan Review by ICB. Inspections and compliance staff will set up a "green file" for the
client and conduct plan review according to the procedures in MM#1540. If the Construction
Representative requires additional information, he/she will inform the Relocation Specialist who will
contact the contractor for the information.
11. Notice of Benefit Determination. The Specialist will issue the Notice of Benefit
Determination to the client when the house plans are submitted to Inspections and Compliance. If adult
children are included in the household, the Specialist must complete the Declaration of Household
Membership by Specialist before the Notice of Benefit Determination is issued. The Notice must be
reviewed and signed by the Relocation Operations Branch Manager. The Specialist will route the signed
Notice to the Relocation Operations Administrative Assistant, who will mail it certified mail, return
receipt requested. The Notice informs the client that he/she has thirty (30) days to appeal the
determination if he/she disagrees with it.
MM#1648 Issued 12/3/93; Revised/Reissued 1/1/99;
8 7/20/00; 7/6/11.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS - HOUSING ACQUISITION
MANUAL SUBJECT 1648 Housing Acquisition - Off-Reservation Relocation
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APPROVED
12. Scheduling the Pre-Construction Conference. When the inspections staff returns the green
file to the Relocation Specialist, the Specialist will schedule the Pre-Construction Conference. The
conference will include the client, the contractor, the Specialist, and a construction inspector.
The client will be notified by letter or phone of the date/time the session will begin. The letter
will instruct the client to phone to reschedule the appointment, if the date/time is inconvenient.
The Administrative Assistant will enter the date/time the pre-con is scheduled in the main desk
appointment book.
13. Pre-Con Notes cross reference MM#1540 p. 5 #7. The assistant will enclose a copy of the
Pre-Con Notes, Form MM#1540.4, initialed by the plan reviewer, in the letter to the client(s). The
Specialist will inform the client of the items which he/she must be prepared to discuss at the pre-con, and
instruct the client to think about these items. The Administrative Assistant will also send a copy of the
pre-con notes to the contractor.
14. Review of Contract Documents Relocation Operations Team Leader. Ten (10) days prior to
the pre-con, the Specialist will assemble the files containing the information necessary to prepare the
contract documents. The Specialist will prepare the contract documents for review by the Relocation
Operations Team Leader, using the Contract Review Checklist (see attached example) to assemble the
information and documents. The Specialist will complete the entries on the Contract Review Checklist
and forward the Checklist and the typed contract documents to the team leader. The Specialist will
include these files:
* green file (plan review file)
* client casefile
* mini file
* appraisal file (if client has appraisal)
15. Review by Relocation Operations Team Leader. The Team Leader will review the contract
documents against the information in the relevant files, including the automated records, for accuracy,
consistency, and completeness. The Team Leader will note any necessary corrections and instruct the
Specialist as appropriate. The Specialist will prepare the final contract documents from the drafts as
corrected or changed by the Team Leader. The contract documents are:
1) Contract for Relocation: New Construction
2) Quit Claim Deed; and Owner Retention of Improvements, if applicable.
3) Construction Contract
4) Disbursement Schedule
The contract documents will be computer generated. The Specialist will type or write the
required entries onto the Contract Data Worksheet. The Administrative Assistant will type up the
Contract Data Worksheet and will generate the contract documents through merge. The assistant will
deliver the contract documents to the Specialist after they have been generated, and the Specialist will
proof the final documents to assure that all provisions applicable to the case have been included in the
contract documents.
Examples of contract documents are available from the Relocation Operations Administrative
Assistant. They are not included with the forms attached to this section of the Office’s Management
Manual.
MM#1648 Issued 12/3/93; Revised/Reissued 1/1/99;
9 7/20/00; 7/6/11.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS - HOUSING ACQUISITION
MANUAL SUBJECT 1648 Housing Acquisition - Off-Reservation Relocation
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APPROVED
1649.1 Pre-Construction Conference and Activities During the Remainder of the Housing
Acquisition Phase of Case Processing.
General: Procedures for the pre-construction conference and contract signing, and activities
subsequent to contract signing are substantially the same for off-reservation moves as they are for on-
reservation acquisitions. Cross Reference MM#1645: On-Reservation Relocation.
The principal differences between procedures followed by the Specialist for an off-reservation
acquisition as opposed to an on-reservation acquisition relate to the close of escrow. At the time the final
payment is issued to the title company, the Specialist must assure that:
(1). The Specialist has confirmed in writing the closing costs which will be charged to the
buyers/clients as incidental expenses.
(2). The title company has provided or is in the process of providing ONHIR with a copy of the
updated title insurance policy and a copy of the deed to the house.
(3). The ONHIR deed restriction has been incorporated into the copy of the deed provided to
ONHIR.
1650. OFF-RESERVATION RESALE HOUSING.
General. During discussions between the Relocation Specialist and the client, resale houses are
generally described for convenience purposes as either "spec" homes or older homes. "Spec" homes are
newly constructed houses offered by the contractor through realty listings. Resales which are not "spec"
houses have been previously owned.
All resale houses will be inspected by the Construction Control Inspector. The Specialist will
advise the client that resale houses may have hidden problems which cannot be detected through the
inspection process; the older the house, the more likely it is to have problems. If the inspector notes
safety or health items which do not meet ONHIR standards, the seller will be required to correct them.
The ONHIR will require termite inspection. Depending upon the results of the inspection,
termite treatment may be required. Costs of termite treatment will be paid by ONHIR from incidental
costs.
The seller has the right to withdraw from the purchase transaction if the ONHIR inspection
results in a determination of repairs which the seller is unwilling to make.
The ONHIR will not require the seller to remodel or to make minor maintenance or cosmetic
repairs to the resale house. The client will be advised that the house must be satisfactory "as is" and any
remodeling or minor repair must be negotiated by the client as part of the purchase contract. Spec homes
offer the client more opportunity to negotiate upgrades and changes with the developer.
Historic Properties. The ONHIR will not acquire houses which are fifty or more years old for
replacement housing.
Modular Units and Mobile Homes. The ONHIR will not acquire modular units and mobile
MM#1648 Issued 12/3/93; Revised/Reissued 1/1/99;
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MANAGEMENT SECTION 1600 RELOCATION OPERATIONS - HOUSING ACQUISITION
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homes for relocation housing.
Appraisals. Residential appraisals will be required for all resale acquisitions. The appraisal will
be initiated by either the seller or the lender. The Relocation Operations Branch Manager will review
and approve the appraisal amount, and may order an independent appraisal. As a general rule, the
ONHIR will not pay more than the ONHIR approved appraised value of the house. Exceptions may be
made on a case-by-case basis as approved by the Manager and the Executive Director.
1. Selecting a Real estate agent. The Specialist shall instruct the client to contact real estate
agents and/or developer's sales offices in the community where he/she plans to relocate. The Specialist
will give the client copies of Form letter MM#1640.11 Letter of Introduction - Off-Reservation
Acquisition to give to the real estate agent and title company. The client will be instructed to call the
Specialist when he/she has found a house he/she wants to buy. The client will be instructed not to sign a
sales agreement until it has been approved by ONHIR.
2. Sales Agreement. When the client has found a house that he/she wants to purchase, the
Specialist will contact the real estate agent about the terms of the sales agreement. The Specialist shall
verify that the agreement contains the following contingencies:
a. The sale is subject to the inspection and approval of the home by the ONHIR.
b. The sale price (price negotiated) will be $ (specific amount) or ONHIR approved
appraisal, whichever is less.
c. The sale is contingent upon the client obtaining sufficient funding through housing
benefits, infrastructure, loan, and personal funds.
If the client makes an earnest deposit on the house, the deposit may be refunded to the client if
the purchase agreement is approved by ONHIR and if there are sufficient funds available from the
housing benefit after the purchase transaction is completed.
3. Inspection of House. The Specialist will submit a Plans Transmittal Memorandum to Inspections
and Compliance requesting that an inspection of the house be conducted. The inspector will use the
resale inspection checklist when conducting the inspection. The inspector will report any items which do
not meet ONHIR safety standards and which must be corrected before the purchase is consummated. A
copy of the report will be given to the real estate agent or seller.
a. House Meets Code Standards. If the house passes inspection and does not require
repairs, the Specialist will proceed with final review of the purchase contract and all other documents
required to draft the housing contracts.
b. House Does Not Meet Code Standards. If the house does not pass inspection and
requires repair/modification to bring it up to ONHIR safety requirements, the Specialist will provide the
real estate agent with a list of the repairs which must be made by the seller. After the seller has made the
repairs, the real estate agent will notify the Relocation Operations Inspections/Compliance
Administrative Assistant who will arrange for a reinspection.
If the seller has agreed to make repairs to non-safety items, reinspection may not be
necessary. The Construction Representative has the discretion to approve repairs based upon written
verification signed by the real estate agent and client that the seller has made the agreed-upon repairs.
MM#1648 Issued 12/3/93; Revised/Reissued 1/1/99;
11 7/20/00; 7/6/11.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS - HOUSING ACQUISITION
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APPROVED
c. House Requires Extensive Repair. If the house requires extensive repairs and the
construction inspector recommends against the purchase, the Construction Representative will submit the
recommendation in writing. The Specialist will advise the client to look for a different house.
The ONHIR will not acquire the house if the cost of repairs will exceed the housing
benefit. If the cost of repairs will not exceed the housing benefit and the client wants to purchase the
house despite the recommendations of the construction inspection office, the client's request must be
approved by the Executive Director.
The Relocation Specialist and the Construction Representative will prepare a report to
the Executive Director through the Relocation Operations Branch Manager which details the inspection
findings and potential problems with the house; the client's reasons for wanting to buy the house; and
alternatives available to the client. The client may be required to sign an acknowledgment that ONHIR is
unable to inspect certain features of the house - ie. mechanical systems - which would require removing
walls, flooring, etc.
4. Title Company/Escrow Instructions. As set forth in paragraph 5, pg. 7, of these procedures,
the client/buyer shall make the final decision in deciding which title company will handle the pending
transaction. Subsequent to the establishment of an escrow with the selected title company, the Specialist
will contact the escrow officer to begin work on the transaction.
5. Other Documents Required. In addition to the purchase contract, the following documents
will be obtained by the Specialist from the real estate agent, developer, or other appropriate agent:
* infrastructure and cost breakdown
* FNMA 1004 Appraisal Report
* written estimate for homeowner’s insurance
* preliminary title report for the property or commitment to insure
* escrow instructions (may be verbal or confirmed in writing by the Specialist)
* preliminary settlement statement, RESPA, obtained prior to closing for the
purpose of ordering funds.
Obtained - final settlement statement
After - title insurance policy
Closing - deed/title conveyance containing the ONHIR deed restriction
6. Commercial Financing. Any additional financing obtained by the client must be finalized
before the relocation and resale contract documents are signed. The client and/or lending institution
must provide the Specialist with the following information, which may be in the form of a letter of
commitment or good faith estimate of settlement costs:
* amount of the loan
* interest on the loan
* terms and conditions of the loan, including: do the installment payments include
or exclude tax and insurance impound; any balloon payment, number of
months of loan.
The Specialist will analyze the monthly payments in relation to the requirement that total
monthly housing costs may not exceed 25% of the gross household income. The Specialist will
MM#1648 Issued 12/3/93; Revised/Reissued 1/1/99;
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MANAGEMENT SECTION 1600 RELOCATION OPERATIONS - HOUSING ACQUISITION
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APPROVED
incorporate the information about the loan into the contract documents.
7. Verification of Specialist that all Requirements Have Been Met. The Specialist will use
Form MM#1640.16 Items Needed for Resale Purchase as a self-check that all required documents have
been received. The Specialist will review all documents received in connection with the purchase and
assure that they are complete and correct.
8. Review by Relocation Operations Branch Manager. The Specialist will submit the
infrastructure breakdown to the Manager for review and approval. The Manager will prepare the Off-
Reservation Infrastructure Computation Sheet. If the amount which the Manager approves exceeds
$20,000 the Manager will submit the infrastructure cost calculations to the Executive Director for final
approval.
The Manager must also approve the appraisal and may review the purchase contract and other
associated documents as necessary, depending upon the complexity and circumstances of the purchase.
9. Contract Signing. The Specialist will prepare the contract documents and arrange for contract
signing with the client. It is not necessary for Construction Control Inspector to be present for the
signing of a resale contract.
The resale contract will specify the exact amounts, sources, and recipients of all funds to be
applied to the acquisition. If the client has acquired commercial financing the terms of the loan will be
detailed in the resale contract. Incidental costs which will be paid by the ONHIR are not listed in the
contract.
10. Letter of Confirmation of Payments to be Issued to the Title Company. After the contract
has been signed and the funds have been ordered, the Specialist will issue a letter to the title company
stating the number of payments which the title company will receive, the amount of each payment, and
the costs to which the payments must be applied. The incidental fees which ONHIR is paying are stated
in the letter. Fees which ONHIR will not pay are also stated in the letter. Payments are transferred
electronically.
If the client has obtained financing, the letter will identify the lender and the amount to be
deposited with the title company by the lender.
The Specialist will also reiterate ONHIR requirements that specific documents be submitted
after the acquisition has been finalized. These documents are typically a copy of the final settlement
statement, title insurance policy and copy of the deed with ONHIR's deed restriction attached.
11. Refunds. Overpayments of incidental expenses are refunded to ONHIR. Refunds of
escrow deposit or pre-paid taxes are issued to the client.
1651. EXISTING MORTGAGES.
General. In a small number of cases, a client may have obtained commercial financing and
purchased a home off the partitioned lands prior to developing a relocation plan. These acquisitions are
commonly called "existing mortgages" or "existing houses." If a client wants to acquire his/her own
house as the relocation house, the ONHIR will expend replacement housing benefits in the following
manner: 1) problems or defects which are safety items must be repaired; 2) benefit monies remaining
after the repairs have been made will be applied to the purchase price of the house; 3) if any benefit funds
MM#1648 Issued 12/3/93; Revised/Reissued 1/1/99;
13 7/20/00; 7/6/11.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS - HOUSING ACQUISITION
MANUAL SUBJECT 1648 Housing Acquisition - Off-Reservation Relocation
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APPROVED
remain after essential repairs have been made and the house has been paid off, the remainder may be
used for options desired by the client and approved by the Relocation Operations Branch Leader.
Acquisition of off-reservation existing mortgage houses follows a process similar to acquisition
of NHA houses on-reservation.
1. Request for Inspection. The decision to acquire the existing house is usually made by the
client during the social counseling phase. The Specialist will request an inspection and compliance staff
to determine if there are safety items which need to be repaired. The Specialist will fill out a Plans
Transmittal Memorandum, and will ask the client to provide photos of the house which will help the
inspector to determine the condition of the house.
2. Results of Inspection. The construction inspection staff will inspect the house using the final
inspection checklist. The report will be submitted to the Construction Inspector, who will make a rough
estimate of the cost of repairs, and will develop a recommendation regarding the feasibility of repairing
and remodeling the house. The inspection report will be routed to the Specialist.
a. Report Determines Safety Items Can Be Repaired. If the Inspection Report concludes
that any items which fail to meet safety requirements can be satisfactorily repaired, the case will proceed.
b. Report Recommends Against Acquiring the House. If the Report concludes that there
are significant problems with the house which cannot be repaired, or that it will be difficult and
expensive to do the work, the Specialist will advise the client about alternatives. The Specialist may
request team staffing by the Construction Representative and the Relocation Operations Team Leader. If
the client still wants to acquire the house after considering alternatives, the case must be submitted to the
Executive Director for decision. The Specialist will communicate the decision to the client.
3. Initial Housing Interview. At the Initial Housing Interview the Specialist will discuss the
results of the inspection and the repairs which must be made to the house. The Specialist will find out
from the client the name and address of the mortgage company, the loan account number, and other
pertinent information about the loan in order to find out the pay-off amount.
The Specialist will provide the client with a rough estimate of how much money it will take to
repair the house, and approximately how much of the benefit will be left to pay off the house and do any
remodeling the client wants. The Specialist will inform the client that any costs for temporary
accommodations required while the house is being repaired/remodeled will be paid from the client's
benefits, reducing the amount available for repair and mortgage payoff.
4. House Repairs/Additions. The Specialist will give the client a list of the repairs which must
be made to the house. The client has a choice between making the repairs him/herself, or obtaining bids
from three licensed contractors to make the repairs. The decision is generally dictated by the extent of
repairs required. If the client chooses to make the repairs him/herself, he/she must satisfy the
Construction Representative that he/she is qualified and willing to make the repairs.
If there will be funds remaining after mortgage payoff, the client may request remodeling and
additions to the house. The contractor selected to do the work must submit plans for additions to the
house to the Specialist . The Specialist will transmit the plans to the Construction Inspector for review
and approval.
5. Mortgage Payoff. The Specialist will contact the mortgage holder and request a written
MM#1648 Issued 12/3/93; Revised/Reissued 1/1/99;
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MANAGEMENT SECTION 1600 RELOCATION OPERATIONS - HOUSING ACQUISITION
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APPROVED
statement of the payoff amount. Immediately prior to finalizing the contract the Specialist ill contact the
loan company for a final update of the amount due. The Specialist will determine whether or not the
amount remaining after repairs have been made will be sufficient to pay off the mortgage completely, or
if the client will continue to carry a mortgage. This information will be incorporated into the contract.
The Specialist must always remind the client to continue making mortgage payments until the
transaction is completed.
6. Other Information Required for Acquisition of an Existing Mortgage House.
a. Infrastructure Costs. In order for the client to receive infrastructure payment, the
client must obtain a statement of infrastructure costs from the developer or builder (see MM#1770).
b. Condition of Title. The Specialist will contact a title insurance company to request a
condition of title report on the house. The Specialist will ensure that the report identifies the trustor,
trustee, beneficiary information, and any liens on the property. If the title policy does not reflect the
current value of the house the Specialist will request an updated policy.
c. Hazard Insurance. If the mortgage will be fully paid by the benefit, the Specialist
will arrange for two years' homeowner insurance coverage for the client. If the mortgage is not fully paid
off, the client will continue to make insurance payments through mortgage impound.
7. Items Not Required. The ONHIR will not require an appraisal report for an existing mortgage
house, and will not require that the deed be amended to incorporate the ONHIR two year deed restriction.
8. Housing Contracts. When the ONHIR has accepted the contractor's bid for repairs and all
other information has been assembled, the Specialist will prepare the necessary contracts. The contracts
are individualized to state the specific circumstances of the case.
a. Resale Contract. If the amount of repair/remodel does not exceed $20,000, the
Specialist will utilize a standard resale contract, modified as appropriate to reflect the circumstances of
the case.
b. Repair Construction and Repair Payment Contracts. If the amount of repair/remodel
exceeds $20,000 the Specialist will use a repair construction contract and repair payment contract setting
forth inspection and disbursement schedules typical for new construction.
9. Reinspection. When the client or contractor has completed the specified repairs, the work
will be reinspected. Payment for repairs completed satisfactorily will be disbursed according to the
terms of the contract.
1652. INCIDENTAL EXPENSES.
General. Cross Reference 25 CFR 700.195 Subpart F Incidental Expenses. The ONHIR will
pay reasonable expenses incurred by the client which are incidental to the purchase of a replacement
dwelling. Incidental expenses are incurred during the acquisition of an off-reservation house, whether it
is a new construction or resale purchase. Incidental expenses are rarely incurred for the acquisition of an
on-reservation house.
MM#1648 Issued 12/3/93; Revised/Reissued 1/1/99;
15 7/20/00; 7/6/11.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS - HOUSING ACQUISITION
MANUAL SUBJECT 1648 Housing Acquisition - Off-Reservation Relocation
___/s/CJB__
APPROVED
The types of expenses will vary somewhat depending upon the conditions of purchase and the
location of the replacement house. The Specialist will determine what expenses are reasonable, and will
negotiate proration of expenses between the seller and the buyer (ONHIR). The Specialist will attempt to
get the seller to pay as many of the negotiable expenses as possible.
Disbursement to Client. The client will be responsible for certain incidental expenses, i.e.
expenses associated with a loan application, such as the residential appraisal. Because it is difficult to
calculate the exact amounts to be paid for various fees, any excess amounts paid by the client for
incidental expense will be reimbursed through escrow to the client when escrow closes. The Specialist
will determine whether excess amounts should be refunded to ONHIR or to the client, and will inform
the escrow officer.
1. Payments to Title Company: Settlement Statement. The title company will provide ONHIR
with a copy of the settlement statement of costs (sometimes called a preaudit). Costs incidental to
closing escrow may be disbursed by ONHIR at any time during the course of construction; but no later
than the close of escrow, when the final payment is issued to the title company by ONHIR.
a. New Construction House. If the client is buying a new construction house, the
settlement statement is generally issued at the time of closing. After the relocation and construction
contracts have been signed, the Specialist will provide the title company with a copy of the first two
pages of the ONHIR construction payment contract, which shows the disbursement schedule and
amounts. Incidental costs are not listed in the construction payment contract. The title company may or
may not update the settlement statement to reflect the construction payment schedule.
b. Resale House. The title company will set up an escrow account and issue a settlement
statement to ONHIR when the real estate agent notifies the title company of the pending sale.
2. Confirmation of Payments to be Made to the Title Company. Following receipt of the
settlement statement of costs, the Specialist will issue a letter to the title company setting forth the
specific amounts which ONHIR will disburse to the title company. In the case of new construction
housing, the letter will state the incidental costs but will not include the construction draws, which have
already been detailed in the copy of the ONHIR construction payment contract sent to the title company.
In the case of resale housing, the letter will state the amounts to be applied to purchase of the house and
will also detail the incidental costs which ONHIR will pay.
3. Authorized Settlement Expenses. As a general rule, ONHIR will pay the following closing
costs to the title company:
* ½ of the escrow fee
* recording fees
* title insurance on the house and/or mortgage title insurance (Seller pays to
title insurance on the lot.
4. Fees Associated With a Loan. The Specialist will obtain a good faith estimate of loan closing
costs from the title company. The fees charged by the lender will vary according to the terms of the loan.
As a general rule, the ONHIR will pay the following fees from incidental expenses:
* credit report
* lender’s inspection fee
MM#1648 Issued 12/3/93; Revised/Reissued 1/1/99;
16 7/20/00; 7/6/11.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS - HOUSING ACQUISITION
MANUAL SUBJECT 1648 Housing Acquisition - Off-Reservation Relocation
___/s/CJB__
APPROVED
* document preparation fee
* tax service fee
* ALTA charge (lender’s insurance)
5. Other Incidental Costs. Depending upon the circumstances of the purchase, ONHIR may pay
other fees, including the appraisal, septic tank inspection, termite inspection, flood certification, and
chimney certification fees.
6. Expenses Which ONHIR Does Not Pay. The ONHIR will not pay the following costs:
* discount points for a loan
* loan impound charges
* prorated taxes
* homeowner’s association fees
7. Processing Incidental Expenses. Incidental costs are recorded on the Funds Obligation and
Disbursement Record ("T" sheet) but they are not listed in the construction contracts. The Specialist
will prepare a Disbursement Voucher Request Form for the payment of incidental expenses. The
Specialist will enter the vendor number, payee number, document number, amount of payment, date, and
face-of-check comment on the form. At the bottom of the voucher the Specialist will enter the total
payment, client name and casefile number.
The Specialist will initial the voucher and route it to the Relocation Operations Team Leader
who will double check the entries before the voucher is routed to the Finance Branch. The voucher will
be filed in the vendor file by the finance staff.
8. Exceptional Expenses. Prior to preparing the Disbursement Voucher Request, the Specialist
will obtain the approval of the Relocation Operations Branch Manager for the payment of fees which do
not fall within the scope of charges usually paid by the ONHIR.
MM#1648 Issued 12/3/93; Revised/Reissued 1/1/99;
17 7/20/00; 7/6/11.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS - HOUSING ACQUISITION
SUBJECT SUBJECT 1653 Off-Reservation Moves: Cultural Resources Assessment
__/s/CJB___
APPROVED
SECTION 1600 RELOCATION OPERATIONS - HOUSING ACQUISITION
SUBJECT 1653 OFF-RESERVATION MOVES: CULTURAL RESOURCE
ASSESSMENT
General: Pursuant to 36 CFR 800, the ONHIR shall determine if any historic properties are
affected by the acquisition of off-reservation housing. Due to the time frame established by the escrow
procedures, survey and assessment of off-reservation properties shall be given top priority. The ONHIR will
proceed with the acquisition independent of the cultural resource assessment process. The relocation
contract for clients moving off-reservation will include a clause which states that ONHIR will perform
cultural resources assessment pursuant to Section 106 of the Historic Preservation Act and will take any
necessary action required by the outcome of the assessment.
PROCEDURES.
1. Plans Transmittal Memorandum. Action to conduct cultural resources assessment will be
initiated by the Relocation Specialist through the Plans Transmittal Memorandum. The Specialist will
deliver a copy of the Plans Transmittal Memorandum to the Cultural Resources Manager (CRM) when the
original is routed to Relocation Operations/Inspections and Compliance. The form will specify whether this
is a new construction house, involving the acquisition of an undeveloped lot, or a resale or existing mortgage
house.
Three questions have been added to the Memorandum for off-reservation acquisitions. This
information can be provided by the contractor or realtor and will give the CRM a better idea of the potential
for historic properties. The Specialist will provide the CRM with any additional information available at the
time the Memorandum is prepared which will assist the CRM to conduct the assessment.
2. Inspection of Site by CRM. From the information provided by the Specialist, the CRM will
decide whether or not a site visit is necessary.
a. New Construction Housing. If the house is going to be built in a rural area, the CRM will
generally travel to the site to conduct an assessment. A lot in a prepared subdivision may not require an on-
site assessment.
Time Frame for Completion of Assessment. Assessment reports which do not require a field
visit will be processed within three (3) days. Assessment reports which necessitate a field inspection will
be processed as soon as possible. Properties located within a 250 mile radius of Flagstaff that require a field
inspection will be visited within ten (10) working days. Properties located outside this area will be visited
as soon as possible.
b. Resale of Existing Mortgage House.
Inspection. The ICB Inspector who inspects the house will take photographs which will be
used by the CRM in performing the assessment. The inspector will label the photos with the client name and
casefile number, date of the photographs, and what they show.
MM#1653 Issued 12/3/93; Revised and Reissued
1 1/1/99; 7/20/00; 3/2/2011.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS - HOUSING ACQUISITION
SUBJECT SUBJECT 1653 Off-Reservation Moves: Cultural Resources Assessment
__/s/CJB___
APPROVED
* exterior views of the house, front, back, and side views, showing the way the house
is situated on the lot,
* photos of the landscaping,
* photos showing the boundaries of the lots, if obvious,
* photos of any other structure on the lot.
The inspection report and the photographs will be routed to the Specialist. The Specialist will give
the photographs to the CRM.
Use of Appraisal. The Specialist will require two copies of the appraisal report for a resale
house and will route one copy to the CRM. Note: If the appraisal is received by fax transmission, the
Specialist will request an original for the client file. In the meantime, the information contained in the faxed
report will be used by the Relocation Specialist and the CRM to complete the cultural resources assessment,
the “Site Clearance” Form, and other acquisition activities.
Time Frame for Completion of Assessment. The CRM will determine whether an on-site
assessment is necessary. Assessment reports for resale or existing mortgage homes will be processed by the
CRM within three (3) days of receipt of the appraisal and photographs.
3. Fee Inspections. In the event that an inspection is conducted out-of-state by a fee inspector,
the Inspections Supervisor will instruct the fee inspector about the need for photographs for cultural
assessment and what the photographs must show.
4. Site Clearance Form. Inspections and Compliance staff will continue to conduct flood plain
review and clearance for off-reservation new construction housing and existing mortgage acquisitions. Flood
plain review and clearance for off-reservation resales will be done by the Relocation Specialist. The
Specialist will check the flood plain determination on the appraisal and will enter the information on the
“Site Clearance” form. The Specialist will sign the form in lieu of the Relocation Operations Branch
Manager. The form will be routed to the CRM, who will enter comments and initial Item No. 2,
(archaeological clearance and stipulations) when the assessment is completed.
Flood Plain Zone A. If the appraisal report shows the house to be located in a flood plain
A, the ONHIR cannot acquire the house. The Specialist will advise the client to look for another house.
5. Contract Documents. The Specialist will prepare the contract documents and will assure
that the clause regarding historic properties is inserted into the relocation contract.
6. Assessment Report. The CRM will prepare and type the report utilizing site photographs,
the results of the on-site survey, if one was conducted; information from the appraisal, and other relevant
information. If the CRM needs additional information, he/she will work with the Relocation Specialist to
get it. The report will be prepared as soon as all information required to complete the assessment has been
assembled. The CRM will make copies of the report for Office records and will send the original with a
cover letter to the SHPO.
MM#1653 Issued 12/3/93; Revised and Reissued
2 1/1/99; 7/20/00; 3/2/2011.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS - HOUSING ACQUISITION
SUBJECT SUBJECT 1653 Off-Reservation Moves: Cultural Resources Assessment
__/s/CJB___
APPROVED
7. Report to Specialist. The CRM will return these documents to the Specialist:
* Original Appraisal Report,
* “Site Clearance” Form,
* Copy of the assessment report and letter to the SHPO.
These documents will be filed in the client casefile after the Specialist has finished working with
them.
If the Cultural Assessment Report concluded that there are historic properties which will require
mitigation and may cause inconvenience to the client, the Specialist will inform the client of the situation
and may advise the client to look for another house.
MM#1653 Issued 12/3/93; Revised and Reissued
3 1/1/99; 7/20/00; 3/2/2011.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS - HOUSING ACQUISITION
MANUAL SUBJECT 1655 New Construction: Change Orders __/s/CJB___
APPROVED
SECTION 1600 RELOCATION OPERATIONS - HOUSING ACQUISITION
SUBJECT 1655 New Construction Change Orders
POLICY.
Any changes to the house plans or specifications which take place after the construction contract is
signed, and which are incorporated into the construction contract by reference, represent contract
modifications and must be approved in writing before the contractor proceeds with the modifications.
Modification work orders, also called change orders, must be approved by the contractor, the client,
Relocation Specialist, and Inspections and Compliance Inspector, with final approval by the Relocation
Operations Branch Manager. The change may require technical review by the Inspections and
Compliance. The change must be approved prior to the inspection of the work covered by the change
order.
The ONHIR will not approve a change order which results in a cash payment by the contractor to
the client. Any savings in the cost of the contract which results from an approved change order, will
accrue to the Government, or will be expended in a manner approved by the Relocation Operations
Branch Manager
A contractor who proceeds with modifications without prior written approval by all parties shall be
informed that he/she will be liable for corrections and reinspection fees if the change is subsequently
disapproved.
A client who requests a change shall be informed of the approval process, and shall be told that the
request may extend the contract completion date.
PROCEDURES.
1. Requesting a Change Order. A request for a change order may be initiated by the contractor,
the client, or the Relocation Specialist. As soon as either the contractor or client decides to request a
change to the plans and specifications, the client must notify the Specialist that a change order is
pending.
2. Writing up the Change Order. The change order may be written up by the contractor, the
client, or the Relocation Specialist. Change orders may be submitted on ONHIR Form MM#1655.1 or
an equivalent form or statement. The change order must specify:
a. Nature of the change;
b. Reason for the change;
c. Impact of the change on contract cost, whether addition or reduction. If the change results in
additional cost, the change order must specify the source of funds which will be used to cover the cost:
unused housing benefit, bonus, moving, personal.
d. Impact of the change, including the time required to process the change order, on the contract
completion date.
MM#1655 Issued 7/17/89; Reissued 7/23/93;
1 3/2/2011.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS - HOUSING ACQUISITION
MANUAL SUBJECT 1655 New Construction: Change Orders __/s/CJB___
APPROVED
e. The change order must be signed by the contractor, the client, the specialist, the Inspections
Supervisor (if review is conducted), and the Relocation Specialist.
3. Action of the Relocation Specialist. The Relocation Specialist will determine if the change
requires additional blueprints, and will instruct the contractor to provide them. The Specialist will also
determine if the change requires technical review by the Inspections and Compliance. If so, the
Specialist will forward the change order to ICB for review before submitting it to the Relocation
Operations Branch Manager for approval.
The Specialist will make sure that the change order has been approved and signed by all parties. If
the Specialist was not present when the client signed the change order, the Specialist will contact the
client by phone, mail or personal contact, to confirm the client's understanding and approval of the
change. The Specialist may request a client who provides a verbal phone confirmation to submit a brief
written confirmation.
The Specialist will inform the contractor that if he proceeds with the changes before receiving a
copy of the executed change order he is proceeding at his own risk. The Specialist shall inform the client
that requests for major changes, or delay by the client in approving a requested change, may result in
extension of the contract completion date.
4. Action by ICB. Inspections and compliance staff will review and return all change orders
which require technical review within two days of receipt from Relocation Operations. In conducting an
inspection, the inspector will not pass an item which has been changed unless or until it has been
approved by the Relocation Operations Manager. If the inspector is in the field at the time the approval
is granted, the Specialist can communicate the Manager’s decision by phone or radio.
5. Action by the Relocation Operations Manager. After the inspections and compliance review
is completed, the change order will be routed to the Relocation Operations Branch Manager for final
approval. After approving the change order, the Supervisor will perform the following data entry, as
applicable:
- date change order received
- date change order approved
- contract extension date
- cost of change
- source of funds
- brief comment on the type of change.
The change order will be routed to the Housing Administrative Assistant who will make copies of
the completed order and route them to the casefile, the contractor, the client, inspections and the
Relocation Specialist.
MM#1655 Issued 7/17/89; Reissued 7/23/93;
2 3/2/2011.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS - HOUSING ACQUISITION
1MANUAL SUBJECT 1656 Voiding Construction Contracts __/s/CJB__
APPROVED
SECTION 1600 RELOCATION OPERATIONS - HOUSING ACQUISITION
SUBJECT 1656 VOIDING CONSTRUCTION CONTRACTS UNDER
CIRCUMSTANCES WHICH DO NOT INVOLVE A BREACH OF
CONTRACT
POLICY.
The Construction Contract and the Construction Payment Contract may be voided or cancelled by mutual
agreement of the relocatee, contractor, and the ONHIR for reasons which do not involve a breach of the contract
terms. Such reasons may included threats by third parties against the client and/or contractor or site conditions
which cannot be mitigated and which require the house to be built in a different location. The contracts may also
be cancelled by the ONHIR upon the death of a client with no household remaining to be relocated, if the client dies
after the contracts have been signed, but before construction has been completed. (Cross Reference MM#1790-
Payments to Estates.)
PROCEDURES.
General. After the Construction Contract and Construction Payment Contract have been signed, the
Relocation Specialist is the principal point of contact for the client and contractor regarding change orders,
problems encountered during construction, construction draws, and other issues.
Progress on house completion is monitored by both the Relocation Specialist and the Construction
Inspectors. Progress toward house completion can be monitored in the field and through inquiry into several
automated client inquiry files: Contract/Housing Information, Contract Payment Schedule, and Inspections Inquiry.
The circumstances which may require a contract to be voided are unique to each case and must be reviewed
and evaluated on a case-by-case basis. The decision to void a contract must take into consideration cost factors,
inevitable delays in selecting a new contractor to complete the job, and/or difficulties in obtaining a new
construction site. The Relocation Operations Branch Manager has the principal responsibility for taking action to
void a contract, in consultation with the Executive Director, Relocation Operations Branch Team Leader,
Inspections Supervisor, and the Relocation Specialist in charge of the case.
1. Recommendation to Void Contract. When a situation develops which makes it necessary to void
a contract, the Relocation Specialist will investigate the situation, obtain any documentation bearing on the problem,
and prepare a recommendation to the Relocation Operations Branch Manager.
2. Action by Relocation Operations Branch Manager. Within three (3) days of receipt of the Specialist’s
recommendation, the Relocation Operations Manager will review the case and may investigate the circumstances
further. The Manager will prepare a memorandum to the Executive Director which states the circumstances and
recommends a course of action. The memorandum must include estimates of costs which will be incurred by the
proposed course of action and anticipated time extensions which will be required. The Manager will assure that
MM#1656
1 Issued 1/10/97;Revised/Reissued 3/2/2011.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS - HOUSING ACQUISITION
2MANUAL SUBJECT 1656 Voiding Construction Contracts __/s/CJB__
APPROVED
the documentation supports the proposed action. The memorandum will include concurrence line for the Executive
Director’s signature.
3. Action of the Executive Director. Within three (3) days of receipt of the Relocation Operations
Manager’s recommendation, the Executive Director shall review and approve or disapprove, the recommendation.
The Executive Director may obtain legal review by the Office’s Legal Counsel and will discuss the situation with
the Relocation Operations Branch staff as necessary.
4. Contractor and Client Agreement. In the event a contract needs to be cancelled for reasons beyond the
control of the client or the contractor, the Relocation Operations Manager will obtain the signature of the contractor,
or the contractor’s representative, and the client on Form MM#1656.1, and will counter-sign the form.
5. Notification to Finance. The Relocation Operations Branch Manager will provide the Finance Officer
with any instructions regarding the deobligation of contract funds or allocation of additional funds required to
rectify the situation.
MM#1656
2 Issued 1/10/97;Revised/Reissued 3/2/2011.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS - HOUSING ACQUISITION
MANUAL SUBJECT 1660 Archaeological Discovery on the New Lands _/s/CJB__
APPROVED
SECTION: 1600 RELOCATION OPERATIONS - HOUSING ACQUISITION
SUBJECT: 1660 New Lands Construction Contracts: Stipulations Regarding
Archaeological Discovery and Off-Road Travel
AUTHORITY: National Historic Preservation Act, Section 106; Archaeological
Treatment/Historic Properties Plan (ONHIR)
POLICY.
Under the terms of the National Historic Preservation Act, the Office is mandated to take positive
action to protect historic resources on the New Lands. The Office will penalize persons violating the
provisions of the Archaeological Treatment/Historic Properties Plan, depending upon the extent of the
Office's authority to require such persons to adhere to the Plan.
The Office shall ensure that archeological monitors are present when construction is proceeding in
the vicinity of archaeologically sensitive areas. If archeological artifacts are found in non-sensitive areas,
the monitors shall be available to travel to those sites and provide instructions about how construction
should proceed.
Contractors. Contractors who are building houses in the rural community and on the range units
shall notify the Office when archeological artifacts are uncovered during the course of construction. In
addition, the contractor shall be informed that the Archaeological Treatment/Historic Properties Plan
prohibits cross-country travel to and from construction sites. The contractor shall be required to use
established roads to travel to construction sites, and shall be responsible for requiring his subcontractors,
employees, suppliers and agents to utilize established roads to reach the sites. Contractors who violate
this policy will be subject to penalties levied by the Office.
Employees. Supervisors shall instruct employees performing authorized field travel on the New
Lands to travel on existing roads. Employees shall also be instructed that potsherds, stone chips, and
other items with potential historic significance found in situ on the New Lands may not be removed.
Employees who violate these policies may be disciplined according to the terms of the Office’s Human
Resources Branch Policies and Procedures.
PROCEDURES.
A. Housing Acquisition.
1. Effective December 13, 1988, contracts for construction on the New Lands will incorporate
stipulations requiring contractors to notify the Office when archaeological artifacts are uncovered during
the course of construction. The contracts shall also incorporate stipulations requiring contractors and
their subcontractors, suppliers, employees and agents to travel to construction sites by means of
established roads. The contracts shall specify the penalties to be applied if these provisions are violated.
2. The contractor shall sign as a party to the contract, and receive a copy of it.
a. If the contractor encounters unanticipated archaeological artifacts and does not know
where on the New Lands the archaeological monitors are working, the contractor will notify the New
MM#1660 Approved 3/28/90; Revised and Reissued
1 7/26/93; 3/2/2011.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS - HOUSING ACQUISITION
MANUAL SUBJECT 1660 Archaeological Discovery on the New Lands _/s/CJB__
APPROVED
Lands Administrative Assistant at Sanders. The assistant will attempt to contact the Archaeologist
immediately. The contractor will halt construction until the Archaeologist arrives and gives further
instructions.
3. Client Advisement. The Relocation Specialist will instruct the client to use established roads to
drive to the homesite if the client wants to visit the site during construction. The Specialist will
emphasize that delays may occur in housing construction if this requirement is violated.
B. Reporting Violations.
1. Copies of these procedures will be distributed to all field staff. Staff will be advised by
Supervisors of the importance of using established roads to reach construction and homesites. Staff will
be instructed to record violations which they observe on the Violation Report, Form MM#1660.1.
2. Completed Reports will be submitted to the New Lands Manager.
C. Action by the New Lands Manager.
1. When the New Lands Manager receives a Violation Report he will bring the incident to the
attention of the agency's Staff Archeologist within three days. The Archaeologist will determine whether
or not an archaeological site was affected.
a. If the off-road travel affected a site, the Archaeologist will determine whether or not there was
damage to artifacts or structures. If so, the Archaeologist will determine whether or not the damage can
be repaired or restored, and the approximate cost to repair or restore damage. The Archaeologist may
consult with the State Historic Preservation Officer regarding appropriate action to restore and repair the
damage.
b. The Archaeologist will complete Form MM#1660.2, Assessment of Damages, and submit it
to the New Lands Manager within two weeks.
2. The Manager will review the report and the information relating to the violation, and determine
if the identity of the violator is known. If the violator has been identified and is a contractor or a
contractor's agent, employee, supplier or subcontractor, the Manager will fill out Form MM#1660.3,
Penalty for Violating Archaeological Stipulations, and forward it to the Relocation Operations Branch
Manager, who will issue it to the contractor and will also deduct the penalty fees from the amount owed
the contractor.
a. If the contractor disagrees that he is responsible for a violation, or he disagrees with the
amount or type of penalty levied, he may request a hearing by the Office’s Legal Counsel within three (3)
working days of receiving the penalty form.
b. Legal Counsel will schedule a hearing within ten (10) working days, and will issue a decision
within three (3) working days of completion of the hearing. The decision by Legal Counsel will be final.
3. If the Manager determines that the violation was committed by an ONHIR employee, the
Manager will notify the employee's supervisor and will attach a copy of the Violation Report. The
MM#1660 Approved 3/28/90; Revised and Reissued
2 7/26/93; 3/2/2011.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS - HOUSING ACQUISITION
MANUAL SUBJECT 1660 Archaeological Discovery on the New Lands _/s/CJB__
APPROVED
supervisor shall administer disciplinary action according to the provisions of the ONHIR’s Human
Resources Policies and Procedures.
4. If the Manager determines that the violation was committed by a client, the Manager will
request the client's Relocation Specialist to discuss the incident with the client and remind him/her that
off-road travel is strictly prohibited. Violation may adversely affect the project and delay the client's
relocation.
5. If the Manager determines that the violation was committed by an employee of another agency
involved in New Lands development activities, the Manager will contact officials of the agency and
emphasize the potential consequences should violations continue. The Manager will inform the
Executive Director if external agencies appear to be disregarding the archaeological stipulations.
6. If the Incident Report states that tracks were observed but the violator is unknown, the Manager
will request contractors and other persons working in the area to watch for violators and report future
incidents.
D. Application of Penalty.
1. Upon receipt of the Penalty for Violating Archaeological Stipulations from the New Lands
Manager, the Relocation Operations Branch Manager will issue the Penalty to the Contractor and will
attach copies of the Violation Report and the Assessment of Damages form. The Manager will deduct
the amount specified from the contractor's next draw; and will take other action as required.
2. If the contractor disagrees with the Penalty and requests a hearing, the Manager will withhold
action until final decision is issued by Legal Counsel.
MM#1660 Approved 3/28/90; Revised and Reissued
3 7/26/93; 3/2/2011.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS
MANUAL SUBJECT 1670 Homeowner’s Insurance _/s/CJB__
APPROVED
SECTION 1600 HOUSING ACQUISITION
SUBJECT 1670 HOMEOWNER'S INSURANCE
AUTHORITY: Executive Director's Memo of 09/22/83.
POLICY
Effective October 1, 1983, clients will be required to carry homeowner's insurance on the
relocation home for a period of two (2) years. The cost of the insurance will be paid from the client's
housing benefit.
Choice of Agent The client may choose an insurance agent. If the client does not choose an
insurance agent, the agent will be selected by the contractor or the real estate agent.
Homeowner Coverage Only The ONHIR will pay for a basic homeowner's policy only. It will
not pay for any additional insurance coverage the client may desire. If the client wishes to add riders to
the insurance policy, it is the client's sole responsibility to arrange and pay for the additional coverage.
Effective Date Coverage will be effective on the date the insurance agent receives all of the
required documentation.
Withholding from Client Benefits (Houses Without Mortgage Impound Accounts) The first year
insurance will be paid as directed in the payment contract. Funds equal to the first year's premium, plus
10%, will be withheld from the client benefits for the second year insurance payment. If the funds
withheld are insufficient to cover the second year cost, the ONHIR will make up the difference. If there
is an overage, the difference will be returned to the U. S. Treasury. These funds are only available for
insurance purposes and at no time will they be available in the form of cash to the client.
Off-Reservation Relocation Houses Which Have Mortgage Impound Accounts A client who
acquires a new construction or resale house off-reservation may obtain mortgage financing in addition to
the ONHIR housing benefit. Depending upon the amount of the mortgage, the lender may require
evidence of homeowner's insurance coverage, to be paid from an impound account. In such a case, the
ONHIR will withhold the cost of the first year insurance premium from the client's benefit. This amount
will be paid as part of the closing costs at the time escrow closes. The ONHIR will not withhold funds
from the client benefit for the second year premium.
Cancellations If the client cancels the insurance during the two year period, or the insurance
company determines that the client is uninsurable, the money that is refunded by the insurance company
will be returned to the U. S. Treasury, unless the insurance premium was paid through mortgage
impound, in which case the money will be refunded to the client.
MM#1670 Issued 10/4/83; Revised/Reissued
1 12/9/93; 5/14/11.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS
MANUAL SUBJECT 1670 Homeowner’s Insurance _/s/CJB__
APPROVED
PROCEDURES - Cross reference MM#1640
1670.1 Counseling
While the client's case is in the counseling phase, the Relocation Specialist will advise the client
of the requirement for two years homeowner's insurance coverage. The Specialist will explain in general
terms what the insurance covers and approximately how much it will cost, depending upon the client's
preferred relocation site.
The Relocation Specialist will explain that the cost of the insurance premium will be paid from
the client's housing benefit. The Specialist will encourage the client to renew the policy after the initial
two year period.
1670.2 Housing Acquisition
General While the house is under construction, it is covered by the contractor's course-of-
construction insurance. This ends as soon as construction is completed. Homeowner's insurance
coverage of the property should commence within three days of the date of final inspection. In order to
accomplish coverage within this time frame, the ONHIR will transmit payment and all documentation for
which it is responsible within two (2) days following the final inspection (or escrow for resale houses).
The ONHIR will endeavor to assure that the client fills out the insurance application form no later than
the date of final inspection (or close of escrow, as appropriate).
While in theory the client is free to choose the insurance company he/she wishes, in actuality the
choice is limited for clients moving to reservation homesite leases. Clients moving off reservation have a
greater choice.
1. Initial Interview At the time of the initial interview, the Relocation Specialist will remind the
client of the requirement of two years' insurance, to be paid from the client's housing benefit. The
Specialist will explain the following:
- coverage for on-reservation houses is expensive because of the distance of the houses from a
fire department;
- ONHIR will issue the second year payment to the insurance company. No action is required by
the client.
- the insurance company has the authority to cancel the insurance or deny a claim under certain
conditions, which could include renting the home without notifying the company of the
arrangement; failure to maintain the home in a reasonable manner; failure of the client to occupy
the home on a regular basis.
- the basic policy covers fire, vandalism, theft, and damage from natural disasters. A more
detailed explanation can be obtained from the insurance agent.
MM#1670 Issued 10/4/83; Revised/Reissued
2 12/9/93; 5/14/11.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS
MANUAL SUBJECT 1670 Homeowner’s Insurance _/s/CJB__
APPROVED
2. Obtaining Cost Quotes
a. New Construction The contractor selected by the client must submit an estimate from an
insurance agent for two (2) years homeowner insurance coverage, with the pre-Construction Worksheet
and house plans. The quote should be for the minimum deductible offered by the company - either $100
or $250. The Relocation Specialist will double check that the contractor has applied the correct
multiplier for the cost for two years' coverage.
b. Resale The real estate agent must submit an estimate from an insurance agent with the
purchase offer/ agreement. The quote should be for the minimum deductible offered by the company -
either $100 or $250. The Relocation Specialist will double check that the real estate agent has applied
the correct multiplier for the cost for two years' coverage.
3. Insurance Payment Information Incorporated into the Contracts In preparing for the pre-con,
the Specialist will provide the payment information for the contracts.
a. Relocation Contract contains vendor name and total (2 yr) amount of insurance premium.
b. Construction Payment Contract contains vendor name, the first year insurance payment, to be
paid at the time of sheetrock draw or escrow, and the amount of benefits to be withheld for the
second year premium payment.
4. Instructions to Client at the Time of Pre-Con Cross Reference MM#1640. The Relocation
Specialist will give the client a copy of the insurance quote which the contractor has submitted.
a. Insurance Application The Relocation Specialist will instruct the client that it will be
necessary for them to go to the insurance office sometime before the house is finished
construction and fill out the application papers. The ONHIR will authorize round trip mileage
reimbursement from the client's pre-move location to the offices of the insurance agent for this
purpose. The Specialist will instruct the client to submit the claim as soon as the trip has been
completed. In order for travel expense to be reimbursed, the client must attach evidence that
he/she has been to the insurance company and filled out the application form.
b. Evidence of Completed Application for Mileage Reimbursement and Bonus Payment In order
for the client to receive the mileage payment for the trip to the insurance agent and also to
receive the bonus check, the client must produce evidence that he/she has been to the insurance
company and filled out the application form. Such evidence may be:
- copy of the signed insurance application form, submitted by the client or faxed by the agency;
- copy of a binder, intent to insure, or equivalent documentation.
5. Letter to the Insurance Company After the Pre-Con After the pre-con, the Relocation
Specialist will issue a letter to the insurance company which submitted the cost estimate informing them
that the client has selected them as the insuring agent and has signed the relocation contract. The
Specialist will provide the client's name, address, phone number (if applicable), ONHIR casefile number,
the legal description of the house location, and directions to the house. For on-reservation houses the
Specialist will also provide a copy of the feasibility study containing (1) reservation location map; (2)
MM#1670 Issued 10/4/83; Revised/Reissued
3 12/9/93; 5/14/11.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS
MANUAL SUBJECT 1670 Homeowner’s Insurance _/s/CJB__
APPROVED
topographic map with plotted house location; (3) homesite sketch; (4) survey plat.
The Relocation Specialist will inform the insurance company that the client has been instructed
to make one trip to the agency office to fill out the application form and take care of any other paperwork
requirements. The Specialist will inform the agent that the ONHIR requires the client to submit evidence
that they have filled out the application form. The letter will also state that the Specialist will be
responsible for providing any other information or documents (i.e. wood stove specifications and
photographs), and should be contacted by the agent on any issues regarding the policy.
6. Ordering the Insurance Payment When the house passes sheetrock inspection (or close of
escrow for resales), the Relocation Specialist will prepare a voucher for the first year insurance payment.
The check will be sent directly to the insurance agent. The Specialist will send the agent a letter which
contains the following instructions:
a. The invoice for 2nd year insurance should be sent to the ONHIR and not the client.
b. If the insurance is cancelled for any reason, the refund should be issued to ONHIR; not the
client.
7. Houses With Mortgages If the client is taking out a mortgage on the house, the Relocation
Specialist will find out if this is a PITI (principal, interest, taxes and insurance) loan. If the client is
going to be paying homeowner's insurance through the impound account, funds will be withheld from the
housing benefits for only the first year of insurance. The second year premium will be paid from the
impound account.
8. Reminder to Client If the Relocation Specialist has not received a copy of the completed
insurance application form by the time of the sheetrock inspection, the Specialist will write to the client
and remind them that they must submit evidence that they have completed the form in order to receive
the bonus check.
9. Woodstove Questionnaire Some insurance agents require a completed woodstove
questionnaire, giving the specifications of the stove installed in the house. The Relocation Specialist will
obtain completed questionnaires for all houses with woodstoves. The questionnaire will be completed by
the Construction Control Inspector at the time of final inspection, and routed to the Relocation Specialist
with the final inspection report and photographs.
10. Photographs Most insurance agents require three photographs of the home: (1) woodstove
as installed in house; (2) exterior view of front of house, and (3) exterior view of back of house. The
photographs will be taken by the Construction Control Inspector at the time of final inspection and
routed to the Relocation Specialist along with the passed final inspection report and woodstove
questionnaire.
11. Transmitting Photographs and Questionnaire to the Insurance Agent The Relocation
Specialist will assure that the photographs and woodstove questionnaire accompany the final inspection
report, and are correctly labeled. The Specialist will get the items to the insurance agent within 24 hours,
using overnight mail or delivering the photos personally if the agency is located in Flagstaff. A copy of
the questionnaire will be filed in the client casefile.
MM#1670 Issued 10/4/83; Revised/Reissued
4 12/9/93; 5/14/11.
MANAGEMENT SECTION 1600 RELOCATION OPERATIONS
MANUAL SUBJECT 1670 Homeowner’s Insurance _/s/CJB__
APPROVED
12. Final Reminder to Client If the Relocation Specialist has not received confirmation that the
client has applied for homeowner's insurance by the time of passed final inspection, the Specialist will
phone or write the client that the field visit to deliver the bonus check will be delayed until confirmation
is received.
13. Insurance Policy The insurance policy is issued by the agent to the client. ONHIR does not
ordinarily receive a copy. In the event that the Relocation Specialist receives the policy, he/she will
make a copy for the client casefile and send the original to the client, in case the insurance agent sent the
policy to ONHIR by mistake.
1670.3 Second Year Insurance Payment
General The Relocation Specialist will contact the insurance agent to renew the coverage for a
second year.
1. IS Suspense Report The Information Systems Branch will generate an automated weekly
report eleven months from the date relocated. The report will be delivered to the Relocation Operations
Branch Manager , who will route it to each of the Specialists. The report will show:
- client name
- casefile number
- Relocation Specialist
- date relocated
2. Action of Relocation Specialist If the insurance agent has not yet invoiced the ONHIR for the
second year premium, the Specialist will phone the insurance agent and request an invoice. The agent
may provide a verbal quote, to be followed by a invoice, from which the Specialist can prepare the
voucher. The check will be mailed directly to the agent. The Specialist will notify the agent that a check
has been ordered; and will repeat the instruction that if the insurance is cancelled for any reason, the
refund should be issued to ONHIR and not the client.
MM#1670 Issued 10/4/83; Revised/Reissued
5 12/9/93; 5/14/11.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS -SPECIALIZED
MANUAL PROCEDURES
Subject 1710 Benefits _/s/CJB__
APPROVED
SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED PROCEDURES
-Multi Branch-
SUBJECT 1710 BENEFITS
AUTHORITY: 25 U.S.C. 640d-13; 25 CFR 700.181-189; 25 CFR 700.205
BACKGROUND: A certified eligible head of household is entitled to a minimum housing
benefit for a family of three or less, or a maximum benefit for a family of four or more. The specific
amount required to obtain a safe, decent and sanitary house will be reviewed annually and may be
adjusted.
Housing Benefit. The housing benefit incorporates the amount paid to compensate the client for
the improvements, if any, relinquished upon relocation from the partitioned lands; plus such additional
amount as necessary to bring the total to the authorized maximum. If a relocatee has an appraisal that
equals or exceeds the current amount of replacement home benefits to which he is entitled the appraisal
amount will become the benefit entitlement. The amount of appraisal payment which exceeds the
maximum benefit amount will be paid to the client in cash.
Assistance payments. Assistance payments, also called 'incentive bonus', are issued to clients
pursuant to 25 USC 640d-13. The amount of bonus entitlement is considered a benefit in terms of notice
and appeal rights provided to the client.
Determination of Benefits. The client's entitlement to benefits is initially established when the
eligibility determination is issued. Final determination of the amount of the benefit is made at the time
the Relocation Contract is signed, based upon number of family members and on the current level of
appraisal valuation and housing benefit entitlement. All issues related to calculation of specific benefit
amounts must be resolved prior to Contract signing. The benefit vests when the Contract is signed.
Entitlement of household members. Relocation assistance benefits and other payments are
issued to the certified client, who is identified as the head of household and acts in behalf of the
household members for the purposes of relocation case processing. Prior to July 7, 1986, individuals
identified as household members when the client applied for relocation assistance, who subsequently
separated from the household as the result of divorce, attainment of independent head of household
status, or other circumstance, were required to file separate applications in order to obtain a
determination as to their eligibility independent of the original household (see MM#1714, Household
Membership Determinations). Due to the August 31, 2010, application deadline persons who separated
from the household on or after July 8, 1986 will not be counted for benefit entitlement but may no longer
submit applications for voluntary relocation assistance benefits.
Infrastructure. Clients whose housing benefit is calculated as stated in these procedures may
receive payment of infrastructure costs associated with the acquisition of the replacement house. Clients
whose housing benefit was calculated according to procedures in effect until 10/18/86 (appraisal amount
added to housing benefit rather than incorporated into the benefit) will not be entitled to infrastructure
costs.
MM#1710 Issued 8/18/89; Revised and Reissued
7/19/94; 3/29/96; 7.31/98; Dec 31,
-1- 2010.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS -SPECIALIZED
MANUAL PROCEDURES
Subject 1710 Benefits _/s/CJB__
APPROVED
The allowance for infrastructure costs is calculated in accordance with Section MM#1770 of this
Management Manual. Items which may be paid from infrastructure allowance include: community or
individual water system, grid electric or solar photovoltaic system, community sewer or septic system,
propane tanks and associated gas lines. Other infrastructure costs may be paid if they are required for the
development of lots located in subdivisions, including: natural gas, street, curb, gutter, sidewalk.
Additional information about infrastructure payments may be found in MM#1770.
Other disbursements. Payments other than benefits which are issued to clients include search
expense (MM#1750) and moving expense (MM#1752).
PROCEDURES
1. Determination of Housing Benefit Amount.
For planning and discussion purposes the Relocation Specialist will make a preliminary
determination of the amount of the client's housing benefit at the time of the initial counseling interview,
based upon the number of household members who will relocate with the client. Instructions for
determining and documenting household membership are set forth in MM#1714. The Relocation
Specialist will record the preliminary benefit determination on the Household Relocation Plan.
After the initial interview the Specialist will inquire about changes to the household membership
during each update contact, and will assure that the automated and manual records correctly reflect the
number and identity of household members.
The final determination regarding the number of household members and the amount of the
client's benefit will be made prior to contract signing.
2. Determination of Bonus Amount.
The amount of bonus entitlement is set forth in sec. 14(b) of P. L. 93-531. The schedule
established by the Act is:
- Applications signed before or on July 7, 1982: $5,000
- Applications signed from July 8, 1982 to July 7, 1983: $4,000
- Applications signed from July 8, 1983 to July 7, 1984: $3,000
- Applications signed from July 8, 1984 to July 7, 1985: $2,000
- Applications signed on or after July 8, 1985: -0-
The amount of bonus to which a client is entitled is determined by the date the client signed the
application for voluntary relocation assistance. The date will be entered in the client's master file at the
time of application. The computer will automatically compute and enter the amount of bonus in the
client records.
MM#1710 Issued 8/18/89; Revised and Reissued
7/19/94; 3/29/96; 7.31/98; Dec 31,
-2- 2010.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS -SPECIALIZED
MANUAL PROCEDURES
Subject 1710 Benefits _/s/CJB__
APPROVED
In the event of a divorce, if the divorced spouse was listed as a household member on the original
application and filed a separate application for benefits after the divorce and was determined to be
eligible for relocation assistance benefits, he/she will be entitled to the bonus amount calculated from the
date of the original application.
The client may elect to apply all or part of the bonus to the acquisition of the replacement house.
The amount not applied toward the replacement house will be issued to the client when he/she vacates
the dwelling on the partitioned lands and occupies the replacement home. The Specialist will prepare a
voucher for bonus disbursement at the time of sheetrock inspection. The bonus will be delivered or
mailed to the client when the Specialist determines that the client has moved into the replacement home
and has submitted proof of homeowner's insurance. The client must sign a Certification of Occupancy
Form and have it notarized. If the check is delivered by the Specialist, the client will also sign a receipt.
[Cross reference MM#1640.]
3. Determination of Appraisal Amount.
The value of the client's improvements on the partitioned lands is calculated according to the
formulas set forth in the Appraisal Handbook, as adjusted by the Boeckh Cost Modifier. Changes in the
Boeckh Cost Modifier may alter the appraisal amount up to the time the contract is signed.
The Office will not pay for improvements which were located on District 6; nor will the Office pay
for improvements constructed on the partitioned lands by the Government.
4. Notice of Benefit Determination.
General. A Notice of Benefit Determination will be issued to the client approximately 4 - 6 weeks
before contract signing. The Notice shall state the amount of housing benefit based upon current
household membership, and shall specify the portion, if any, of the housing benefit which represents
payment for an appraisal. The Notice shall also state the amount of bonus, if any, referencing the date
the client signed the application.
a. When the case is being prepared for transfer to home search and the initial housing interview,
the Specialist will review and verify household membership in order to determine the amount of housing
benefit. [Cross reference MM#1714]
b. Approximately 4 - 6 weeks before contract signing the Specialist will generate Form
MM#1710.1, Notice of Benefit Determination, and route the completed letter to the ROB Team Leader
for review and signature. This time frame is signaled by the data entry for “Housing Search,” (HS) for
clients purchasing a new construction house on-reservation and for clients moving off-reservation.
c. After the Notice has been signed, it will be returned to the Administrative Assistant to be
mailed by certified mail, return receipt requested.
d. If the client disagrees with the entitlement amounts stated in the Notice, the disagreement shall
be handled according to procedures stated in MM#1330, Benefit Appeals.
MM#1710 Issued 8/18/89; Revised and Reissued
7/19/94; 3/29/96; 7.31/98; Dec 31,
-3- 2010.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED
MANUAL PROCEDURES
Subject 1714 Household Membership _/s/CJB___
APPROVED
SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED PROCEDURES
SUBJECT 1714 HOUSEHOLD MEMBERSHIP
AUTHORITY: 25 USC §640d-14; 25 CFR §700.69, 25 CFR §700.143, 25 CFR §700.145, 25
CFR §700.147.
POLICY. The certified client represents the household for the purposes of relocation case
processing. At the time the application for voluntary relocation assistance was submitted, the client
identified the household members and verified their membership by providing documents requested by
the intake worker. After the client has been certified and referred into the social counseling stage of case
processing, the Relocation Specialist will ask at each interview about changes in marital status and
household membership.
If persons have been added to or deleted from the household, the Relocation Specialist will write
up the change and assure that the automated records are corrected to show the addition or deletion. The
Specialist will determine if verifying documents are required and will ask the client to provide the
specified documents.
Final determination of household size and membership will be made immediately prior to the
execution of the Relocation Contract.
The amount of the client's relocation benefit will be determined by the number of persons who
are legal members of the household. For purposes of these procedures, 'legal household members' are (1)
a spouse, where the legal relationship is documented by a copy of the marriage license and marriage
certificate; and (2) children under the age of eighteen who have not attained head of household status
through marriage, custodial parenthood, or financial self-support. In addition to legal family members,
the client may identify other persons living in the household full-time who will be participating in the
benefit. The documentation which must be on file to support their household membership is described
under Verifying Documents, pg.11 of this section.
Guidelines for Determining Special Household Membership Issues
Households which do not conform to the standard pattern of client, legal spouse, and dependent
children will require special review and documentation by the Relocation Specialist. The Specialist will
record the members of the household on the Household Relocation Plan (HRP) and computer printouts,
and will explain the composition of the household on the Case Narrative form. The Relocation Specialist
shall be guided by the following instructions in preparing cases which fall into exceptional
circumstances. Cases which are not covered by these guidelines will be brought to the attention of the
Team Leader who will request direction from the Relocation Operations Branch Manager and the
Executive Director.
1714.1 Adult Inclusion
POLICY. The client may include adults (other than the legal spouse) for the purpose of benefit
determination, provided the adult(s) they include are long-term actual residents of the client's household.
MM#1714 Issued 7/17/89; Revised and Reissued
8/28/90; 7/19/96; 12/18/98; 3/3/00;
4/22/03; 7/29/03; 8/26/11.
1
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED
MANUAL PROCEDURES
Subject 1714 Household Membership _/s/CJB___
APPROVED
ONHIR household membership records will not show inclusion if the member does NOT make a
difference in the amount of benefit. Examples of situations where other adults can be included are:
* Live-in partner (sometimes referred to as a common-law spouse) who may have
dependent children by a previous relationship in addition to children by the client.
* Children who have reached the age of majority (over eighteen.)
* Older children, either married or unmarried, with children of their own who live with the
client (three generations occupying the home.)
* Elderly parent or other relative of the client or spouse who lives in the client’s
household.
Criteria for inclusion. In order for the client to include these adults and any dependent children
which they may have in the relocation benefit, the person must meet the following criteria:
1. They must have lived with the client full-time for two or more years prior to the date of
the client's request to include them, and they must state an intention to continue living with the client
following relocation.
2. They must have no other place to live such as a rental apartment or house. When they are
away for occasional absences, which may include job seeking or employment, they stay with friends or
relatives on a temporary basis, or in a camper. Except for personal possessions needed for a brief
absence (change of clothes, toiletries, miscellaneous items) their personal possessions must be located at
the client's home. Except for occasional absences, these persons could be located at the client's house by
anyone seeking to contact them. Unless they move with the client, they will be homeless.
3. The adults must be willing to sign an affidavit that they live in the client's house on a full-
time basis.
4. Adults with dependents who live with the client must name the dependents on their
affidavit. For example, an LP (Live-In Partner) may have dependents by a previous relationship; the
client's adult children may have young children of their own (client's grandchildren).
5. An adult who applied separately and was denied must withdraw any pending appeal of the
denial in order to participate in the client's benefits.
WAIVERS. The ONHIR may waive the requirement of two years' full-time residence in the
client's household in cases where the client's unmarried adult children are temporarily away looking for
work; or for education, incarceration, or medical reasons. In order to request a waiver, the adult being
considered for inclusion must have been a full-time resident of the client's household before temporarily
leaving. The adult child must intend to return to live with their parents after completing college,
incarceration, or medical treatment. If the adult child is successful in job search, he/she may not be
included in the household benefit. If unsuccessful he/she may be included upon returning to live with the
client.
PROCEDURES.
MM#1714 Issued 7/17/89; Revised and Reissued
8/28/90; 7/19/96; 12/18/98; 3/3/00;
4/22/03; 7/29/03; 8/26/11.
2
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED
MANUAL PROCEDURES
Subject 1714 Household Membership _/s/CJB___
APPROVED
General. The information about the household membership of individuals who would ordinarily
be considered separate heads of household will be carefully examined, particularly if the person's
inclusion increases the amount of the client's benefit. Unless the person qualifies for a waiver, case file
information must show a consistent pattern of residence in the client's household for a minimum of two
years prior to the date of review in order to be included in the relocation benefit.
1. Initial Identification of Household Members During Counseling Phase. At the initial
counseling interview the Specialist will ask the client to identify all household members who are living
with the client and who will be moving with the client. The Specialist will record the names and
demographic information about the household members on the Household Membership Form.
2. Updates of Household Membership During Counseling Phase. During the counseling phase
of case processing, the Specialist will check on household membership during update contacts. Any
changes in household membership will be recorded on the Household Membership form and will be
explained in the case narrative.
3. Affidavits. The Relocation Specialist will obtain Affidavits of Household Membership
(Forms MM#1714.1 and MM#1714.2) from the client and all adults who make a difference in the
amount of benefit. If the adults do not make a difference in the amount of benefit, no affidavit will
be obtained. EXCEPTION: An Affidavit must be obtained for the LP, even if he or she does not make
a difference in the benefit amount.
Timing: The Specialist will determine when to obtain the affidavits based upon how active the
case is. Except for the LP, affidavits should be obtained as the case approaches the housing phase and
must be based on well-documented evidence of the member's residence with the client.
4. Declaration of Household Membership. When the Specialist is preparing the case for transfer
to HS status and housing interview, the Specialist will prepare a Declaration of Household Membership
(Form MM#1714.5) confirming the household membership of all adults who make a difference in the
benefit amount.
The Specialist may need to do a field investigation if the Case Narrative information is more than
six months old or if the Specialist has reason to think that there may have been recent changes in the
household.
5. Minor Dependents. Minor dependents of adult household members who are moving with the
client will be listed on the Affidavits.
6. Review by Higher Authority. The Declaration of Household Membership and Adult Inclusion
Forms must be reviewed by the Relocation Operations Branch Team Leader, the Relocation Operations
Branch Manager and approved by the Executive Director. The Director may request a review by the
Office Legal Counsel.
7. Final Verification of Household Membership and Notice of Benefit Determination. The
Specialist will conduct a final review of household size before contract signing in order to ensure that
the amount of benefit has not changed since the housing interview. The Notice of Benefit Determination
will be issued approximately four to six (4-6) weeks before contract signing.
1714.2 Inclusion of Minors
MM#1714 Issued 7/17/89; Revised and Reissued
8/28/90; 7/19/96; 12/18/98; 3/3/00;
4/22/03; 7/29/03; 8/26/11.
3
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED
MANUAL PROCEDURES
Subject 1714 Household Membership _/s/CJB___
APPROVED
POLICY. The client may include minor children they are raising who are not the client’s
natural children. These are usually cases where the client is raising grandchildren, nieces and nephews
or other children not related to the client. A Court Order is required in all cases.
PROCEDURES.
1. Case file Documentation by Relocation Specialist. The Relocation Specialist shall request
proper court documentation from the client on the Adoption or Legal Guardianship of minor
children to be included.
1714.3 Benefit Entitlement of the Surviving Household of a Deceased Client
If a client dies before the Relocation Contract is signed, the case will be reviewed to determine if
there is a household remaining to be relocated.
a. No Household. If the client had not identified any household members to participate in the
benefit, no benefit will be issued. The Specialist will fill out Form MM#1714.4 and request that
the case file be closed.
b. Existing Household. If the client was legally married and there is a surviving spouse the
Office will work with the spouse to develop the household relocation plan. If there is no
surviving spouse but there are minor dependents of the deceased client, the Office will work with
a Court appointed guardian or a household member who has attained age of majority in order to
provide the remaining household with a relocation house and other applicable benefits. The
Office may retain an attorney to represent the minor child(ren) of a deceased client during
guardianship/conservatorship proceedings (see MM#1746).
If it is determined that any member of the household who was previously identified by the client
is also deceased, then, in such event, the ONHIR will require the submission of a copy of the
Death Certificate of the deceased household member prior to proceeding with processing of the
relocation case.
The amount of the housing benefit will be determined by the number of members remaining in
the household at the time the relocation contract is signed.
c. Special Household Situations. 25 CFR §700.145 does not provide for payment of benefits to
the surviving household of a deceased client except in cases of legal marriage or minor children.
If the household identified by the client prior to death consists solely of individuals who had
some other relationship to the client (i.e. grown children with dependents; live-in
partner/common-law spouse) the case will be referred to the Executive Director for a
determination of action to be taken.
In the case of a live-in partner/common law spouse, the surviving partner must endeavor to
obtain a Validation of Marriage from the Navajo Nation in order to receive the benefit
entitlement of the deceased client. The ONHIR will not consider a waiver of regulations pursuant to 25
CFR §700.13(b) until the client has attempted to obtain a marriage validation.
MM#1714 Issued 7/17/89; Revised and Reissued
8/28/90; 7/19/96; 12/18/98; 3/3/00;
4/22/03; 7/29/03; 8/26/11.
4
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED
MANUAL PROCEDURES
Subject 1714 Household Membership _/s/CJB___
APPROVED
1714.4 Death of a Family Member
POLICY. If there is a death of a family member other than the client before the relocation
contract is signed, the Specialist will correct the household membership records to reflect the change. If
the death reduces the client's benefit the Specialist will inform the client of the reduction in benefit
amount. This reduction may not be appealed through the Office administrative appeals system.
1714.5 Benefit Entitlement in Cases Where there is a Guardian/Conservator
POLICY. In cases where a guardian and/or conservator has been appointed to process the
client's relocation, the guardian/conservator may be entitled to participation in the benefit depending
upon the circumstances of the case.
If the guardian/conservator is going to reside physically in the relocation home to provide care
for the client or the client's survivors, the guardian/conservator and any immediate family members
(spouse, children) may be included in the household for purposes of benefit determination provided they
have not already received relocation benefits.
1714.6 Incarcerated Client
POLICY. Depending upon the circumstances of the case, as outlined in this section, the
Relocation Specialist will continue to process the case of a client who is incarcerated. The Specialist
will contact court, probation, or prison officials to obtain written confirmation of the client's sentence and
anticipated release date. The Specialist will visit or phone the client as often as practical to process the
case to the point where the relocation site has been acquired and the case is ready for the initial housing
interview.
Single/Unmarried Client If the incarcerated client is single or has a live-in partner the case will
remain in pending status with an INCAR action code until the client is released from prison.
Married Client If the client is legally married and wants the spouse to pursue the relocation
benefits on behalf of the family, the client must provide the spouse with a notarized power of attorney.
The specialist will advise the client about the consequences of putting the spouse's name on the homesite
lease or the house title. The specialist will work with the spouse to acquire the relocation house; the
Specialist will not take direction from other family members unless authorized by the client.
1714.7 Legally Married Clients who are Separated
POLICY. Clients who are separated from a legal spouse do not have to get a divorce in order to
obtain a relocation house. However, the legal spouse (and children, if any) will be included in the
ONHIR benefit whether or not they are living with the client. It is therefore desirable to resolve
household membership issues before the relocation is processed.
A 'live-in partner' who is known to be legally married to someone else can not be included in the
client's relocation benefits.
PROCEDURES.
MM#1714 Issued 7/17/89; Revised and Reissued
8/28/90; 7/19/96; 12/18/98; 3/3/00;
4/22/03; 7/29/03; 8/26/11.
5
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED
MANUAL PROCEDURES
Subject 1714 Household Membership _/s/CJB___
APPROVED
The Specialist will advise the client of the ONHIR policy and will counsel the client to dissolve
the legal marriage if the client does not want to include legal members of the household who are not
living with the client.
After the necessary legal actions have been taken and household relationships have stabilized to
the point that the client can identify and document the persons participating in the benefit case processing
will proceed.
1714.8 Legal Spouse Who Refuses to Participate in the Benefit
POLICY. All legal members of the current household will be included as persons participating
in the benefit at the time the Relocation Contract is signed. If the legal spouse states that he/she is
unwilling to sign the Relocation Contract or other relocation documentation, the relocation will proceed
without the member's active participation.
PROCEDURES.
The Relocation Specialist will document the member's objections. The client will be informed
that the member's refusal to participate does not mean that the member can be excluded from benefit
participation. The dissenting member will be named in the Notice of Benefit Determination. Relocation
documents which are usually signed by both the client and spouse will be signed by the client only.
1714.9 Client/Spouse is Pregnant and Would like the Anticipated Child Counted to
Increase the Benefit from Minimum to Maximum
POLICY. The benefit amount is determined according to actual number of family members
relocating with the client at the time the Notice of Benefit Determination is issued. In order to count the
newborn for maximum benefits the client will have to delay signing the Relocation Contract until after
the baby is born. If the client is not willing to postpone contract signing the anticipated baby will not be
counted toward the amount of benefit entitlement. The amount of benefit stated in the Relocation
Contract will be final.
The Relocation Specialist will document the file that the client has been advised of this
determination and the client will sign a statement that he/she has been so advised.
1714.10 Divorce After the Application Deadline
POLICY. A person who was legally married to a certified head of household on July 7, 1986,
(the application deadline date) and was divorced prior to the date the Relocation Contract was signed,
may be considered for separate eligibility pursuant to 25 CFR §700.143(2). The divorced spouse's case
will be referred to the Eligibility and Appeals Branch for determination. For additional information
refer to Management Manual Section 1220.
1714.11. Clients Separately Certified who Subsequently Marry
POLICY. Individuals who are separately certified who later get married (legal marriage) before
either of them receives benefits shall receive only one housing benefit. The case files shall be merged
and the couple shall identify which one of them will be the head of household to represent the household
during case processing.
1714.12. Client Who Marries a Relocatee Who Has Already Received Benefits
MM#1714 Issued 7/17/89; Revised and Reissued
8/28/90; 7/19/96; 12/18/98; 3/3/00;
4/22/03; 7/29/03; 8/26/11.
6
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED
MANUAL PROCEDURES
Subject 1714 Household Membership _/s/CJB___
APPROVED
POLICY. A certified client who marries another certified client who has already relocated is
still entitled to a housing benefit. However, the relocated spouse and any dependents who already
received benefits cannot be included in a second benefit. They will be recorded as "relocate N" in the
automated records and will not be listed in the Notice of Benefit Determination. They will be identified
in the Relocation Contract, with the information that while they are moving with the client they are not
participating in the client's benefits.
1714.13. Clients Who are Separately Certified and Who are Living Together.
POLICY. Clients who are separately certified and are living together but are not legally married
may receive separate benefits or elect to combine their benefits.
1714.14 Custody of Children Under Divorce Decree
A. Client Who has Joint Custody of Dependent Children
POLICY. A client who shares joint custody of a dependent under the terms of a divorce decree
must exercise custody, control and care of the dependent for more than one-half of the year in order to
include the dependent as a household member. The client must provide the ONHIR with a copy of the
Decree of Dissolution.
B. Client Who Exercises Actual Custody of Dependent Children Awarded to the Divorced
Spouse
POLICY. A client who actually supports and cares for children, even though they were awarded
to the ex-spouse in a divorce settlement, may include them in the client's benefit if he/she can
demonstrate full-time financial support and custody of the children. The Specialist will follow the
criteria and procedures for Section 1714.2, Inclusion of Minors. In addition, the Specialist must obtain
a notarized statement from the ex-spouse that he/she has agreed to have the client raise the children on a
permanent basis.
1714.15 Documenting Household Membership
PROCEDURES.
General. The Relocation Specialist will obtain supporting documentation for each household
member who is identified by the client to participate in the benefit. Household membership records in
the casefile and in the computer will be up continually updated until the client signs the relocation
contract.
All household members participating in the benefit are listed on the Notice of Benefit
Determination. Household membership records will not be changed after the client has signed the
relocation contract, with these exceptions:
a. If the client dies after the contract has been signed but before house construction or
acquisition is completed the benefit entitlement will be transferred to the surviving head of
household.
b. If the client dies while the case is in post-move status the Information Systems Branch staff
will change the household membership records so that any mailed notifications will go to the
surviving head of household.
MM#1714 Issued 7/17/89; Revised and Reissued
8/28/90; 7/19/96; 12/18/98; 3/3/00;
4/22/03; 7/29/03; 8/26/11.
7
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED
MANUAL PROCEDURES
Subject 1714 Household Membership _/s/CJB___
APPROVED
1. Recording Household Membership
a. Intake. At the time of initial application the applicant will identify the household members
and will provide identifying information (names, census numbers, social security numbers,
birthdates, sex, and education level) to the intake worker. This information is entered in the
automated records and is usually not updated until the applicant is certified and the case has been
transferred to the Relocation Operations Branch.
b. Initial Counseling Interview. The Relocation Specialist will review the household
membership information which the client provided at intake. During the interview the
Relocation Specialist will ask the client to identify all current household members and will
inform the client of the documents needed to verify membership.
Household membership will be recorded on the Household Relocation Plan (HRP) during the
initial interview. The Relocation Specialist will perform the duplicate census number check as
instructed in MM#1716. If the Duplicate Census Number check shows that neither the client nor
any family member has previously participated in a relocation assistance benefit, the Relocation
Specialist will request the client sign the Household Membership Form in the HRP. The
Relocation Specialist will sign as a witness.
c. Data Entry. Household membership will be recorded in the automated records by the ROB
Administrative Assistant. The documents required to verify household membership will be
recorded in the files (Code Table #158), and the household members will be shown as "relocate
N" until the documents are received. When the documents are received the records will be
updated to show "relocate Y".
d. Pre-Contract Updates. The Relocation Specialist will update household membership
information whenever contact is made with the client, up to the time the contract is signed.
Explanations of any changes which occur will be recorded on the Case Narrative Form and
verified with required documents.
e. Initial Housing Interview and Client Information Summary. Household membership
information will be printed out on the Client Information Summary and confirmed with the
client. Any changes will be routed to the Administrative Assistant for data entry.
f. Notice of Benefit Determination. The Notice of Benefit Determination will be issued
approximately four to six (4-6) weeks prior to contract signing. The Specialist will prepare the
Notice for the Relocation Operations Branch Manager's signature. The Notice and all supporting
documents including the case file will be reviewed by the Manager before signing the Notice.
1. For clients moving on-reservation, the Specialist will prepare the Notice when the
house plans are received from the contractor.
2. For clients moving off-reservation, the Specialist will prepare the Notice within three
days after the initial housing interview.
2. Documents Required
a. Client:
MM#1714 Issued 7/17/89; Revised and Reissued
8/28/90; 7/19/96; 12/18/98; 3/3/00;
4/22/03; 7/29/03; 8/26/11.
8
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED
MANUAL PROCEDURES
Subject 1714 Household Membership _/s/CJB___
APPROVED
1. CIB or Family Card.
2. Social Security Card.
b. Spouse (legal marriage).
1. CIB or Family Card.
2. Marriage license and certificate issued by the Navajo Nation.
To Delete Spouse: Decree of Dissolution issued by a Court of Competent Jurisdiction.
c. Children under eighteen and minor dependents.
1. Birth Certificates for each child.
2. Court award of guardianship or adoption.
To Delete Minor Children: The Decree of Dissolution showing that the ex-spouse has been
awarded custody of the minor child(ren) who were originally part of the client’s household.
d. Adult Children, LP's, and Other Adults:
1. Affidavits of Household Membership (Forms MM#1714.1 and MM#1714.2)
and Declaration of Household Membership by Relocation Specialist. Note: If
one of the included adults has dependent children, birth certificates must be
provided.
To Delete Adults: If the client has broken up with an LP, or grown children who were household
members at one time have left the household, the specialist will write up an explanation on the
Case Narrative Form.
e. Death of client or household member.
The Specialist will fill out the “Record of Deceased Notification”, (Form MM#1714.4, and
route it to the ROB Administrative Assistant for data entry. If it is the client who is deceased the form
must be routed (with instructions) for approval by the Relocation Operations Branch Manager and the
Executive Director and data entry by the Information Systems Branch staff.
Required Documents/Death of Client.
1. Death Certificate.
2. Published Obituary.
3. Other written documentation reviewed and approved by the Relocation
Operations Branch Manager and the Executive Director.
Required Documents/Death of Household Member.
1. Death Certificate.
2. Notice of funeral or memorial service.
3. Published Obituary.
MM#1714 Issued 7/17/89; Revised and Reissued
8/28/90; 7/19/96; 12/18/98; 3/3/00;
4/22/03; 7/29/03; 8/26/11.
9
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED
MANUAL PROCEDURES
Subject 1714 Household Membership _/s/CJB___
APPROVED
4. Memorandum to File by the Relocation Specialist recording the information
which they received about the death of the household member and when it
occurred.
5. If the deceased household member was a member of the household remaining to
be relocated upon the death of the client, a copy of the Death Certificate of said
household member shall be required.
Transferring the Benefit Entitlement to the Surviving Spouse
Required Documents.
1. Death Certificate of client.
2. Marriage License and Certificate.
Data Entry:
1. Record client’s date of death and deceased code “Y” in the automated records.
2. Change client from “relocatee Y” in the computer to “relocate D.”
3. Type (AP) after the client’s last name to indicate that this is a special case.
4. The name on the case file will not be changed. The surviving spouse will
continue to be listed as spouse. Letters to the spouse will be manually generated
so that there will be no automated generation of letters or other documents
addressed to the deceased spouse.
Conservatorships:
Documents Required:
1. Court Order Appointing Guardian and/or Conservator.
2. Memorandum from Legal Counsel with instructions for case processing.
Data Entry:
1. Type (CS) after the client’s last name to indicate this is a special case.
2. If the client is deceased, record the client’s date of death and deceased
(AP) in the computer.
3. If the client is deceased, change client from “relocatee Y” in the computer
to “relocatee D.”
4. Enter the Conservator’s name with the designation “Consrvtr” in the house-
hold membership record. Do not enter any demographic information except
the Conservator’s Social Security Number and relocate “N” code.
5. If the Conservator is also a household member and is moving as a part of the
household, put in their name and demographics just like any other household
member, with the “Consrvtr” designation.
MM#1714 Issued 7/17/89; Revised and Reissued
8/28/90; 7/19/96; 12/18/98; 3/3/00;
4/22/03; 7/29/03; 8/26/11.
10
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS-SPECIALIZED
MANUAL SUBJECT 1716 PROCEDURES -Duplicate Census Numbers
_/s/CJB___
APPROVED
SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED AND MULTI-
BRANCH PROCEDURES
SUBJECT 1716 CLIENTS WHOSE NAMES APPEAR IN MORE THAN ONE
CASEFILE (DUPLICATE CENSUS NUMBERS)
AUTHORITY 25 CFR §700.147(d); Recommendations of DOI/OIG Audit Report 7-86
POLICY Individuals are not entitled to separate benefits if it is determined that they are
members of a household which has received benefits (25 CFR §700.147(d).
BACKGROUND: When a client applies for relocation assistance, he/she provides the names
of his/her parents; and also lists the members of his/her current household. In making the determination of
whether or not the applicant is eligible for benefits, it is the applicant’s parents’ household which is important.
The applicant must demonstrate that he/she was a member of a family which resided on lands partitioned to the
tribe of which they were not members.
After the applicant is certified information about the client’s current household is required in
order to determine the amount of benefit to which the client is entitled, and the identities of the household
members who will be participating in the benefit and moving with the client. As there are continual changes
in household membership as the result of marriage, divorce, death, birth of new children, etc., household
membership records are updated continually until a certified client signs the relocation contract.
Benefits vest at the time the relocation contract is signed. With one exception, changes which
occur in household membership after benefits have vested are not tracked by ONHIR. The exception is death
of the head of household. In order to avoid improper post-move notifications to the household, the ONHIR will
change household membership records to show death of a client which occurs after contract signing.
PROCEDURES (Cross Reference MM§1714, Household Membership.)
General.
1. Tribal Census Numbers.
Subject to the exceptions described in this section of procedures, no one may participate in
more than one relocation benefit, whether as a client or a household member. The exceptions are set forth in
Section III of these procedures, “Resolving Duplicate Inclusions.” Because the tribal enrollment number (also
known as the Census Number) is the single most unique identifier for Navajo tribal members, the inclusion of
a client or household member in more than one casefile is best revealed through ONHIR computer records of
client/household census numbers.
The term “duplicate census number” is a short-hand term referring to the fact that a client or member
of the client’s household may be listed as a client or household member in more than one casefile.
2. Certificate of Indian Blood and Family Cards.
Tribal enrollment numbers are issued by the Agency Office of the BIA/Tribal administrative
district where the person lives. BIA/Tribal procedures for issuing census numbers have changed during the time
MM#1716 ISSUED 7/19/94; Revised/Reissued 7/15/97;
5/7/02; 9/10/04; Dec 31, 2010.
1
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS-SPECIALIZED
MANUAL SUBJECT 1716 PROCEDURES -Duplicate Census Numbers
_/s/CJB___
APPROVED
the relocation program has been in operation. Initially census numbers for family members were listed on a
Family Card issued to the head of household. As of the date of these procedures, family cards are no longer
issued; census numbers are shown on Certificates of Indian Blood (CIB) issued to individuals.
3. ONHIR Census Number Records.
Certified relocation clients must produce either a family card or CIB for themselves and all
household members they want to include in their benefits. The census number is recorded in the automated
records. The client shall be responsible for obtaining the CIB, and for supplying any supporting documentation,
such as birth certificates, required by the BIA/Tribal Office for issuance of the CIB. The ONHIR will not
reimburse the client for expenses incurred in obtaining the CIB or supporting documentation.
4. Relocate With Family Entry.
The automated files include a “relocate with family” entry for all household members. A “Y”
entry means: “Yes, this person is relocating with the family.” If the person is subsequently deleted from the
household membership for any reason the Relocation Specialist (hereinafter the Specialist) must write a
narrative explaining why they are no longer a family member. The person’s name will not be deleted from the
ONHIR records. Instead, the Relocate “Y” code will be changed to an “N” code (not relocating with the family.)
5. Household Members Who Are Not Members of the Navajo Nation.
Household members who are not enrolled with the Navajo Nation will be assigned “dummy”
census numbers. The specialist will explain the situation in a narrative. The household member may be non-
Indian, enrolled with another tribe, or a newborn who has not yet received a census number. The Specialist will
determine which of the dummy numbers is appropriate. The dummy numbers are:
9999999 - Non-Indian
9999998 - Hopi
9999997 - Other Indian Tribe
9999996 - Newborn less than one year old.
6. Dummy Census Number for Newborns.
This number may be used only for clients who are in HS status. It should be used only for
newborns who do not make a difference in the amount of benefit the family will receive. The purpose for
inserting the “dummy” number is to avoid delaying contract signing by requiring that the family wait until a
census number is issued.
7. Denied Applicants.
If an applicant is denied, the information about his/her current household provided at the time
of application is not updated in the automated records. If the applicant appeals and the denial is subsequently
reversed, household membership is updated when the client enters counseling.
8. Data Entry.
The ONHIR’s automated client master file contains the census numbers of household members
which the client provided at the time of application. Updates of census numbers and “relocate with family”
MM#1716 ISSUED 7/19/94; Revised/Reissued 7/15/97;
5/7/02; 9/10/04; Dec 31, 2010.
2
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS-SPECIALIZED
MANUAL SUBJECT 1716 PROCEDURES -Duplicate Census Numbers
_/s/CJB___
APPROVED
information is entered by the ROB Administrative Assistant.
I. COUNSELING
General. The Specialist assigned to the case will be responsible for updating household membership
information.
1. Household Membership Form.
The Household Membership Form is page four (4) of the Household Relocation Plan, which
is filled out at the time of the initial interview. The Specialist will record the names and other identifying
information for each person named by the client as a member of the household. Verifying documents will be
obtained as specified in MM§1714.
2. Updating Household Membership.
During each update contact the Specialist will obtain a printout showing household membership
and inquire about changes. The Specialist will write up a Case Narrative explaining the changes and obtain
verifying documents if appropriate.
3. Census Number Documentation.
The Specialist will make sure that each family member has a census number or dummy census
number recorded in the automated files and that the casefile contains the supporting documentation: family card,
CIB, or narrative explanation that the person with a dummy census number is not an enrolled member.
4. Checking Duplicate Census Numbers.
Instructions for duplicate census number checks are found on page three (3) of the Household
Relocation Plan. When the household membership information is obtained at the time of the initial interview,
or during updates, the Specialist will do the following:
a. Family List by Census. The Specialist will obtain a printout of the “Family List by Census
Number” for the client. Based on the information contained in the list, the Specialist will:
Î Make sure that all family members have census numbers recorded in ONHIR files in
accordance with No. 3 above;
Ï Note whether or not any family member is listed in another casefile.
Ð If a family member is listed in another casefile of a client who is certified, the Specialist
will check the “relocate with family” code. If the household member is coded “N” (did not
relocate with the other family) no further action is necessary. The family member can be
included as a member of the client’s household.
MM#1716 ISSUED 7/19/94; Revised/Reissued 7/15/97;
5/7/02; 9/10/04; Dec 31, 2010.
3
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS-SPECIALIZED
MANUAL SUBJECT 1716 PROCEDURES -Duplicate Census Numbers
_/s/CJB___
APPROVED
å If the household member is code “Y” (has already relocated or is planning to relocate
with another certified family) the Specialist will research the issue as set forth in Section III
of these procedures, “Resolving Duplicate Inclusions.”
If the issue cannot be resolved, the Specialist will inform the client that the household member cannot
participate in a second benefit, and an “N” code will be entered in the client’s file beside the name of the
household member in question.
b. No duplication. If the printout does not show any household members listed in other files by
census number, the Specialist will ask the client about alternate name spellings or surnames. If a household
member has used a different name, the Specialist will review the CLIENT/FAM ILY MEM BER ALPHA LISTING,
to determine if that person may be listed in another file. If so, the Specialist will repeat checks (3) and (4)
above.
c. Affirmation by Client. If there is no record that the client, or any of his/her household members,
has previously participated in a benefit, the Specialist will ask the client to sign the statement at the bottom
of the Household Membership Form. This statement reads: “I hereby affirm that neither I nor any of the
members of my household who are listed above, and who will participate in this relocation benefit, have
previously received relocation assistance benefits from the ONHIR.”
5. Transfer to CC Status.
A copy of the DUPLICATE CENSUS BY FAMILY REPORT will be attached to the case file when
it is submitted to the Relocation Operations Branch Team Leader for review and transfer to CC Status. The
Team Leader will check to confirm that all household members have actual or dummy census numbers before
signing the TRACKING FORM and performing data entry.
The Team Leader may transfer a case to CC status even though one of more household
members lack a census number if the Case Narrative states that the client is in the process of obtaining the
CIB and it will be received before the case is transferred to Housing. The Specialist will be responsible for
following up and assuring that the CIB is received and the census number is recorded in the files.
6. Updates While the Client is in CC Status.
The Specialist will continue to conduct updates with the client while the case is in CC status.
The Specialist will assure that any changes in family membership during this period are recorded in the
manual and automated files and that census numbers are entered for each new member. The checks
described above for duplicate inclusion will be performed.
II. HOUSING
General. After the case is transferred into Housing Acquisition, the Specialist will be responsible
for inquiring about changes in household membership and updating household membership records as
required, up to the point in time when the client signs the Relocation Contract. CRO SS REFERENCE
MM§1643.1.
MM#1716 ISSUED 7/19/94; Revised/Reissued 7/15/97;
5/7/02; 9/10/04; Dec 31, 2010.
4
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS-SPECIALIZED
MANUAL SUBJECT 1716 PROCEDURES -Duplicate Census Numbers
_/s/CJB___
APPROVED
1. Client Information Summary
In preparation for the Initial Housing Interview, the Specialist will generate a Client
Information Summary from the automated records. The Specialist will double check to confirm that:
Î All household members codes “relocate with family - Y” have census numbers,
and
Ï There are NO duplicate census numbers for family members relocating with this
client.
2. Initial Interview.
At the time of the initial interview, the Specialist will ask the client to verify
the accuracy of the household membership information.
3. Changes in Household Membership.
If the household membership information shown on the Client Information
Summary is missing or incorrect, the Specialist will record the correct information on the
“Client Information Summary” and route it to the ROB Administrative Assistant for data
entry. If the change in household membership results in either an increase or decease in the
benefit amount, the client must submit supporting documents. The types of supporting
documents required are listed in MM§1714.
4. Census Numbers.
The Specialist will make sure that each relocating household member has
a census number or dummy census number recorded in the automated files. If a client was
instructed in the initial interview letter to bring in a CIB, the Specialist will record the
census number and make a copy of the supporting documentation. The CIB will be routed
to the ROB Administrative Assistant for data entry of the census number and then filed in
the case file.
If a dummy census number is required, the Specialist will prepare the Case
Narrative and route the information to the ROB Administrative Assistant for data entry.
5. Changes Prior to Contract Signing.
The client file information will be updated if the client informs the
Specialist of changes in household membership which occur before the Contract is signed.
Major changes in household composition resulting from marriage, divorce,
or death of the client or spouse may require the case to be returned to counseling. In such
event the Specialist will be responsible for updating household membership data and
obtaining supporting documents.
MM#1716 ISSUED 7/19/94; Revised/Reissued 7/15/97;
5/7/02; 9/10/04; Dec 31, 2010.
5
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS-SPECIALIZED
MANUAL SUBJECT 1716 PROCEDURES -Duplicate Census Numbers
_/s/CJB___
APPROVED
Minor changes in household members, such as the birth of a child, do not
require the case be referred back to counseling status. The Specialist will obtain the
necessary CIB for the newborn or will prepare a memo to file to justify the use of the
“dummy” number for newborns. The Specialist will assure that the client files are updated
as necessary.
III. RESOLVING DUPLICATE INCLUSIONS
General.
If the ONHIR automated records show that a client/ household member in
a case currently being processed has previously participated in a relocation, the
circumstances of the previous case will be researched and a determination made regarding
this person’s inclusion in the current case. It is the responsibility of the Relocation
Specialist handling the current case to conduct the necessary research as soon as the
situation is revealed by the DUPLICATE CENSUS REPORT.
The purpose of the research is to determine if this person was in fact
relocated as a member of a previously relocated household and if so, did his/her inclusion
make a difference in the amount of the relocation benefits previously awarded. Further, by
virtue of the previous relocation is this person eligible to be included as a household
member in the current case.
Note: There are circumstances in which the certified client in the current case was
previously relocated as a member of another household. As a part of the certification
process this issue may have been addressed by the ONHIR Legal Counsel and Legal
Counsel may have issued a determination as to the amount of the benefit entitlement in the
current case. The Specialist should carefully review the current case file to determine if
such a decision has been made.
These cases will be handled on a case-by-case basis. The Specialist should
follow the guidelines set forth below in conducting the research and preparing the
recommendation on Form MM#1716.1.
Utilizing the steps set out in Form MM#1716.1, the Specialist will make
a determination as to whether or not the client/ household member in the current case, who
is the subject of this review, was included as a member of a household in a previous
relocation.
1. This person did not move as a member of a previously relocated
household.
If the client/household member in the current case who is subject to this
review did not move as a member of a previously relocated household but the automated
records indicate that he/she did, (and consequently they did not affect the amount of the
benefit award) the Specialist will complete the “Comments” portion of Form MM#1716.1
MM#1716 ISSUED 7/19/94; Revised/Reissued 7/15/97;
5/7/02; 9/10/04; Dec 31, 2010.
6
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS-SPECIALIZED
MANUAL SUBJECT 1716 PROCEDURES -Duplicate Census Numbers
_/s/CJB___
APPROVED
describing the circumstances of the previous relocation and how the Specialist arrived at
hi s/ he r de ter mi n at i on . T he Sp ec ia li s t w i ll t he n c o mp l et e t he
“Conclusions/Recommendation” portion of the form and recommend that the “Relocate Y”
Code in the automated records be changed to a “Relocate N.” Form MM#1716.1 will then
be delivered to the Relocation Operations Branch Manager for his concurrence who will in
turn forward it to the Executive Director for Final Approval.
2. This person moved (relocated) as a member of a previously
relocated household.
If the Specialist concludes that the client/household member in the current case who
is the subject of this review, moved as a member of a previously relocated household, the
Specialist will conduct a further investigation into the circumstances of the previous
relocation to determine which of the following situation applies to the individual subject
to this inquiry.
a. Was the person who is the subject of this inquiry the certified client in
a prior relocation?
If the answer to this question is “yes” this person cannot be included in the
current relocation. No further analysis is necessary. (The automated record in the current
case should indicate “Relocate No.”) If the answer to this question is “no” the Specialist
will proceed to paragraph b.
b. Did the person who is the subject of this inquiry, by their inclusion as
a member of a previously relocated household, make a difference in the amount of the
relocation assistance benefits awarded in the previous case?
The inquiry into whether or not this person made a difference in the amount
of the previously awarded relocation benefits is twofold. The Specialist must first carefully
review the content of the casefile on the previous relocation to determine if this person’s
inclusion therein made a difference in the amount of the relocation assistance benefits paid.
EXAM PLE: IF THE PREVIOUSLY RELOCATED HOUSEHOLD CONSISTED OF FOUR MEMBERS AND
THE HIGHEST BENEFIT W AS PAID, THEN THE ANSWER TO THE QUESTION IS “YES.” THIS
INDIVIDUAL M ADE A DIFFERENCE IN THE AMOUNT OF THE BENEFIT. NO CHANGE IS REQUIRED
IN THE AUTOM ATED RECORD. THE “RELOCATE Y” CODE WILL BE RETAINED. THIS
INDIVIDUAL CANNOT BE INCLUDED IN CURRENT RELOCATION AS A HOUSEHOLD M EM BER.
SEE SECTIO N IV. BELOW .
If the Specialist determines that the person who is the subject of this inquiry
relocated as a household member in previous relocation case (coded Relocate “Y”) but did
not make a difference in the amount of the benefit determination, the Specialist must then
investigate the relocation history of all other household members who were included in the
previous relocation.
The purpose of this inquiry is to determine if any of the other household
members were subsequently independently certified eligible or included in another
MM#1716 ISSUED 7/19/94; Revised/Reissued 7/15/97;
5/7/02; 9/10/04; Dec 31, 2010.
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MANAGEMENT SECTION 1700 RELOCATION OPERATIONS-SPECIALIZED
MANUAL SUBJECT 1716 PROCEDURES -Duplicate Census Numbers
_/s/CJB___
APPROVED
household which relocated, and if so, were they eliminated (removed) as a household
member in the previous relocation because they did not impact the amount of the benefit
level in that relocation.
EXAM PLE: A CHILD WHO WAS INCLUDED IN HIS/HER PARENTS’ PREVIOUS RELOCATION M AY
HAVE BEEN SUBSEQUENTLY REMOVED AS A M EM BER OF HIS/HER PARENTS’ HOUSEHOLD SO
THAT HE/SHE COULD RELOCATE WITH A SPOUSE. IF THE HOUSEHOLD OF THE PREVIOUS
RELOCATION CONSISTED OF FIVE MEM BERS, THE ELIMINATION OF ONE OF THOSE M EMBERS
DID NOT AFFECT THE AMOUNT OF THE BENEFIT. HOWEVER, THE REM OVAL OF TWO OF THOSE
HOUSEHOLD M EMBERS WOULD HAVE AFFECTED THE AMOUNT OF THE RELOCATION BENEFIT
AWARDED.
After completion of the above analysis if the Specialist determines that the
person who is subject to this review did not make a difference in the benefit level of the
previous relocation and that actions taken by the Office on other household members after
the previous relocation (were other household members who relocated in the previous
relocation included in another relocation at a later date) did not affect the benefit level, then
this person may be considered for inclusion in the household of the current relocation case.
The Specialist shall recommend that the automated record be changed to the “Relocate N”
code in the automated file relating to the previous relocation and forward the completed
Form MM#1716.1 “Duplicate Census Number Check” to the Relocation Operation Branch
Manager for concurrence and transmittal to the Executive Director for his approval.
If the Specialist concludes that the removal of the name of the person who
is the subject of this inquiry from the household membership of the prior relocation would
cause the household membership total to fall below the minium number of household
member is required to justify the benefit awarded, then, in such event, this person cannot be
included as a household member in the current relocation. The Specialist will complete
Form MM#1716.1 and deliver it to the Relocation Operations Branch Manager for
concurrence.
VI. SPECIAL CIRCUMSTANCES: A certified client who previously relocated
with another household
If the inquiry conducted by the Specialist reveals that the individual who
is the subject of the inquiry is the “certified client” in the current case, previously relocated
with another household, and by
his/her inclusion in that previous household made a difference in the amount of benefits
paid, the matter must be referred to ONHIR Legal Counsel.
Although generally this issue is addressed at the time of certification in the
current case, if the Specialist’s research confirms that the person did move as a part of a
previously relocated household and thereby increased the amount of the benefits the
previous household was paid, the case must be reviewed by Legal Counsel to determine if
the amount of the housing benefit for the current case should be reduced.
MM#1716 ISSUED 7/19/94; Revised/Reissued 7/15/97;
5/7/02; 9/10/04; Dec 31, 2010.
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MANAGEMENT SECTION 1700 RELOCATION OPERATIONS-SPECIALIZED
MANUAL SUBJECT 1716 PROCEDURES -Duplicate Census Numbers
_/s/CJB___
APPROVED
The “Relocate Y” code will not be changed. The Specialist will write up
the circumstances and route it to Legal Counsel through the Executive Director.
VI. ACTION BY IS TEAM LEADER
Upon the completion of Form MM#1716.1 and approval by the Relocation
Operations
Branch Manager and the Executive Director a copy shall be delivered to the IS Team Leader
for review to confirm the accuracy of the automated records.
MM#1716 ISSUED 7/19/94; Revised/Reissued 7/15/97;
5/7/02; 9/10/04; Dec 31, 2010.
9
MANAGEMENT SECTION 1700 RELOCATION OPERATION - SPECIALIZED
MANUAL SUBJECT 1718 PROCEDURES - Emergency Moves
_/s/CJB__
APPROVED
SECTION 1700 R EL O C AT IO N O PE RA TI ON S - SP EC IAL IZ E D
PROCEDURES
SUBJECT 1718 EMERGENCY MOVES
AUTHORITY 25 CFR 700.135, Relocation Advisory Services
(General Oversight Responsibility).
POLICY
If the client requests that his/her case receive priority processing, the Specialist shall
determine if the client has an emergency need as described in this section. A demonstrated emergency need
may entitle a client to priority processing.
1719 CRITERIA FOR EVALUATING EMERGENCY NEED
In order for a situation to qualify as an emergency need, the client or immediate family member must
have a situation directly related to the client’s residence or living conditions. Prompt acquisition of the
replacement house will remedy the client’s emergency need.
1. Handicap
Definition: The client or immediate family member has a physical handicap which requires
handicap accommodations. The client’s current housing does not have handicap facilities.
Documentation: A statement from a physician identifying the nature of the handicap in detail and
explaining how the client’s well being will be improved by moving to a house with handicap
accommodations.
2. Health/Medical Need
Definition: The client or immediate family member has a medical condition which requires that the
client live in a community with immediate access to a hospital or clinic or client or immediate family member
has a medical condition which is made worse by the client’s housing conditions.
Documentation: A statement from a physician identifying the nature of the medical problem in
detail and explaining how a move to relocation housing will remedy the problem.
3. Burn Out
Definition: The client must move from the current residence because it has been partially or totally
destroyed by fire. The client must have no other residence available and reconstruction of the residence
would not be feasible.
MM#1718 Issued 2/28/01; Revised/Reissued
8/18/89;2/29/96; 2/28/01; Dec 31, 2010.
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MANAGEMENT SECTION 1700 RELOCATION OPERATION - SPECIALIZED
MANUAL SUBJECT 1718 PROCEDURES - Emergency Moves
_/s/CJB__
APPROVED
4. Court Order
Definition: Client has been issued a Court Order to move out of an illegally constructed dwelling.
Documentation: A copy of the Court Order.
5. Other: Lightning Strike or Death in Dwelling
Definition: The dwelling must be abandoned according to traditional beliefs because it was struck
by lightning or a death occurred in the dwelling.
Documentation: For a lightning strike, the police or fire department report or a field investigation
report by the Relocation Specialist. For a death in the dwelling, a copy of the death certificate, funeral
service announcement, or equivalent verification.
1720 PROCESSING THE EMERGENCY NEED REQUEST
1. Emergency Move Request Form
The Relocation Specialist shall record the request and his/her recommendation on the Emergency
Move Request Form, (Form MM#1718.1) and attach the supporting documentation. An additional
explanation of the situation will be recorded on the Case Narrative Form.
2. Household Relocation Plan (HRP)
The Relocation Specialist will assure that a Household Relocation Plan (HRP) has been completed.
The client’s relocation plan as set forth in the HRP and related documentation must explain how the
emergency need will be remedied by relocating the family as soon as possible. On page six of the HRP, the
Specialist will check “Priority Code 1" and the line indicating that the client has an emergency need.
Relocation Site: Because the emergency determination is used to expedite homesite lease
processing, emergency requests may not be submitted for clients who have not selected a relocation site.
Any emergency needs that the client may have should be identified while the client is in agency
status “SC.” If the need is identified after the client has progressed into CC, HR, or HP status, the client will
be referred back to SC for case review and evaluation.
The Emergency Move Request Form and supporting documentation will be attached to the HRP and
the case file and forwarded to the Relocation Team Leader for his/her concurrence and then routed to the
Relocation Operations Branch Manager for review and approval. The file and recommendations will then
be delivered to the Executive Director. The Executive Director will approve or disapprove the request.
Approval: If the Executive Director approves the request the Relocation Branch Administrative
Assistant will enter Priority Code 1 in the automated file.
MM#1718 Issued 2/28/01; Revised/Reissued
8/18/89;2/29/96; 2/28/01; Dec 31, 2010.
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MANAGEMENT SECTION 1700 RELOCATION OPERATION - SPECIALIZED
MANUAL SUBJECT 1718 PROCEDURES - Emergency Moves
_/s/CJB__
APPROVED
Disapproval: If the Executive Director disapproves the emergency move request, he/she will enter
the reasons for disapproval on the Emergency Request Form. The Relocation Specialist will inform the client
of the Executive Director’s decision.
Data Entry: The Administrative Assistant will perform data entry of the date of the Relocation
Specialist’s request, date of decision, emergency code, and Y/N decision.
1721 USE OF EMERGENCY CODE
The emergency code will be used by the Relocation Operations Branch Manager in prioritizing the
work to be done on homesite lease applications.
MM#1718 Issued 2/28/01; Revised/Reissued
8/18/89;2/29/96; 2/28/01; Dec 31, 2010.
3
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS- SPECIALIZED
MANUAL SUBJECT 1722 PROCEDURES - Temporary Emergency Moves
_/s/CJB_
APPROVED
SECTION 1700 RELOCATION OPERATIONS- SPECIALIZED PROCEDURES
SUBJECT 1722 TEMPORARY EMERGENCY MOVES
AUTHORITY 25 CFR 700.175, Temporary Emergency Moves
Legal Opinion dated March 24, 1993
POLICY
The Office may grant a client a temporary emergency move under the conditions specified
in 25 CFR 700.175. Temporary emergency moves are generally granted in exceptional instances when a
client’s living conditions are hazardous to the health and safety of the client or immediate family but
permanent relocation housing is not immediately available.
Temporary emergency moves are available only to clients who on December 22, 1974, were
living on the land partitioned to the other tribe and who have continuously lived there and are domiciled on
the Partitioned Lands at the time of the temporary emergency move request. Any exceptions to this
regulation must be approved by the Executive Director pursuant to the procedures in MM#1722.4.
In order to qualify for consideration for a temporary emergency move, the client must have
an emergency need which meets the criteria described in MM#1722.1. In addition, the client must meet the
administrative requirements stated in MM#1722.2.
If a request for temporary emergency move is approved, the ONHIR will pay the differential
between rent and utility charges required for temporary housing and that paid by the client prior to temporary
relocation. The ONHIR may pay reasonable moving and related expenses incurred by the client.
PROCEDURES
Requests for temporary emergency moves (TEM) are ordinarily initiated by the client while
the case is being processed in the counseling phase. The Relocation Specialist will document the client’s
emergency need and request for temporary accommodations on Case Narrative Forms and on the Temporary
Emergency Move (TEM) Request Form, Form MM#1722.1. Review and implementation of the request will
require coordination among the Relocation, Inspections and Compliance, Finance and Procurement Branches.
Requests must be approved by the Executive Director, who will consult with the agency Legal Counsel as
necessary.
An official client representative who initiates a request for temporary emergency move for
a client must submit information and documentation comparable to the information set forth on the
Temporary Emergency Move Request Form. The representative must assure that the request satisfies the
requirements of these procedures.
1722.1 Evaluation of Emergency Need
1. Health/Medical Emergency
MM#1722 Issued 3/16/01; Revised and Reissued
8/18/89;5/16/93;11/16/96;Dec 31,2010.
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MANAGEMENT SECTION 1700 RELOCATION OPERATIONS- SPECIALIZED
MANUAL SUBJECT 1722 PROCEDURES - Temporary Emergency Moves
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APPROVED
Definition: The client or immediate family member has a medical condition which is
made worse by the client’s housing conditions. In addition, the client may need to move to a community with
a hospital or clinic where medical treatment is readily available.
Documentation: The medical statement which must contain:
a. Statement must be current and must state the anticipated duration of the
condition and must be signed and dated by the client’s doctor.
b. Must state the client’s specific health/medical problem and must explain what
it is about the present housing conditions that aggravate the condition or place the client at greater risk of
injury, debilitation, disease, or death.
c. If appropriate, it must state the specific facilities or features which are required
in order to alleviate or remedy the client’s emergency medical need. For example: handicap facilities, close
proximity to hospital services, indoor bathroom facilities, controlled temperature environment, electricity
for therapeutic health devices.
2. Burn Out
Definition: The client must move from the current residence because it has been
partially or totally destroyed by fire and they have no other residence to live in.
Documentation: Police or fire department report and field investigation by the
Relocation Specialist, including photographs.
3. Other
Emergency circumstances other than medical or burn out may justify a temporary emergency
move. Unusual circumstances will be staffed by the Relocation Branch and the required documentation will
be defined based upon the nature of the case.
1722.2 Administrative Requirements
After determining that the client’s need meets one of the above definitions of an emergency,
the Relocation Specialist will screen the case to determine if it meets the regulatory requirements of 25 CFR
700.175 and administrative requirements. These requirements are:
1. Residence
The client must be a full-time resident of the HPL. The Relocation Specialist will ask for
a review of the client’s residence status by the Eligibility/Appeals Specialist, who shall submit a memo to
the file verifying that the client was a resident of the partitioned lands on 12/22/74 and has continuously
resided at the homesite since that time, according to available information. The Eligibility/Appeals
Specialist’s statement will be attached to the TEM Request Form.
MM#1722 Issued 3/16/01; Revised and Reissued
8/18/89;5/16/93;11/16/96;Dec 31,2010.
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MANAGEMENT SECTION 1700 RELOCATION OPERATIONS- SPECIALIZED
MANUAL SUBJECT 1722 PROCEDURES - Temporary Emergency Moves
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APPROVED
2. Improvements
The client must be willing to quit claim all improvements on the partitioned lands to the
office when the Contract for Temporary and Permanent Relocation is executed. The client may request a
waiver of the quit claim requirement for good reason. The Relocation Specialist’s write-up must explain the
reasons for the waiver request (ie., family members need to stay behind to take care of livestock, protect the
property from vandalism.) The waiver request must be approved by the Executive Director.
3. No Other Residence
The Relocation Specialist must determine from information supplied by the client, and
verified if necessary through field investigation, that the client has no other residence to which he/she can
move which will remedy the emergency need.
4. Permanent Housing Not Immediately Available
In order to be eligible for temporary accommodations, the client must have decided upon
an actual relocation site. If the client is moving on-reservation, the client must have submitted a homesite
lease application (lease status+S or beyond). The Relocation Specialist will find out from
Inspections/Compliance about how long it will take for the lease application to be completed. The
Relocation Specialist will enter the client’s relocation site and anticipated lease completion date on the TEM
Request Form, Form MM#1722.1.
5. Permanent Housing Not Available for More than a Year
25 CFR 700.175(b)(3) requires that clients receiving temporary relocation assistance be
provided with permanent housing within 12 months of the temporary move. If it appears that it will be more
than a year before the relocation house can be built, the Relocation Specialist will explain the situation on
the Case Narrative Form and request a waiver of the one year period. The waiver request must be approved
by the Executive Director.
6. Available Housing
Temporary housing must be available for rent by the ONHIR.
a. On-Reservation Housing There is little housing available for temporary rental on the
reservation. The client (or client’s representative) must make a sincere documented attempt to locate
temporary rental housing. The housing must be safe, decent, and sanitary and have the features needed to
remedy the client’s emergency need. The Relocation Specialist may assist the client to locate housing, if the
client is physically unable to look for accommodations and there are no family members who can assist in
the search. If no housing is available, the client may have to be accommodated off-reservation until the
relocation house is acquired.
b. Off-Reservation Housing Rental units are generally available off-reservation. If the
client requests or agrees to temporary housing off-reservation, the unit will be acquired by the Contracting
Branch according to the instructions in the Procurement Request submitted by the Relocation Operations
Branch Manager (see 1722.6.2) following the Executive Director’s approval.
MM#1722 Issued 3/16/01; Revised and Reissued
8/18/89;5/16/93;11/16/96;Dec 31,2010.
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MANAGEMENT SECTION 1700 RELOCATION OPERATIONS- SPECIALIZED
MANUAL SUBJECT 1722 PROCEDURES - Temporary Emergency Moves
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APPROVED
7. Justification The Relocation Specialist’s recommendation must explain not only
how the proposed move will remedy the client’s emergency need but why the proposed arrangements are the
best among the alternatives available to the client.
1722.3 Processing by the Relocation Branch
1. Information from the Relocation Specialist
The Relocation Specialist will complete the Temporary Emergency Move Request Form,
Form MM#1722.1, and attach the documentation as specified on the form and required by these procedures.
In addition, the Relocation Specialist will fill out the portion of Form MM#1756.1 (Temporary
Accommodations) which lists the client’s rent and utility expenses at their pre-move residence. The client
will be required to pay this amount toward the cost of emergency housing. If the client hauls their own water
and cuts their own wood, and is unable to supply a specific cost for gas and vehicle expense, the Relocation
Specialist will tell the client that the ONHIR will charge a flat rate of $30.00 per month toward emergency
housing costs.
2. Consultation with Inspections/Compliance
The Relocation Specialist will submit the Temporary Emergency Move Request Form and
attachments to the Relocation Operations Supervisor who will inform the Construction Representative that
the client has requested a temporary emergency move and that the Relocation Specialist is preparing a
recommendation to the Executive Director. The Representative will inform the Relocation Operations
Branch Manager of actions which will be taken to expedite the client’s site acquisition so that the estimated
completion date can be moved up.
3. Consultation with Finance
The Relocation Operations Branch Manager will consult with the Finance Branch to obtain
estimated costs for rent and utilities for temporary housing for p.2 of the Request Form. The Finance Branch
will provide the information from file records of costs for temporary accommodations. If more up to date
information is required, the ROB Manager may request the Contracting Officer to obtain cost estimates.
4. Forward to Executive Director
After all issues relating to the request have been reviewed and the details for temporary
accommodations have been worked out, the Relocation Operations Branch Manager will recommend
approval or disapproval of the request. The request will be submitted to the Executive Director for final
decision.
1722.4 Action of the Executive Director
The Executive Director will evaluate the request for completeness, adequacy, and
compliance with policy requirements, with particular regard for requests for waiver of regulatory provisions.
The Director’s decision will be returned to the Relocation Specialist for implementation.
MM#1722 Issued 3/16/01; Revised and Reissued
8/18/89;5/16/93;11/16/96;Dec 31,2010.
4
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS- SPECIALIZED
MANUAL SUBJECT 1722 PROCEDURES - Temporary Emergency Moves
_/s/CJB_
APPROVED
1. Request for Waiver of HPL Residence
Waivers of HPL residence must be recommended by the Relocation Operations Branch
Manager and approved by the Executive Director. The Relocation Operations Branch Manager may
recommend a waiver of the HPL residence requirement only in extreme circumstances, where the housing
poses imminent hazard to the client’s health and safety. The client must have made every reasonable effort
to acquire replacement housing and failure to obtain replacement housing up to the point in time of the
emergency request must be due to circumstances largely beyond the client’s control.
2. Request for Waiver of Quit Claim
The Executive Director may waive the requirement that the client quit claim the HPL
property when they execute the Temporary and Permanent Relocation Contract. The waiver may be granted
if the Director determines it to be in the best interests of both the client and ONHIR. Reasons for waiver
may include the possibility that the client’s condition may improve and he/she may be able to return to the
HPL residence; family members need to remain behind to care for livestock and property; the temporary
housing will not accommodate all members of the family. The waiver may be granted for the duration of
the temporary move. At the time the permanent relocation contract is executed, the client will be required
to quit claim the improvements.
3. Waiver of One Year Requirement
The Executive Director may waive the requirement that the permanent relocation site must
be available within a year. If the site will not be ready for construction within a year, the Director shall
determine if the provision of 25 CFR 700.125 (b)(3), should be waived in the best interests of the client and
the Office. In making this determination, the Director will weigh the projected expense to the Government
against the client’s emergency need.
1722.5 Client Disagreement With Decision
If the request is disapproved and the client disagrees with the ONHIR’s decision on an
emergency move request, he/she may request review by the Executive Director. Decisions regarding
temporary emergency move requests may not be formally appealed under SUBPART L 25 CFR 700.
1722.6 Action By Housing Acquisition
1. Information from Relocation Branch
Within one day of the Executive Director’s action, the Relocation Operations Branch
Manager will route copies of the approved TEM to the Relocation Specialist with any additional information
needed to acquire temporary accommodations and prepare the Contract for Temporary and Permanent
Relocation.
2. Procurement Request
Within two days of receiving the request, the Relocation Operations Team Leader will
prepare a Procurement Request (See Management Manual #4000) for apartment/rental housing and
MM#1722 Issued 3/16/01; Revised and Reissued
8/18/89;5/16/93;11/16/96;Dec 31,2010.
5
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS- SPECIALIZED
MANUAL SUBJECT 1722 PROCEDURES - Temporary Emergency Moves
_/s/CJB_
APPROVED
associated utilities, and submit the request to the Contracting Officer. The Relocation Operations Branch
Manager will specify the community/location where accommodations are needed; the anticipated length of
time the family will need the accommodations; the number of family members to be accommodated; all
special requirements, such as storage facilities or furnished apartment; and any additional information which
will help in making the arrangements. The Relocation Operations Branch Manager must allow a minimum
of two weeks lead time for the Contracting Branch to make arrangements.
3. Action of the Contracting Officer
The Contracting Officer will delegate the procurement to Contracting Branch staff. Within
three days of receipt of the procurement request, CB staff will initiate action to acquire rental
accommodations and utilities, and will issue purchase orders to the vendors. Rent and utilities will be billed
to the ONHIR. The Contracting Officer will inform the Relocation Operations Branch Manager of the
arrangements and costs for each item.
4. Temporary and Permanent Relocation Contract
The Relocation Operations Branch Manager will issue a Notice of Benefit Determination
to the client and the Relocation Specialist will prepare a Temporary and Permanent Relocation Contract.
Because each temporary emergency move is unique, the content of the contract will vary according to the
circumstances of the case. The contract will set forth the following agreements between the ONHIR and the
client.
a. Reason for TEM The contract will specify the reason for the temporary emergency
move and the people to be included in the move.
b. Permanent Relocation Site The contract will identify the client’s permanent
relocation site and if the ONHIR is requiring that the client take particular actions to acquire the site, the
actions will be stated in the contract.
c. ONHIR Portion of Temporary Housing Costs The contract will list each of the
expenses which the ONHIR will pay in connection with the temporary move. The Office will not pay for
telephone or cable hookup or other nonessential features associated with temporary accommodations.
d. Client Portion of Temporary Housing Costs The contract will state the amount
which the client will pay monthly toward the cost of accommodations/utilities. Check or money order
payments will be received by the mail clerk and routed to the Finance Department.
e. Failure of Client to Pay Client Portion of Housing Costs The client will agree that
if he/he fails to submit the monthly pro rata payment, this amount will be deducted from their housing
benefit at the time the Construction and Payment Contracts are signed. If the client fails to make required
payments after contract signing, the amounts due the ONHIR will be deducted from the moving or bonus
payments. The Finance Officer will maintain a log of payments submitted by the client and will notify the
Relocation Operations Branch Manager if the client fails to make the monthly payment.
f. Client Maintenance of Temporary Housing The client will agree to maintain the
the accommodations in a reasonable manner. Upon vacating the unit, the client will agree to clean and
MM#1722 Issued 3/16/01; Revised and Reissued
8/18/89;5/16/93;11/16/96;Dec 31,2010.
6
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS- SPECIALIZED
MANUAL SUBJECT 1722 PROCEDURES - Temporary Emergency Moves
_/s/CJB_
APPROVED
restore it to the original condition, except for normal wear and tear. The client will agree that the
accommodations may be inspected by the ONHIR when the client moves out. The client will authorize the
ONHIR to deduct repair costs from the client’s bonus and/or moving payments, if inspection shows that there
is damage resulting from intentional or negligent activity.
g. Temporary Moving Expense Pursuant to 25 CFR 700.175 (b) (4) (iv), the ONHIR
will pay moving expenses for the client’s move into temporary housing. Expenses will be paid in
accordance with ONHIR procedures, MM#1752, and will be in addition to moving expenses paid at the time
of the client’s move into permanent replacement housing.
h. Permanent Relocation Benefits The contract will state the benefits which the client
will receive upon relocating permanently and other conditions associated with this particular move.
I. Circumstances Under Which the Temporary and Permanent Relocation Contract
Shall be Void
(1) Death of the Client In the event of the death of the client, or other family member
for whom the temporary emergency move was approved, before the construction contract is executed, the
provisions of the contract for temporary and permanent relocation will be automatically void and the
situation will be reassessed. A provision to this effect will be inserted into the contract. The Office shall
determine whether or not the surviving family members require continued temporary accommodations and
shall specify the conditions associated with the provisions of such accommodations.
(2) Removal from Temporary Quarters In the event that the client is asked to vacate
the temporary quarters due to client-caused abuse, misuse, damage, or other violations of the rules and
conditions of the rental agreement, the ONHIR will not arrange other temporary accommodations for the
client. The contract shall contain a provision that the ONHIR may cancel the contract for cause under these
circumstances.
5. Quit Claim Deed
The Relocation Operations Branch Manager will obtain a quit claim deed for the client’s
property on the partitioned lands but shall not turn over the improvements to the Hopi Tribe, in the event that
the client’s need for temporary accommodations ceases and the client is able to return to the HPL homesite
prior to permanent relocation.
6. Filing and Data Entry
The Relocation Operations Branch Manager will perform data entry of the date the contract
is signed. Data entry will generate a “T” code (temporary emergency move code) in the client master file.
The client will receive a copy of the contract and a copy of the contract will be routed to the Finance Branch.
The original contract will be routed to the data room for the client case file.
7. Checking on Client Payment of Utility Expense
When the contract documents are prepared for the Pre-Construction Conference the
Relocation Specialist will double check with the Finance Officer to confirm that the client has made the
MM#1722 Issued 3/16/01; Revised and Reissued
8/18/89;5/16/93;11/16/96;Dec 31,2010.
7
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS- SPECIALIZED
MANUAL SUBJECT 1722 PROCEDURES - Temporary Emergency Moves
_/s/CJB_
APPROVED
monthly pro-rata share of utility costs. If the client is in arrears, the amount due will be deducted from the
housing benefits.
8. Notification That Accommodations Will be Vacated
The Relocation Operations Branch Manager will notify the Contracting Officer and the
Finance Officer when emergency accommodations are no longer needed. If the client is leaving the
accommodations in order to move into permanent housing, the Manager will issue a memo to the
Contracting and Finance Branches at the time the moving expense draw is issued, giving the projected date
that the client will be moving. The Contracting Branch will notify the utility vendors of the date for
disconnecting or discontinuing service to the unit.
9. Canceling Emergency Move Arrangements
Usually the client will occupy the rental until he/she is able to move into permanent
relocation housing, although changes in the client’s emergency need, or circumstances set forth in the
contract may result in termination of the emergency housing arrangement.
1722.7 Review of Approved Temporary Emergency Moves
The client’s assigned Relocation Specialist will conduct an update contact with the client every three
months while they occupy temporary emergency housing. If the client’s condition changes, and the original
reason for the move approval is no longer operative, the Relocation Specialist will record the situation on
the Case Narrative Form.
a. If the client wishes to return to the HPL residence, the Relocation Specialist must obtain
a release from the client’s doctor stating that emergency accommodations are no longer required. The
Relocation Operations Branch Manager shall obtain authorization from the Executive Director to cancel the
temporary emergency move arrangements.
b. If the client wishes to remain in the temporary accommodations pending permanent
relocation, the Relocation Operations Branch Manager will submit the client’s request to the Executive
Director for decision.
MM#1722 Issued 3/16/01; Revised and Reissued
8/18/89;5/16/93;11/16/96;Dec 31,2010.
8
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED PROCEDURES
MANUAL SUBJECT 1725 Off-Reservation Moves _/s/CJB_
APPROVED
SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED PROCEDURES
MULTI BRANCH
SUBJECT 1725 OFF-RESERVATION MOVES
AUTHORITY
POLICY
The replacement house selected by the head of household must be located in an area not generally less
desirable than that of the partitioned lands homesite with respect to public utilities, public and commercial
facilities, and schools. In addition, the replacement house must be available at a purchase price within the
client’s ability to pay. This means that anticipated monthly housing costs must not exceed 25% of the total
monthly gross income of all adult members of the household. Monthly housing costs include utilities, real
property taxes, insurance, and any mortgage payments.
In order to assure that the monthly housing costs associated with an off-reservation relocation are
within the client’s ability to pay, a client wishing to move off-reservation must have a minimum household
income of $35,000.00 annually. Clients with less income may be approved for an income waiver if analysis
of their circumstances demonstrates that they will be able to meet the expenses of off-reservation living
without incurring debts which will jeopardize home ownership.
The minimum required income level for off-reservation moves may be adjusted by the ONHIR based
upon analysis of changes in average costs at selected locations.
There is no minimum income requirement for clients moving to an on-reservation location, including
subdivisions. Documents verifying the amount and source of income are not required for clients moving on-
reservation.
1726 Recording and Recommending an Off-Reservation Move
The counseling provided to a client who is interested in moving off-reservation shall cover the client’s
income and ability to pay for monthly housing costs, as well as social factors which will affect the client’s
ability to make a successful adjustment to the new community.
For clients wanting to move off-reservation, the Relocation Specialist shall obtain verifying income
documentation for all sources of income which are being counted toward the $35,000.00 annual income
computation. Documentation must cover the past two years and may include the income of all adult
household members, including those whose membership is verified by Adult Inclusion Forms. Acceptable
documentation is: a.) Income Tax Records. b.) Copies of W-2s. c.) Cumulative wage statements, year to
date. and, d.) Employer Statement of Earnings. If the client is self-employed acceptable documentation are
federal income tax returns and/or financial statements showing profit/loss over the past two years.
Computation of Income
The minimum income requirement shall be computed on the basis of the client having earned no less
than $35,000.00 in each of the two preceding calendar years. Provided, however, in the event the client’s
averaged income for the two preceding years exceeds the $35,000.00 base, upon the recommendation of the
Relocation Specialist, the client may seek a waiver of the minimum income requirement.
MM#1725 Issued 8/18/89; Revised and Reissued
1 2/13/98; 1/9/2001; Dec 31, 2010.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED PROCEDURES
MANUAL SUBJECT 1725 Off-Reservation Moves _/s/CJB_
APPROVED
The Relocation Specialist shall submit the recommendation for waiver to the Executive Director for
approval, following the guidelines set forth in MM#1728 of these procedures. The recommendation shall
incorporate a statement justifying the request and if the client’s highest year’s income is a pattern expected to
continue.
Self-Employed Clients
If the client is a craftsperson and is unable to produce federal income tax returns, the Office may
consider signed statements from regular craft buyers for the preceding two year period. Such statements shall
not automatically qualify a client for an off-reservation move but will be considered by the Relocation
Specialist in assessing all factors relating to the request.
Credit Report
The Relocation Specialist will order a credit report on the client and will discuss the report
information with the client. Clients with substantial indebtedness and/or a poor credit history will be
discouraged from pursuing an off-reservation move.
Off-Reservation Income/Expense Analysis
The Specialist will obtain information from the client about average monthly expenses, including
payments listed on the credit report and will complete Form MM#1725.1 , Off-Reservation Income/Expense
Analysis. The Specialist will evaluate the client’s anticipated ability to pay for off-reservation expenses and
will prepare a recommendation for an off-reservation move.
If more than six months goes by between the time the client is approved for an off-reservation move
and the initial housing interview, the Specialist will verify during the housing interview that the client’s
income has not dropped below $35,000.00 and that the client is still employed.
If the client’s income and employment status changes during the housing acquisition phase of the case
processing, the Specialist will re-assess the client’s eligibility for an off-reservation move and the client’s
relocation site may have to be changed.
In addition to verifying that the client has sufficient income for an off-reservation move, the Specialist
will advise the client with respect to other factors which predict success or failure for an off-reservation move.
1727 Social Factors and Location Choice
Besides evaluating the client’s ability to pay costs for an off-reservation move, the Specialist shall
evaluate social factors and the specific community preference in relation to other reasonable alternatives.
Factors which must be considered include:
1. Income/Employment
• How many people are supported by the family income?
• What is the source of income: employment, assistance payments, etc.?
• How reliable is this income?
• Is any portion of the family income contributed by a household member who might move out
of the household. For example: grown son or daughter?
MM#1725 Issued 8/18/89; Revised and Reissued
2 2/13/98; 1/9/2001; Dec 31, 2010.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED PROCEDURES
MANUAL SUBJECT 1725 Off-Reservation Moves _/s/CJB_
APPROVED
How stable are the family relationships? What impact would there be if one of the
income earners left?
• Is the community considered an “expensive” place to live? Check into utility and
property taxes in the community, particularly in cases where an income waiver is
being requested.
• How long has the client/spouse been employed? How stable is their job history?
• What job skills do the client/spouse have? If he/she loses their current job, how likely
is it that they can get another job in the preferred community?
• Is the client employed in the community that he/she wants to move to? If not, why
do they want to move there?
• What will be the commuting distance between the home and job site? Figure out the
distance and gas mileage. Can the client afford to commute?
• If commuting is required does the client have young children?
• What provisions has the client made for day care, babysitting? How much is this expected to
cost? Can the client afford this?
2. Social and Other Factors
• Has the client ever lived off-reservation? Where? How long? What was his/her experience?
• How well do the client/spouse speak English?
• Has the client tried to get a homesite lease on the existing reservation? Results?
• Has the client considered moving to the Rural Community? Conclusions?
• Where are the client’s extended family members living now? Where do they plan to move?
• What are the family’s needs for social services, schools, higher education, medical services?
What does the preferred community offer?
1728 Income Waiver
A client with less than $35,000.00 annual income who wants to move off-reservation must receive an
income waiver from the Executive Director. In order for the Executive Director to consider the request, it
must first be recommended by the Relocation Specialist and endorsed by the Relocation Operations Team
Leader and the Relocation Operations Branch Manager. The Specialist shall use a memo or case narrative
form to record the client’s request for a waiver and justify his/her recommendation to the client’s request.
Requirements
1. The client’s annual income must be derived from steady predictable sources: ie. permanent
low income employment or business income, support payments. Temporary occasional jobs are not
acceptable. Seasonal employment may be acceptable if it lasts at least six (6) months out of the year, the
wage is above minimum wage, and the client has worked for the same employer every year for several years.
The Specialist may require the client to produce a statement from the employer that the client is a permanent
seasonal employee or that the employer intends to rehire the client for seasonal employment.
2. Clients must produce documentation of their income for the past two years and will be asked
for documentation for the past five years in order to show that the income is steady and predictable.
3. Pledges of income from extended family members who are not moving as part of the household
may not be included in calculations of the total household income.
MM#1725 Issued 8/18/89; Revised and Reissued
3 2/13/98; 1/9/2001; Dec 31, 2010.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED PROCEDURES
MANUAL SUBJECT 1725 Off-Reservation Moves _/s/CJB_
APPROVED
4. The Specialist will advise the clients with less than $35,000.00 annual income against applying
for a mortgage.
5. Clients with less than $35,000.00 in annual income, who also have a bad credit history, will
not be recommended for an income waiver.
Action of the Specialist
The Relocation Specialist will prepare an “Off-Reservation Income Expense/Analysis Form” which
sets forth realistic calculations of the anticipated post-move utility costs, property taxes, and homeowner’s
insurance. The Specialist will take into consideration that these costs are likely to increase rather than
decrease in future years.
The Specialist will analyze the amount and source of the client’s annual income and figure out if it
will be sufficient to cover his/her expenses after the client has relocated. The Specialist will go over the
income/expense analysis with the client. The Specialist will also review with the client the factors referenced
above and consider whether an on-reservation move is a feasible alternative for the client.
The Specialist must determine if the client meets the requirements for an income waiver and if the
client’s employment and social history predicts success or failure for off-reservation home ownership.
Recommendation for Income Waiver
If the Relocation Specialist evaluates all factors and concludes that an off-reservation move is in the
best interests of the client, (from the standpoint of assured employment and social and family support systems,
and that the reliability of the client’s income as well as spending habits predict a successful move) the
Specialist will recommend an income waiver. The recommendation for an income waiver shall be made by
Memorandum or Case Narrative and directed to the Executive Director as previously set forth herein. The
Relocation Specialist will advise the client that the ONHIR will recommend against a mortgage and that it is
unlikely that a reputable lending institution would approve a mortgage application.
Recommendation Against Income Wavier
If the Specialist evaluates all factors and concludes that the client is a poor candidate for an off-
reservation move because of insufficient income, unpredictable employment, poor spending habits, and
inadequate social/family support systems, the Specialist will tell the client that he/she will not recommend an
income waiver.
Appeal to Relocation Team Leader
If the Specialist informs the client that he/she will not recommend the client for an income waiver, the
client may appeal to the Relocation Team Leader.
Action of Relocation Team Leader
The Relocation Team Leader will review the case file information and the Specialist’s evaluation and
recommendation. If the Specialist’s recommendation and analysis is unsatisfactory, the Team Leader will
disapprove it and return it to the Specialist for further work
MM#1725 Issued 8/18/89; Revised and Reissued
4 2/13/98; 1/9/2001; Dec 31, 2010.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED PROCEDURES
MANUAL SUBJECT 1725 Off-Reservation Moves _/s/CJB_
APPROVED
If the Specialist recommends an income waiver and the Relocation Team Leader determines that the
recommendation and supporting documentation is satisfactory, he/she will recommend approval to the
Relocation Operations Manager and the Executive Director.
Action of Executive Director
The Executive Director will review the request and supporting documents and approve or disapprove
the income waiver request. If the Executive Director approves the request for a waiver he will refer the case
to the ONHIR Legal Counsel for the preparation of an Affidavit, “Request for Waiver and Acknowledgment
of Risk,” to be executed by the client.
If the request for waiver is denied, the case will be referred back to the Specialist with instructions.
The Specialist will inform the client of the decision and the reasons for it. If the client disagrees with the
Executive Director’s decision and is unwilling to reconsider the relocation site preference, the client may
request review by the Executive Director. Decisions regarding income waivers may not be formally
appealed under Subpart L, 25 CFR §700.
Disclaimer
A client who insists upon moving off-reservation despite the ONHIR’s advising against it, must sign
an Affidavit, “Request for Waiver and Acknowledgment of Risk.”
MM#1725 Issued 8/18/89; Revised and Reissued
5 2/13/98; 1/9/2001; Dec 31, 2010.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED
MANUAL SUBJECT 1730 PROCEDURES - Existing Houses _/s/CJB__
APPROVED
SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED PROCEDURES
SUBJECT 1730 EXISTING HOUSES
AUTHORITY USC 640d-14; 25 CFR 700.187; 25 CFR 700.53-55
POLICY
If a client who is certified eligible for relocation assistance benefits already owns or is buying or
building a home off the partitioned lands, and wants to acquire the existing house as his/her relocation house,
the ONHIR will expend replacement housing benefits, up to the client’s maximum entitlement, to remodel
and repair the house or bring it up to decent, safe and sanitary standards. Benefits remaining after the house
has been made decent, safe and sanitary will be expended to achieve debt-free ownership.
PROCEDURES:
Previous procedures requiring an inspection of the existing house while the client is in the social
counseling phase of case processing are rescinded. When the case enters home search, the Relocation
Specialist will request an inspection by the inspections and compliance staff.
Existing House Located Off-Reservation. If the existing house that the client wishes to acquire is
located off-reservation, the Relocation will follow the procedures described in Management Manual Section
1648.
Existing House Located On-Reservation. If the existing house that the client wishes to acquire is
located on-reservation, the specialist will follow the procedures described in Management Manual Section
1640.
NHA HOUSING. It is NHA policy that their clients are not entitled to receive more than one house
acquired with Government funds. A relocatee who has a mutual self-help or home-ownership house
provided by the Navajo Housing Authority may not obtain a relocation house and keep the NHA house,
unless they have completed the NHA payments and the house has been turned over to them. A client who
is receiving a relocation house may relinquish the mutual self-help or home-ownership house to NHA; or may
assign the house to another family that meets NHA qualifications.
The Relocation Specialist will inform clients who have NHA houses of this requirement.
MM#1730 Issued 8/18/89; Revised and Reissued
1. 2/24/94; 10/8/97; Dec 31, 2010.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED PROCEDURES
MANUAL SUBJECT 1734 Selecting Clients for Subdivisions _/s/CJB__
APPROVED
SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED PROCEDURES
SUBJECT 1734 GUIDELINES FOR SELECTING CLIENTS FOR SUBDIVISIONS
POLICY
The ONHIR has been involved in cooperative interagency planning efforts to develop housing
subdivisions in selected locations. In the event that the planned subdivision will not be able to accommodate
all relocation clients who wish to move there, the ONHIR will establish a priority system for selecting clients
for leases. The following criteria will be used as guidelines, but may be modified by ONHIR management
officials as necessary.
(1) Clients who had approved homesite leases in the area which has been set aside for subdivision
development, and who have been willing to relinquish those homesites, will receive first preference for a
subdivision lot.
(2) Full-time residents of the Hopi Partitioned Lands.
(3) Elderly clients and clients with medical problems who require housing with modern facilities
and/or regular and frequent treatment at the Tuba City IHS hospital or other nearby medical facility. The
Relocation Specialist shall obtain documentation from the client's physician stating the client's medical
requirements.
Other factors which will be taken into consideration in determining a client's place on the priority list
may include: employment in the vicinity; extended family support system in the vicinity; unsuccessful efforts
of the client to obtain a lease assignment elsewhere.
Applications submitted by the clients for subdivision homesite leases will be retained by the ONHIR
until the client has signed the relocation contract, at which time they will be submitted to NLD for
processing. A homesite may be reassigned by the ONHIR if the client who originally selected it fails to take
timely action to select a contractor and sign a contract.
1735 Developing the Priority List
The Relocation Specialist will record the client's preference for a subdivision homesite lease on the
HRP during the initial interview; or subsequently on Form MM#1734.1 or a similar form modified for the
particular subdivision. The Specialist will explain on the Case Narrative Form the factors which would
qualify the client for priority selection.
The Team Leader will review requests for priority selection and will assure that documentation about
age and medical need has been obtained. The Team Leader will develop a list of clients to be prioritized for
subdivision lots. The list will include alternates in the event of openings in the original list.
The Team Leader will notify the Relocation Operations Branch Manager of the clients selected, and
any subsequent changes to the list.
MM#1734 Reissued 8/18/89; Revised and Reissued
1 3/29/96; Dec 31, 2010.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED
MANUAL SUBJECT 1742 PROCEDURES - Powers of Attorney
_/s/CJB__
APPROVED
SECTION 1700 RELOCATION OPERATIONS
SPECIALIZED PROCEDURES/MULTI-BRANCH
SUBJECT 1742 Powers of Attorney
POLICY
A certified eligible head of household shall be contacted by the Relocation Operations Branch for the
development of the household relocation plan. Following relocation plan approval and site approval and
clearance, the client’s case will proceed to the housing acquisition phase of their relocation for house
selection or construction, and signing the relocation contract. A client who is not able to be physically present
for one or more planning sessions may execute a Power of Attorney.
A Power of Attorney authorizes a designated individual to act in behalf of the person executing the
Power of Attorney. For relocation purposes, if the client is married, the spouse will exercise the Power of
Attorney unless physically unable to be present. The ONHIR has the right to review the selection of the
person exercising the Power of Attorney, to assure that the individual designated will be acting in the interests
of the client and household.
If the client's absence is expected to be of short duration, ie. less than six months, planning and
document execution will ordinarily be deferred until the client's return. If the client's absence is expected to
exceed six months or more, and the client has a household who need to be relocated, the Specialist may advise
the client to execute a Power of Attorney so that the relocation process may proceed.
Normal circumstances which would prevent a client from appearing at ONHIR offices or participating
in a field interview may include: military service, incarceration, or employment such as railroad work which
requires the client to be absent from the usual place of residence for an extended period of time. Powers of
Attorney may not be used solely for the convenience of the client to avoid direct involvement in the relocation
planning process. They also may not be used as a substitute for guardianship.
A Power of Attorney may also be executed by clients who are physically incapable of participating in
the relocation planning process, but who are mentally competent and can communicate their instructions to an
authorized representative. Legitimate circumstances may include: deafness, paralysis, long-term recuperation
from an accident or illness.
PROCEDURES
1. The Specialist shall contact clients for personal interviews related to the development of the
household relocation plan. Interviews are usually conducted at ONHIR offices, but may also take place at
field locations or over the phone. If the Specialist learns from the client that he/she cannot be physically
present for required relocation activity for one of the reasons listed above, the Specialist may advise the client
to select a legal representative and obtain a Power of Attorney.
2. The Specialist must have personal contact with the client prior to advising that a Power of
Attorney be obtained. The Specialist may not act solely on information provided by a spouse, family member,
or other person.
MM#1742 REISSUED 08/18/89; Revised and
Reissued 3/29/96; 3/15/11.
1
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED
MANUAL SUBJECT 1742 PROCEDURES - Powers of Attorney
_/s/CJB__
APPROVED
3. If the Specialist has reason to believe that the client is not mentally competent to pursue relocation
activity, a Power of Attorney is not appropriate. In such a case, the appointment of a guardian may be
necessary. The Specialist will refer to Management Manual procedures MM#1746.
4. The Specialist will refer the client to Navajo-Hopi Legal Services, DNA, or other appropriate
office to obtain the Power of Attorney. The document must specify the authority to be exercised by the
designated representative.
5. The Specialist will use the Case Narrative form to explain the reasons why a client needs a Power
of Attorney, and what advice the Specialist provided.
6. Any questions/problems which relate to such circumstances will be referred to the Office’s Legal
Counsel.
MM#1742 REISSUED 08/18/89; Revised and
Reissued 3/29/96; 3/15/11.
2
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED
MANUAL SUBJECT 1744 PROCEDURES - Legal Assistance for Clients
_/s/CJB__
APPROVED
SECTION 1700 RELOCATION OPERATIONS
SPECIALIZED AND MULTI-BRANCH PROCEDURES
SUBJECT 1744 LEGAL ASSISTANCE FOR CLIENTS
AUTHORITY 25 CFR Subpart F
POLICY
The Office of Relocation will utilize funds available for costs incidental to the acquisition of a
replacement house in order to provide a client with legal assistance to obtain a divorce, name change, or other
action required to resolve situations which impede or prevent the client’s relocation.
Legal assistance may also be provided in probate cases to settle the estate of a certified client who
owned property on the partitioned lands and died before executing a relocation contract. The ONHIR will
deduct the legal costs incurred from the amount of the estate payment.
Legal assistance may be provided by the ONHIR in other exceptional instances as determined on a
case by case basis by the Legal Counsel and the Executive Director.
CRITERIA.
The following criteria must be met in order for a client to receive legal assistance.
Problem Must be Resolved in Order for the Client to Relocate.
The client must have encountered a problem which requires a legal resolution in order for the case
to go forward. Divorce and name change are the difficulties most frequently encountered. The ONHIR will
not provide legal assistance solely for the convenience of the client; it must be essential to resolve the client’s
relocation plans.
1. Divorce. Clients who are separated from a legal spouse do not have to get a divorce
in order to obtain a relocation house. However, a client who is legally married must include their spouse’s
name on a Navajo Nation Homesite Lease application, and the legal spouse (and children, if any) will be
included in the ONHIR benefit whether or not they are living with the client. It is therefore desirable to
resolve household membership issued before the relocation is processed.
2. Estranged Spouse. Legal assistance may be extended to the estranged spouse of a certified
client if the estranged spouse believes he/she may be separately eligible for benefits but cannot receive an
eligibility determination until a divorce is obtained.
3. Legal Name Change. A significant number of ONHIR clients have used more than one
name or have changed the spelling of their name without obtaining a legal name change. The ONHIR will
MM#1744
1 Issued 10/21/94; Revised and Reissued
3/29/96; 3/10/00; 6/10/04; 3/15/11.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED
MANUAL SUBJECT 1744 PROCEDURES - Legal Assistance for Clients
_/s/CJB__
APPROVED
not require a legal name change; the client may sign relocation documents with the name shown on their
Certificate of Indian Blood (CIB) and beside or below the signature the explanation, “a.k.a.” (also known
as) alternate name.”
However, a legal name change may be required in order for the Office of Navajo Land
Department to process a client’s homesite lease application. A legal name change may also be required by
the Navajo Nation for issuance of a CIB, which the ONHIR requires for census number verification.
PROCEDURES
1744.1 Actions of the Relocation Specialist
General. The Relocation Specialist will be responsible for screening requests for legal assistance
from clients who are unable to complete their relocation plans because of problems which require a legal
resolution. Requests must be recommended by the Specialist and Team Leader and approved by the ROB
Manager and the Executive Director. Following all approvals, the agency Legal Counsel will refer the cases
to the ONHIR’s contract attorney.
1. Explanation of the Problem The Specialist must prepare a recommendation for legal assistance
which explains the situation in detail. The recommendation shall include the following information,
according to the nature of the problem.
a. How is the problem preventing the completion of the client’s relocation plans?
b. Divorce
• What has the client done to obtain a divorce or otherwise resolve the problem through
counseling and reconciliation?
• How long has the client been separated?
• Are there children involved? Number of children, ages, who are the children living with,
etc.
• Does the client have a live-in partner and new family that they want to include in the
benefit?
• Is the legal spouse doing anything about getting a divorce? Does the spouse object to
getting a divorce?
• Is there a problem in locating the legal spouse?
MM#1744
2 Issued 10/21/94; Revised and Reissued
3/29/96; 3/10/00; 6/10/04; 3/15/11.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED
MANUAL SUBJECT 1744 PROCEDURES - Legal Assistance for Clients
_/s/CJB__
APPROVED
c. Name Change What different names has the client used and why?
2. Agreement for Legal Assistance, Form MM#1744.1. The Relocation Specialist will prepare
Form MM#1744.1 for the client’s signature. The Specialist will explain to the client that if the ONHIR
agrees to provide legal assistance, the client is obligated to the following:
a. To cooperate fully with the ONHIR contract attorney; to meet with the attorney as requested, to
provide information and documents which the attorney may need for the preparation of Court documents.
b. To appear in Court if so instructed by the attorney.
c. To proceed as expeditiously as possible with the client’s relocation plan as soon as the legal
problems holding it up are resolved.
d. To acknowledge and consent to ONHIR’s arranging and paying for legal assistance for the
purpose of expediting the client’s relocation.
The Relocation Specialist will assure that the client understands the agreement and signs it. The
agreement will be attached to the Specialist’s writeup and recommendation for legal assistance.
3. Client Expenses. The ONHIR will pay reasonable travel expenses for the client to meet with the
attorney and appear in Court. If the client lacks transportation, the Specialist will provide transportation.
4. Review by ROB Team Leader. The ROB Team Leader will review all requires for client legal
assistance and verify that the Specialist’s recommendation addresses all criteria and all required supporting
documentation is attached. The Team Leader will forward the recommendation through the ROB Manager
to the Executive Director.
1744.2 Action of Management Officials.
1. Action of the Executive Director. The Director shall approve or disapprove the recommendation.
If approved, the recommendation will be routed to the a Office’s Legal Counsel. If disapproved, the
recommendation will be returned to the Relocation Operations Branch with an explanation.
2. Action of Legal Counsel. After the request for legal assistance has been approved, Legal Counsel
shall incorporate the request into a task order to be issued to the contract attorney pursuant to the contract
for external legal services.
MM#1744
3 Issued 10/21/94; Revised and Reissued
3/29/96; 3/10/00; 6/10/04; 3/15/11.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED
MANUAL SUBJECT 1746 PROCEDURES - Conservatorships, Handicap,
and Other Special Handling Cases __/s/CJB__
APPROVED
SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED PROCEDURES
SUBJECT 1746 CONSERVATORSHIPS, GUARDIANSHIPS, HANDICAP,
AND OTHER SPECIAL HANDLING CASES
AUTHORITY: 25 CFR §720, 25 CFR §145(b); Legal Opinion issued by the
Department of Justice, Civil Rights Division, dated 3/24/87; Legal
Opinion issued by Agency Counsel, received by NHIRC 12/21/87
POLICY
An applicant’s eligibility for relocation assistance shall be determined in accordance with 25 CFR
§700.147.
Subsequent to certification, the nature of the case may require that it receive special handling during
the relocation process. Special handling cases identified by the ONHIR generally fall into the following
categories:
1. Cases in which the client is deceased and the household remaining to be relocated consists of one
or more minor children.
2. Cases in which the client has a mental impairment which substantially limits one of more major
life activities. Such individuals may also have a physical impairment.
3. Cases in which the client has a physical impairment which limits one or more major life activities;
but no mental impairment.
As each such case presents unique factors, each case shall be evaluated and a case plan shall be
developed by the ONHIR based upon the circumstances. The ONHIR shall procure the services of an
independent legal counsel (contract attorney) to review the case plan and advise the ONHIR of legal action
which must be taken to accomplish the plan and protect the rights of the client.
The procedures set forth in this section will serve as general guidelines but will be adapted by
management officials as needed.
PROCEDURES
General. At the time the case is transferred from Eligibility/Appeals to the Relocation Operations
Branch, the case file may contain information about problems which require special handling. In other
cases, circumstances may occur while the client is in the counseling or housing phase which require the case
be given special handling designation.
1
MM#1746 Issued 6/28/96; Revised and Reissued
4/22/03; 3/15/11.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED
MANUAL SUBJECT 1746 PROCEDURES - Conservatorships, Handicap,
and Other Special Handling Cases __/s/CJB__
APPROVED
As soon as a case requiring special handling is identified, the Relocation Specialist will discuss it
with the Team Leader. A intra-branch team may be formed which may be comprised of the Relocation
Specialist and a ICB representative, if appropriate. A specific staff member may be designated to assume
responsibility for special handling cases. The Specialist assigned will keep themselves apprised of actions
on the case and will follow the case through completion. The procedures and special actions to be followed
in each instance will depend upon the nature of the case, but will follow these general guidelines.
1746.1 Cases in Which the Client is Deceased and the Household Remaining to be Relocated
Consists of One or More Minor Children.
1. Case Assignment/Individual Relocation Plan. The Specialist will find out who assumed
responsibility for the minor child(ren) upon the death of the certified client. The Specialist will prepare a
case write-up which explains the relationship between the caretaker and the child and describes the situation
which exists in relation to the relocation plan. The Specialist will request the formation of an intra-branch
staffing team.
2. Team Staffing. The Relocation Operations Branch (ROB) Team Leader will form the
intra-branch team who will familiarize themselves with the case and assist the Specialist in developing a
preliminary relocation plan. Following review by the Team, the Specialist will recommend that the case be
referred to the contract attorney.
3. Referral to Attorney. The Relocation Operations Branch Team Leader will review the case
and assure that the information in the file is sufficiently detailed that the contract attorney can identify a
potential guardian/conservator and determine the actions required to process the case. The ROB Team
Leader will refer the case to ONHIR Legal Counsel through the Executive Director for assignment to the
contract attorney.
1746.2 Clients Who Have a Mental Impairment
1. Case Assignment/Individual Relocation Plan When the assigned Specialist initiates
contact with the client for the purpose of preparing or updating the household relocation plan and learns that
the client appears to be incapable of participating in the development of the plan due to mental impairment,
the Specialist shall write a report detailing the circumstances and shall consult the ROB Team Leader.
2. Review of Existing Records. The ROB Team Leader will review the Specialist’s Report
and the case file records. The ROB Team Leader may re-assign the case to a Specialist designated to work
with special handling cases. The ROB Team Leader will alert the Executive Director and ONHIR Legal
Counsel that a case has surfaced that may need to be assigned to the contract attorney.
3. Team Staffing. The ROB Team Leader will form the intra-branch team which will
familiarize themselves with the case and assist the Specialist in identifying any issues which must be
addressed at this point in case planning.
2
MM#1746 Issued 6/28/96; Revised and Reissued
4/22/03; 3/15/11.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED
MANUAL SUBJECT 1746 PROCEDURES - Conservatorships, Handicap,
and Other Special Handling Cases __/s/CJB__
APPROVED
4. Current Medical/Social Evaluation Needed. If the client is institutionalized, the ONHIR
will request current medical and social service evaluations from the institution housing the client. If the
client is not institutionalized, the ONHIR will issue a letter to the social and/or medical provider requesting
the following information:
‒statement of the client’s disability and prognosis for change or recovery;
‒the client’s ability to function in an independent living situation;
‒the client’s need for assistance in the following areas: medical care, daily medications,
personal hygiene, housekeeping and food preparation, maintenance and repair of house,
execution of legal documents, receipt and disbursement of funds as required for utility
payments, and other costs required for maintenance of the replacement house and daily
living, and other pertinent data.
5. Background Report. The Specialist will investigate the client’s living situation and prepare
a report with recommendations. This may require several meetings with family members and/or with
representatives of service agencies working with the client or institution where the client is living. Among
the factors which the Specialist will examine are:
‒wishes of the client with respect to his/her relocation plan, to the extent that they can be
determined;
‒identity of the client’s immediate household, if any; the identity of close relatives, identity
of care givers and the types of assistance which they have been providing;
‒availability and willingness of a relative to serve as caretaker for the client and conservator
of the client’s property;
‒feasible relocation site alternatives, i.e., near family members; near medical facilities.
6. Referral to Executive Director and Attorney. After the Relocation Operations Branch
has obtained pertinent documentation and prepared a comprehensive background report, the ROB Team
Leader will route the report with all relevant documentation attached to the ONHIR Legal Counsel through
the Executive Director who will determine if the case will be referred to the contract attorney for evaluation.
1746.3 Clients Who Are Physically Handicapped.
General. A client or household member may have a physical handicap requiring modifications to
the house. To the extent possible, within the amount of the client’s benefit, the relocation house shall be
outfitted with features required to accommodate a physically handicapped client or family member. The
client may not waive the provision of handicap features determined by ONHIR technical staff to be required
to accommodate the client or family member.
3
MM#1746 Issued 6/28/96; Revised and Reissued
4/22/03; 3/15/11.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED
MANUAL SUBJECT 1746 PROCEDURES - Conservatorships, Handicap,
and Other Special Handling Cases __/s/CJB__
APPROVED
The type and extent of handicap features will depend upon the nature and severity of the client’s
handicap. Each disability limits people in different ways and must be dealt with specifically. As necessary,
the specialist assigned to the case will request a professional evaluation of the client’s handicap and the type
of accommodations needed from the appropriate service agency; IHS, Arizona Vocational Rehabilitation
Service, Arizona Services for the Blind, etc.
While cases requiring the provision of handicap accommodations will not ordinarily require
intervention by the contract attorney, the case may be referred for outside legal assistance if unusual
circumstances call for legal review.
1. Initial Determination of Handicap Accommodation Needs While the Client is in the
Counseling Phase. A physical handicap may or may not be obvious. While the client is in counseling, the
specialist will ask whether or not any member of the household is physically handicapped and requires
handicap accommodations. If so, the specialist will record a “Y” indicator in the automated records. The
specialist will prepare a detailed write-up describing the nature of the handicap. The specialist will obtain
a Privacy Act Release from the client and will issue a letter to the social or medical services provider
requesting specific information about the client’s handicap and recommendations on the nature of
accommodations required.
2. Coordination with the Relocation Operations Branch After an initial determination of
handicap is made the Specialist will request the formation of an intra-branch team to help staff the case. The
ROB Leader will arrange for staffing for the purposes of accomplishing a coordinated approach to a location
and acquisition of an appropriate relocation site and determination of specific required house features.
3. Review of Handicap Accommodation Requirements. When the client enters the
housing acquisition phase, the Specialist will ask whether or not the client or any family member requires
handicap accommodations. (Even if the client record does not indicate the existence of a handicap, changes
may have occurred in the client’s family since the case completed social counseling).
If a handicap condition exists, the Specialist will review the information gathered by the staffing
team about the accommodations required. If there is no report in the record, or the report is outdated, the
Specialist and inspections and compliance staff member will request a report from the client’s social and
/or medical services provider about the client’s handicap and recommendations on the nature of
accommodations required. The specialist may schedule the client for an evaluation by the Arizona Depart-
ment of Economic Security/Rehabilitation Services Administration to determine appropriate housing
features.
After all relevant information had been gathered, the Specialist/team will discuss the needed
handicap features with the client, and will inform the client that the house plans must incorporate the required
features.
4
MM#1746 Issued 6/28/96; Revised and Reissued
4/22/03; 3/15/11.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED
MANUAL SUBJECT 1746 PROCEDURES - Conservatorships, Handicap,
and Other Special Handling Cases __/s/CJB__
APPROVED
4. Pre-Construction Worksheet. On page 3 of the Pre-Construction Worksheet, under
miscellaneous options, the Specialist will note that the client requires handicap facilities and will attach a
specific itemized list of the required features. If the client is moving off-reservation and the Pre-Construction
worksheet is not being used, the specialist will attach the list to the standard letter to the contractor or letter
to the realtor.
5. House Plans. When the house plans are submitted by the contractor, the Specialist will
check to see that the plans incorporate the required handicap features. The ICB Plan Reviewer will conduct
a detailed review of the plans, including the structural adequacy of the handicap accommodations.
6. Instruction in Use of Handicap Features. Depending upon the nature of the client’s or
family member’s handicap, and the type of accommodations installed in the house, the client may require
instruction in the operation of the handicap features. The Relocation Specialist will arrange for instruction
by the appropriate social service agency; generally the agency which has been working with the client. If
the features are standard accommodations which require minimum explanation, the Specialist, contractor,
or ICB Construction inspector may provide the instruction.
7. Optional Handicap Features Even though the client may not be physically impaired, the
client may choose handicap features as an option in anticipation of future potential impairment resulting from
age, etc. The specialist may recommend that the client consider such options, but will not require that they
be included in the house plans.
1746.4 Contract Attorney.
General The ONHIR will procure the services of an attorney, licensed to practice in the Navajo
Family Court to review special handling cases for legal considerations. The contract attorney will represent
the ONHIR in preparing and presenting guardianship (person and/or property {conservatorship}) cases to
a court of competent jurisdiction. Cases in which guardianship proceedings may be brought will include
minor heirs of deceased clients, incapacitated clients, and other situations in which the ONHIR determines
that special legal assistance is required.
In situations where no family member or friend is available to serve as a guardian or conservator,
the attorney may investigate alternative legal arrangements which can be made on behalf of a client entitled
to relocation assistance.
1. Referral by Agency Legal Counsel The ONHIR Legal Counsel shall make assignments
to the contract attorney, and specify the tasks to be performed pursuant to the contract. The contract attorney
will consult with ONHIR legal counsel at all critical junctures about the appropriate course of action.
The ONHIR Legal Counsel shall develop a working file for each case, known as the “contract
attorney working file,” which will contain draft and executed documents relating to each case assigned to
the contract attorney. When the contract attorney had completed the assignment, ONHIR Legal Counsel
5
MM#1746 Issued 6/28/96; Revised and Reissued
4/22/03; 3/15/11.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED
MANUAL SUBJECT 1746 PROCEDURES - Conservatorships, Handicap,
and Other Special Handling Cases __/s/CJB__
APPROVED
shall review the final documents and recommendations submitted by the contract attorney (Court Order, legal
opinion, other) and determine the action to be taken by the Office of Relocation to resolve the case.
2. Further Review and Investigation Following receipt of the case assignment, the contract
attorney may conduct additional investigation into the client’s circumstances, which may include meetings
with the client and family members, social and medical service providers, and ONHIR representatives. The
attorney will deal with any legal representatives retained by the client or family members. The attorney may
also investigate non-ONHIR services which may be available to assist the client in the relocation home,
including services available from the Navajo Nation, other federal agencies, state, or private agencies.
3. Case Report The contract attorney will advise the ONHIR about the arrangements which
must be made in order for the client to utilize the relocation home. Advisement may include but not be
limited to:
* need for a personal guardian for the client and/or conservator of the relocation property and
any authorized payments;
* need for modifications to the relocation house, type and extent of modifications, and
potential costs;
* need for special training for the relocatee to be able to live in the house;
* need for live-in assistance (caretaker) for the client, and training for the caretaker.
* need for continuing assistance from external service agencies following move of the client
to relocation housing and the availability of such services.
4. Preparation and Presentation of Guardianship and Conservatorship Cases In cases requiring
the appointment of a guardian for the client and/or conservator of the property, the contract attorney will
meet with the concerned parties and their legal representatives, if any, regarding the terms of the
guardianship and conservatorship. The contract attorney will prepare the proposed agreements and petition
the appropriate Court to establish the guardianship/conservatorship. The attorney will follow the process
through to conclusion, informing ONHIR Legal Counsel of all actions.
1746.5 Completion of Case Action Plans
General If the Office of Relocation has determined that the client will be able to utilize the
relocation benefit and the contract attorney has obtained a Court Order for guardianship of the
person/conservatorship of the property, or other legal arrangements required to accomplish action on the
case, ONHIR Legal Counsel will refer the case to the Relocation Operations Branch Manager for action.
The case will be processed according to the terms of the Court Order, and associated documentation,
provided that such order is not in conflict with P.L. 93-531, as amended and ONHIR regulations.
6
MM#1746 Issued 6/28/96; Revised and Reissued
4/22/03; 3/15/11.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED
MANUAL SUBJECT 1746 PROCEDURES - Conservatorships, Handicap,
and Other Special Handling Cases __/s/CJB__
APPROVED
1. Actions to be taken by Legal Counsel
a. Notification by Legal Counsel. ONHIR Legal Counsel will prepare a memo to the
appropriate Office Manager with instructions about actions to be taken on the case. The staff member who
participated in the staffing team will continue the case assignment.
b. In cases where a Conservator has been appointed by the Court, and upon receipt of the Final
Order of Appointment of Conservator, Legal Counsel will draft a memo to the File Clerk directing that the
label on the client’s file be changed to reflect that a Conservatorship is in place by adding the code (CS)
between the first and last name of the client on the label.
c. Legal Counsel will also issue a memo (attaching a copy of the Final Order Appointing
Conservator) to the Chief Information Officer, the Finance Officer, and the Relocation Operations Branch
Manager, advising them of the appointment of a Conservator.
2. Data Entry: The Relocation Operations Branch Administrative Assistant will be
responsible for making the appropriate data entry in the automated records, as follows:
a. Type (CS) between the first and last name of the client to indicate that this is a
Conservatorship.
b. If the client is deceased, record client’s date of death and the code (AP) in the computer.
c. If the client is deceased, change client from “relocate Y” in the computer to “relocate D.”
d. Enter the Conservator’s name with the designation “Consrvtr” in the household
membership record. (Do not enter any demographic information except the
Conservator’s Social Security number and relocate “N” code).
e. If the Conservator is also a household member and is moving as part of the household, put
the Conservator’s name and demographics just like any other household member, with the
“Conservator” designation.
3. Funds Disbursement Funds which are being disbursed pursuant to the Conservator-
ship Agreement will be issued payable to the Conservator in his/her capacity as such. ( For Example: Smith,
Conservator, Jane). The ONHIR may request the contract attorney assist in the delivery and deposit of
payments to a trust established for the client’s benefit.
Search and Moving Expense If the client is receiving a relocation house pursuant to the
terms of the conservatorship, and the Conservator incurs moving and/or search expense, the expenses shall
be reimbursed directly to the Conservator. Such payments will not ordinarily be deposited into a trust
account established for the client.
7
MM#1746 Issued 6/28/96; Revised and Reissued
4/22/03; ___________________, 2011.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED
MANUAL SUBJECT 1746 PROCEDURES - Conservatorships, Handicap,
and Other Special Handling Cases __/s/CJB__
APPROVED
4. Case File Documentation ONHIR Legal Counsel will file the original executed Court
Orders and related correspondence in the client case file. Copies of the executed documents as well as drafts
and working notes, will remain in the contract attorney working file.
5. Contract Attorney Working File. The working file will be maintained in the Legal
Department. An index of the contents of each file and summary of the nature of the case and principal
actions will be maintained by the Legal Department staff. On cases wherein a conservatorship existed prior
to the implementation of these procedures, a calendar of action items will be developed and maintained by
staff for the purpose of assuring that annual reports are filed with the Court and provided to the ONHIR in
accordance with the terms and conditions of the Conservatorship Agreement.
6. Actions of the Relocation Operations Branch. As a general rule, arrangements
associated with the client’s move will be set forth in detail in the legal documents for
guardianships/conservatorship and associated correspondence. The Relocation Specialist will complete any
remaining details of the plan and prepare the case for referral to the next phase of case processing.
Household Membership. The Relocation Specialist will carefully review the household
membership. If the Conservator is being included in the benefit and the Conservator has a household of
his/her own who will reside in the relocation home, their names should be added to the file with a “Relocate
Y” indicator. If the Conservator has previously received a relocation home, their name may not be added
to the file.
7. Tracking Form. The Relocation Branch Team Leader will verify that a “Special
Handling”code has been entered into the computer for this case. The case will remain assigned to the
Relocation Specialist who is familiar with the details of the case.
8. Case Updates. If it is necessary for a special handling case to remain in the ‘CC’ phase
of case processing for a period time before referral to housing acquisition (ie., homesite lease or subdivision
development is pending completion), the Team Leader may request the Specialist conduct more frequent
updates than the standard six month contact.
9. Action by Housing Acquisition The Relocation Specialist will be alerted to the special
handling requirements through prior participation in team staffing, by the “Conservator” designation on the
case file label, and by the “Special Handling” code in the computer. The Specialist will be responsible to
learn about special conditions which apply. The Specialist will prepare a memo to ONHIR Legal Counsel
through the Relocation Operations Branch Manager requesting instructions about the way in which the title
to the house must be vested (if this is an off-reservation acquisition) and the manner in which the bonus,
moving, and search expenses must be disbursed; and any other special conditions required by the Court
Order. Legal Counsel will inform the Relocation Operations Branch Manager and the Specialist of all
extraordinary actions which must be taken during case processing.
10. Tracking by the ONHIR Legal Branch. In cases where a conservatorship existed prior
to the adoption of these procedures only, the Legal Department staff will calendar actions required by the
Court. Typically, these will be annual reports to the Court with a copy to the ONHIR. If the report is not
received by the due date, ONHIR Legal Counsel will send a reminder letter to the Conservator. If no report
8
MM#1746 Issued 6/28/96; Revised and Reissued
4/22/03; ___________________, 2011.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED
MANUAL SUBJECT 1746 PROCEDURES - Conservatorships, Handicap,
and Other Special Handling Cases __/s/CJB__
APPROVED
is received in response to the reminder, the Legal Counsel will request the client’s Relocation Specialist
contact the Conservator and assist the Conservator in the completion of the report. ( Form MM#1746.B is
an optional form which the Relocation Specialist may use for the report to the Court and ONHIR.)
In the event that the Conservator resigns prior to completion of the term of appointment,
ONHIR is usually charged with petitioning the Court for appointment of a new conservator. Legal Counsel
may involve the Relocation Operations Branch in identifying a suitable family member of other individual
to assume the responsibility.
11. Disposition of the Case If the ONHIR completes its statutory responsibilities and is no
longer is existence prior to the time when the Conservatorship is due to expire, the case will be referred to
the Navajo Nation Social Services Division or other social service agency providing services in the area
where the client is living.
1746.6 Closing Special Handling Cases.
General Special handling cases will generally be closed when the two year post-move period
expires. Legal Counsel will notify the Chief Information Officer that all action has been completed and the
special handling code in the automated records should be removed to allow closure of the case. Special
Handling cases will also be closed if the Commissioner has determined that the client is unable to utilize the
relocation benefit, generally because the client requires full care in a nursing home or similar institution (see
1746.4 (#4). Such cases may be re-opened upon the direction of Legal Counsel if the ONHIR is notified of
changes in the client’s condition which would warrant a re-evaluation of the client’s capability to receive
the benefit.
9
MM#1746 Issued 6/28/96; Revised and Reissued
4/22/03; ___________________, 2011.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED
MANUAL SUBJECT 1750 PROCEDURES- Search Expenses _/s/CJB__
APPROVED
SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED PROCEDURES
MULTI-BRANCH
SUBJECT 1750 SEARCH EXPENSE
AUTHORITY 25 USC 640-d(b)(I); 25 CFR 700.151, 700.155.
POLICY
Certified eligible heads of household will be reimbursed for reasonable expenses incurred in the
search for a replacement dwelling. Expenses may include travel, meals, and lodging, reimbursed according to
schedules established by ONHIR. The staff worker processing the client's case at the time search occurs will
inform the client of agency requirements and procedures for obtaining expense reimbursement.
Search expense may be reimbursed for travel undertaken by the client at the agency's request, or
directly related to activities required for the acquisition of replacement housing. Travel which is undertaken
by the client without prior approval must be justified by the case worker as necessary for the accomplishment
of case processing.
Search expense is not a benefit and may not be appealed under 25 CFR Subpart L. Disagreements
about search expense will be reviewed by the Team Leader and Branch Manager and may be referred to the
Executive Director if they cannot be resolved at the program level.
PROCEDURES
1750.1 Reimbursable Expenses
1750.11 Mileage
1. The Office may reimburse the client round trip mileage at the authorized Government rate from
their current residence or other authorized location to the authorized destination, via the most direct
reasonable route.
2. A client claiming mileage must supply the round trip mileage. If mileage is not recorded, the
specialist authorizing the claim will utilize the standard mileage chart Attachment 1750A, allowing a + 5%
deviation for clients traveling from the outskirts of the chapters.
3. Reimbursement is issued per vehicle rather than per person. Only one payment is issued per
vehicle regardless of the number of clients traveling in it. Payment shall be issued only to a certified client,
who is responsible for paying the driver of the vehicle.
1750.12 Meal Expenses
1. The Office may reimburse meal expense for clients traveling from their residence to the authorized
destination. Meals will be reimbursed at the rate of $10.00 per person for clients traveling over 50 miles
round trip and $20.00 per person for clients traveling over 300 miles round trip.
2. Meal expense may be reimbursed for client and spouse only.
MM#1750 Reissued 8/18/89; Revised and Reissued
1 3/29/96; Dec 31, 2010.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED
MANUAL SUBJECT 1750 PROCEDURES- Search Expenses _/s/CJB__
APPROVED
3. Receipts are not required for meal reimbursement.
1750.13 Lodging
Program staff will usually schedule client appointments for times which do not require the client to
stay overnight en route. However, if overnight stay is required in order for the client to conduct approved
search activity, lodging may be reimbursed under the following conditions:
1. Travel requiring overnight accommodation must be requested in advance by the case worker and
recommended by the Team leader, and approved in advance by the Branch Manager. The approval may be
granted verbally upon the case worker's request unless out of state travel as described in 1750.14 is being
performed.
2. The Office will pay lodging for the client as prescribed by the Federal Travel Regulations. The
case worker will inform the client of the authorized lodging rate and will instruct the client about the
documentation which must be submitted.
3. The client must provide the lodging receipt in order to receive lodging reimbursement. Credit card
charge slips are not acceptable receipts.
1750.14 Out of State Travel
1. Prior authorization by the Executive Director will be required if the client is traveling from, or to,
a location outside the state of Arizona or further than 25 miles outside the boundaries of the Navajo
Reservation, and requests reimbursement of mileage, per diem, or commercial transportation expense.
2. Lodging and commercial carrier receipts must be submitted with the travel claim.
1750.15 Travel to the New Lands
The ONHIR will issue a blanket purchase order for lodging and meal accommodation for clients
participating in New Lands tours arranged by the Specialist with concurrence of the Team Leader. The Office
will pay the following expenses for clients who have prior authorization to participate in a tour. Clients who
travel to the New Lands independent of the tour shall be reimbursed mileage, meal and lodging expense
according to the procedures set forth in 1750.11 through 1750.14.
In the case of group tours, the Office will pay lodging and meal expense for the client, spouse, and
minor children, according to the schedule established below. Expenses exceeding these limits will be borne
by the client.
1. Lodging: One room to accommodate the family.
2. Meals: Maximum amount allowable per person/meal will be specified on the blanket purchase
order and adjusted annually by the Contracting Branch. The Specialist will inform the clients of the meal
allowance, and any charges exceeding the allowed amounts will be paid by the client.
3. Travel: By van according to pre-arranged pick up and return schedule. Clients with their own
transportation may receive prior authorization for mileage reimbursement if they drive separately and join the
tour at Sanders.
MM#1750 Reissued 8/18/89; Revised and Reissued
2 3/29/96; Dec 31, 2010.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED
MANUAL SUBJECT 1750 PROCEDURES- Search Expenses _/s/CJB__
APPROVED
1750.2 Number of Authorized Trips
The Office has identified the trips associated with required activities during the various case
processing stages. These trips are listed on the search expense reimbursement form and in the schedule
below, and do not require justification. Trips exceeding those listed below must be justified by the client and
the staff Specialist assigned to the case, with review and recommendation by the Team Leader and final
approval by the Branch Manager. The Specialist will record the justification on the travel claim at the time it
is prepared.
1. Certification
One trip to Flagstaff during the certification stage. This trip will be recorded on the travel claim by
the Specialist during the social counseling phase of case processing.
2. Appeal
If the client's denial is reversed during the agency appeal process or by action of a federal court, the
client may be reimbursed for one trip to Flagstaff. The trip will be recorded on the travel claim by the
Specialist during the social counseling stage of case processing. Clients whose denial is sustained may not be
reimbursed mileage for travel during the appeal process.
a. Decertified/Re-certified Clients
A client who received mileage reimbursement for the certification stage of case processing
may also receive mileage reimbursement for travel for decertification appeal, if the decertification is reversed
and the case is once again referred to social counseling. The Specialist will record this claim under "other" on
the travel claim form, and write "decertification appeal" as the justification.
b. Witnesses
Witnesses subpoenaed by the client to appear at the hearing will not be reimbursed for travel
expense. Witnesses subpoenaed by ONHIR may be paid travel expense.
3. Counseling
One trip to Flagstaff for initial interview.
Update interviews: As a general rule, update interviews do not require the client to travel to Flagstaff.
Update interviews will be conducted by phone or by Specialist’s field visit to the client's home. Clients will
not be reimbursed for routine case updates nor for submitting documents requested by the counselor, which
can be returned in a postage paid pre-addressed envelope. If there are significant changes to the client case
plan which require the client to travel to Flagstaff, the Specialist may approve travel reimbursement. Update
interviews which require travel to Flagstaff will be recorded under "other" on the travel reimbursement form.
The Specialist shall attach copies of the Case Narrative report or other justification which explains the reason
for the trip.
4. Homesite Lease Application
One trip to Flagstaff to pick up application papers. May be combined with one of the
MM#1750 Reissued 8/18/89; Revised and Reissued
3 3/29/96; Dec 31, 2010.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED
MANUAL SUBJECT 1750 PROCEDURES- Search Expenses _/s/CJB__
APPROVED
Certification/Counseling trips and not separately reimbursable.
One trip to Flagstaff to submit completed application.
One trip from residence to NLD. Requires prior approval by Relocation Operations.
One trip from residence to the homesite lease location for feasibility study appointment.
In addition to these trips, the Relocation Branch Manager may approve up to four (4) trips to the
prospective host community, if different from the place of residence, for the purpose of obtaining authorizing
signatures on the application. Prior approval not required.
A client who chooses to move off-reservation after submitting a homesite lease application will not be
reimbursed for homesite lease search expense.
5. Housing Acquisition
One trip for initial housing interview.
One trip for contract signing.
Up to four (4) trips from place of residence to the construction location (new construction) or to
inspect resale houses and meet with realtors (resale housing).
6. New Lands Tour
Two trips to tour the area and receive information about New Lands planning activity (rural
community and range clusters).
One trip to select a homesite lease in the rural community or range cluster. (Can be entered on the
ROB claim form.)
1750.3 Search Expense Claims
1. Trips will be authorized and claims for reimbursement will be prepared and submitted according to
the client's stage of case processing. Client claim forms will be submitted by three stages of program
operations: Counseling, ICB (if the client is applying for a homesite lease), and Housing Acquisition. Trips
authorized for certification or appeals activity will be entered on the Relocation Operations Branch claim
form. Reimbursement for New Lands trips where the client traveled on their own will be entered on the
Counseling claim form, for an introductory tour; or on the Counseling or homesite lease claim form, for
homesite selection.
2. Clients in counseling and homesite lease stages should submit claims promptly, as soon as the
approved activity has been completed. Claims for clients for housing acquisition are generally accrued and
submitted when the client completes home search.
3. The claim form can be filled out by the client, or by the Specialist based upon information supplied
by the client. The form will be completed as follows:
MM#1750 Reissued 8/18/89; Revised and Reissued
4 3/29/96; Dec 31, 2010.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED
MANUAL SUBJECT 1750 PROCEDURES- Search Expenses _/s/CJB__
APPROVED
a. On the line "Client Name" enter the client's name only. The spouse's name should not
appear.
b. The left side of the form is filled out by the client. The columns are largely self-
explanatory. The client will enter the date next to the purpose of the trip; where they are traveling from and
to; total miles (round trip), their license plate number; and if their spouse accompanied them. The client must
sign and date the lower left hand corner of the form when the form is turned in.
c. The Specialist will attach a justification for other trips, if applicable, and sign his/her name
as authorizing staff person on the lower right side of the form.
d. For counseling updates and "other" trips, the Specialist will attach a photocopy of the Case
Narrative report or other justification for the client's trip to Flagstaff, and state why travel rather than mail or
phone contact was necessary.
e. The Specialist will fill out the right side of the form. The Specialist will inform the client
that if the mileage claimed deviates more than 5% from the chart, mileage will be taken from the ONHIR's
standard mileage chart, or from road maps. The Specialist will correct the mileage entered under "total miles"
according to the chart.
If the claim includes any trips which required prior written approval of the Specialist or Team
Leader - for example, overnight travel requiring accommodations, commercial transportation, or out of state
travel, the specialist must attach copies of receipts and authorizing documentation.
f. The Specialist will calculate the mileage traveled and the amount due, and will enter meal
expense claim, if any.
4. The Specialist will determine the validity of any trip(s) made in excess of the allowed number
which did not have prior authorization, and record his/her approval or disapproval in the far right hand
column under "preparer's comments". The Specialist will cross out any trip claims which are disapproved,
and will explain the reasons for disapproval. The Specialist will delete the amount claimed for a disapproved
trip from the approved totals.
The Specialist will assure that any required receipts are attached to the claim form. After the
Specialist has determined that the claim is complete and correct, he/she will sign and date the form, and
forward it to the Team Leader for review.
5. The Team Leader will review the form for completeness, accuracy, and conformance with Office
procedure. The Team Leader will complete the review within 3 days, sign and date the form, and route it to
the Relocation Operations Administrative Assistant.
6. Administrative Assistant will make a photocopy of the voucher for the client file and forward the
original claim to the voucher examiner, who will process the claim according to procedures set forth in the
Finance Branch procedures
7. A client who calls to ask when he/she will be receiving a check will be referred to the Specialist
who prepared the claim. The Specialist will check the client's payee history to determine if the check has
been ordered. Questions which cannot be resolved by the Specialist will be referred to the Finance
Department.
MM#1750 Reissued 8/18/89; Revised and Reissued
5 3/29/96; Dec 31, 2010.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS-SPECIALIZED PROCEDURES
MANUAL SUBJECT 1752 Moving Expense _/s/CJB_
APPROVED
SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED PROCEDURES/MULTI-
BRANCH
SUBJECT 1752 MOVING EXPENSE
AUTHORITY 25 USC 640-d(b)(I); 25 CFR 700.151, 153, 167, 169.
POLICY
P.L. 93-531 directs the Office to reimburse each eligible head of household reasonable moving
expenses consistent with those provided by the Uniform Relocation Assistance and Real Property Acquisition
Policies Act of 1970 (URA). The URA authorizes actual reasonable moving expenses or an in lieu fixed
payment of $500.
Moving expense is a reimbursement rather than a benefit and may not be appealed under 25 CFR
Subpart L. Disagreements about moving expense will be reviewed by the Team Leader and Branch Manager
and may be referred to the Executive Director if they cannot be resolved at the program level.
PROCEDURES
1752.1 Moving Household and Personal Property
General During the Social Counseling phase of case processing the Specialist will inform the client
of the Office's regulations and procedures regarding moving expense reimbursement. After the client has
been transferred into Housing Acquisition, the housing specialist will ascertain whether the client elects the
$500 fixed payment or actual moving expense.
A client who elects actual expense rather than fixed expense must justify the choice and receive prior
approval of the relocation Operations Branch Manager who shall determine if actual expense will be the least
costly method to the Government of accomplishing the client's move without undue hardship to the client.
A. Fixed Payment
1. Fixed payment for moving and related expenses includes an amount not to exceed $300 for moving
expense allowance and $200 dislocation allowance.
2. The fixed payment will be initiated by the housing specialist at the time of sheet rock inspection.
The Manager will ensure that the disbursement is timed so that receipt of moving expense coincides with the
client's need for funds to pay utility deposits and moving expenses.
B. Actual Expense
1. If a client elects actual moving expense and the request is approved by the ROB Manager , the
Relocation Specialist will submit a procurement request to the Contracting Branch. The Specialist will give
the particulars of the move: the location of the client's current residence, the location of the replacement
house, anticipated date of final inspection, type and quantity of personal and household possessions to be
moved, any special instructions.
2. The Contract Specialist will obtain bids from commercial moving companies according to
Federal Procurement Regulations, and will inform the Relocation Specialist of the arrangements which have
MM#1752 Reissued 8/18/89; Revised and Reissued
1 3/29/96; Dec 31, 2010.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS-SPECIALIZED PROCEDURES
MANUAL SUBJECT 1752 Moving Expense _/s/CJB_
APPROVED
been made for moving the client's possessions. The Specialist will coordinate contact between the client and
Contract Specialist so that details of the move can be finalized.
3. The Office will issue payment to the commercial mover based on the terms of the purchase
order. No payment for moving personal possessions will be issued to the client.
4. A client who elects actual expense reimbursement may also be paid for the following expenses.
Prior approval of the housing Relocation Specialist is required.
a. Mileage, meals and lodging for the client and household members to drive from the current
residence to the replacement house. Reimbursement will be based on the Federal Travel Regulations, based
upon the most reasonable direct route.
b. Utility deposit and hook-up charges at the replacement house. Receipts must be submitted.
1752.2 Moving Livestock
General The Contracting Branch will arrange for moving livestock of relocatees to the New Lands
Range Units and other New Lands locations as approved by the New Lands Manager. The Office may also
arrange and pay for the temporary impoundment of stock immediately preceding or following livestock
hauling, which is needed to facilitate the hauling arrangements. Livestock will include sheep, goats, cattle,
horses, mules, and donkeys. The ONHIR will not make transportation arrangements for domestic pets or
poultry.
The cost for moving livestock to the relocation site will not be charged against the client’s moving
expense entitlement.
Client requests that the Office move livestock to locations other than the New Lands area will be
considered by the Executive Director on a case by case basis.
1752.21 Making Arrangement for Livestock Hauling.
1. The New Lands Range Manager will submit a procurement request to the Contract Specialist
five (5) weeks before the anticipated moving date giving the number, type, and range destination for the
livestock to be moved.
2. The range management staff shall determine pick-up and unloading points, and loading and
hauling equipment needed for the move.
3. The Contract Specialist will contract for livestock hauling. The Specialist will ascertain if the
hauler has liability insurance which will indemnify the clients for any losses sustained during shipping; or if
the hauler is self-insured. If self-insured, the Specialist will obtain an acknowledgment that the hauler will
assume liability for any losses which occur during shipping.
4. The Range Manager will assure that program technicians are present when the animals are picked
up on the FJUA and when they are unloaded on the New Lands.
1752.22 Reimbursement for Loss Sustained During the Shipping Process.
General If an animal dies or becomes ill or is injured as the result of the moving process, the Office
MM#1752 Reissued 8/18/89; Revised and Reissued
2 3/29/96; Dec 31, 2010.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS-SPECIALIZED PROCEDURES
MANUAL SUBJECT 1752 Moving Expense _/s/CJB_
APPROVED
may reimburse the client for the loss of the animal. In the event of a claim for reimbursement, the Office shall
review the circumstances and shall determine the validity of the claim. In order for the claim to be
considered, the injury, illness or death must occur within three days of livestock hauling and must be reported
by the client within ten days.
1. When a client requests reimbursement because an animal has died or has become ill or injured
during the moving process, the Range Manager will submit a report to the Contract Specialist. The report
will describe the loss, when and how it occurred, and other relevant information. A written claim signed by
the client must be attached, and the loss/injury must be verified by a ONHIR staff member. If practicable, the
Manager shall arrange for the animal or carcass to be examined by the Area Range Conservationist, a
veterinarian, or other specialist who shall attempt to determine the nature and cause of the loss/injury.
2. The Contract Specialist shall evaluate the report and determine if the claim for reimbursement is
valid and if the documentation is sufficient to support disbursement of funds. If valid, the Specialist will
determine if the claim can be paid by the hauler or shall be reimbursed by the Office. If the claim is to be paid
by the Office, the Specialist will obtain particulars about the animal (type, age, sex, approximate weight) and
determine the current market value of such an animal. If the client claims that the animal was worth more
than the Office offers, the client will be asked for documentation regarding the worth of the animal (ie.
purchase price of a thoroughbred horse or a breeding animal).
3. If the animal is injured or ill, the Office may reimburse veterinary bills not to exceed the fair
market value of the animal.
MM#1752 Reissued 8/18/89; Revised and Reissued
3 3/29/96; Dec 31, 2010.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS-SPECIALIZED PROCEDURES
MANUAL SUBJECT 1754 Temporary Accommodations/Initial Acquisition/Remodeling
_/s/CJB_
APPROVED
SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED
PROCEDURES/MULTI-BRANCH
SUBJECT 1754 TEMPORARY ACCOMMODATION DURING REPAIR/
REMODELING OF HOUSE: INITIAL ACQUISITION
POLICY
Pursuant to 25 CFR 700.187, if a client owns or is buying or building a home in an area other
than the area from which he/she must move, the Office may at its discretion expend replacement housing
benefits to repair and remodel the house in order to bring it to decent, safe and sanitary standards. If the
client must vacate the house temporarily while the repair/remodeling is in progress, the Office may assist
the client in arranging temporary accommodations. Costs for temporary accommodations, including
storage of furniture, will be charged to the client's housing benefit.
The decision regarding repair/remodeling of an existing house, as opposed to acquiring a new
house for the client, will take into consideration the cost of temporary accommodations. In no case will
the total funds expended for repair/remodeling plus temporary accommodations exceed the client's
benefit entitlement.
If the total cost for repair/remodel plus temporary accommodation is less than the client's benefit
entitlement, the amount remaining will be applied to achieve debt-free home ownership.
PROCEDURES
1. The construction contractor will inform the client and the agency if the repair/remodeling
work will require the client to vacate the house, and approximately how much time the work will take.
The contractor's time estimate will be reviewed by the Inspections and Compliance Team Leader and
Relocation Operations Branch Manager
2. The Relocation Specialist will ascertain the client's needs and plans for temporary
accommodations. If rental or commercial accommodations are required, the specialist will obtain an
estimate from the Contract Specialist of the cost of such accommodations for the period of time required.
3. The Relocation Specialist will determine if the anticipated costs for repair/remodeling plus
temporary accommodations will exceed more than 95% of the client's benefit entitlement. If so, the
Office will acquire a new house for the client. If the anticipated combined costs do not exceed 95% of
benefit, the Office will acquire the existing house.
4. Relocation Specialist will submit a procurement request to the Contract Specialist for
temporary rental or commercial accommodations. The Specialist may arrange for:
a. Lodging.
1). Motel room(s), if possible with cooking facilities, to accommodate up to 4 persons in
one room.
MM#1754 Reissued 8/18/89; Revised and Reissued
1 3/29/96;Dec 31, 2010.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS-SPECIALIZED PROCEDURES
MANUAL SUBJECT 1754 Temporary Accommodations/Initial Acquisition/Remodeling
_/s/CJB_
APPROVED
2). Rental of trailer, apartment or house for 30 days or longer (for information on
temporary accommodations, see Management Manual Section 1722).
3). Lodging in a house with rental rooms available. However, the Office will not pay for
lodging in a house owned and occupied by a relative of the client.
b. Meals.
1). Meal allowance will be authorized only if the temporary lodging procured by the
Office does not have cooking or food storage facilities. Receipts will not be required.
Adult: Up to $25.00 per day.
Minor 12 years to 17 years old: Up to $15.00 for each school day; up to $18.75 non-
school day.
Minor 11 years or younger: Up to $10.00 for each school day; up to $12.50 non-school
days.
The meal allowance for the first and last days is 50% of the above amounts.
c. Furniture storage. As necessary, the Contract Specialist will arrange for temporary
storage of furniture and personal possessions. All costs associated with storage
arrangements which are paid by the Office will be charged against the client's relocation
benefits. The client will be responsible for transporting items to and from the storage
facility.
d. Other costs. The client shall be responsible for making arrangements and paying for
any other facilities or accommodations required while the house is being
repaired/remodeled.
5. The Contract Specialist will work directly with the client in making arrangements for
temporary accommodations. The Specialist will confirm the arrangements in advance in writing, and will
provide the ROB Manager with a copy of the letter sent the client. The letter will reiterate that all
expenses for temporary accommodations will be paid by the Office from the client's housing benefit.
6. The Relocation Specialist will inform the Contract Specialist when the accommodations will
need to be ready.
7. The Relocation Contract will state as specifically as possible the benefit amounts which will
be spent for temporary accommodations, and the payee.
8. The Contracting Branch shall determine the method to be used in arranging temporary
accommodations. Methods may include authorizing reimbursement upon receipt of a written claim by the
client; issuing a purchase order to a motel or restaurant for lodging/meals; arranging for the rental of
lodging and a storage unit.
MM#1754 Reissued 8/18/89; Revised and Reissued
2 3/29/96;Dec 31, 2010.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS-SPECIALIZED PROCEDURES
MANUAL SUBJECT 1754 Temporary Accommodations/Initial Acquisition/Remodeling
_/s/CJB_
APPROVED
A purchase order which is issued will specify, as appropriate, the names of the persons to be
accommodated, maximum amounts, provisions for cancellation or extension, and receipts to be attached to
the billing statement or kept by the client.
9. The contractor will notify the client and the Relocation Operations Branch when the work
requiring the client to be absent has been completed. If the work is completed in less time than
anticipated; or if the contractor requires an extension, the housing specialist will contact the Contract
Specialist, who will modify the purchase order for accommodations as necessary.
10. If the contractor fails to complete work according to the deadlines stated in the construction
contract and temporary accommodations have to be extended for a period of time which will cause the
client's benefit entitlement to be exceeded, the additional costs will be deducted and paid from the
contractor's final draw.
MM#1754 Reissued 8/18/89; Revised and Reissued
3 3/29/96;Dec 31, 2010.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED PROCEDURES
MANUAL SUBJECT 1756 MULTI-BRANCH - Housing Repair Program _/s/CJB_
APPROVED
SECTION 1700 RELOCATION OPERATIONS -SPECIALIZED PROCEDURES/
MULTI-BRANCH
SUBJECT 1756 TEMPORARY ACCOMMODATION DURING HOUSING REPAIR
POLICY
The ONHIR may arrange temporary accommodations for a client in order to undertake housing
repairs or to replace the client's relocation house pursuant to Management Manual Section 1580. The Office
shall pay any costs for temporary accommodations which exceed the client's average monthly costs for those
expenses. The type of accommodations shall be selected by the Office based upon least cost to the
Government while accomplishing the objective without causing undue hardship to the client.
Temporary accommodations may include lodging, meals, furniture storage, and other costs which
have been authorized in writing in advance by the designated official. Only the client, spouse, and their
dependents may receive lodging and meal accommodations; other residents of the house will be excluded
from arrangements for lodging and meals.
PROCEDURES
1. The construction contractor will inform the Construction Representative of the work which will
require the client to vacate the house. The contractor's time estimate will be reviewed by the representative
and approved by the ROB Manager.
2. The Construction Representative will ascertain the client's needs and plans for temporary
accommodation. If the client needs rental or commercial accommodations, the Representative will submit a
procurement request to the Contract Specialist. The Specialist will notify the client to contact him directly
for instructions about the arrangements. Depending upon the accommodations which will be most cost-
effective for the Government, the Contract Specialist may arrange for:
a. Lodging.
1). Motel room(s), if possible with cooking facilities, to accommodate up to 4 persons in one
room.
2). Rental of trailer, apartment or house for 30 days or longer. (For information on the Tuba
City Trailers owned by ONHIR and used for temporary accomodations, see Management
Manual Section 1722).
3). Lodging in a house with rental rooms available. However, the ONHIR will not pay for
lodging in a house owned and occupied by a relative of the client.
b. Meals.
1). Meal allowance will be authorized only if the temporary lodging procured by the agency
does not have cooking and food storage facilities. Receipts will not be required.
Adult: Up to $25.00 per day.
Minor 12 years to 17 years old: Up to $15.00 for each school day; up to $18.75 non-school
day.
MM#1756 Reissued 8/18/89; Revised and Reissued
1 3/29/96; Dec 31, 2010.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED PROCEDURES
MANUAL SUBJECT 1756 MULTI-BRANCH - Housing Repair Program _/s/CJB_
APPROVED
Minor 11 years or younger: Up to $10.00 for each school day; up to $12.50 non-school days.
The meal allowance for the first and last days is 50% of the above amounts.
2). Groceries: The client may be reimbursed grocery expense which exceeds his/her average
monthly cost at the relocation residence. The client must submit receipts which show higher grocery costs at
the temporary accommodation site.
c. Furniture storage. As necessary, the Contract Specialist will arrange for temporary storage
of furniture and personal possessions. The Office will not reimburse the client for storage arrangements made
without the Office's prior approval; nor will the Office reimburse the client for loss or damage to items while
they are stored in a facility other than the one which the Office has approved. The Office will not reimburse
the client for privately owned storage facilities.
The client will be reimbursed reasonable expenses for transporting items to and from the
storage facility. The client must receive prior approval of the Contract Specialist regarding the method of
transporting items and the anticipated cost.
d. Utilities. If the temporary accommodations do not include utilities, the ONHIR will
reimburse the client any utility costs which exceed the average monthly costs for his/her house. The client
must submit documentation regarding average monthly utility costs in order to receive reimbursement for
excess costs.
e. Other costs. Client requests for reimbursement for other expenses incurred while
occupying temporary accommodations will be considered on a case by case basis. The client must anticipate
other expenses and discuss them in advance with the Contract Specialist who shall make a recommendation
regarding reimbursement to the Executive Director. In order for the expense to be approved, the client must
demonstrate that the expense will be incurred as a direct result of having to move out of the house to a
different dwelling or to a different location. The client must further demonstrate that the expense will be
necessary for the client to conduct routine daily activities. Examples might include increased mileage expense
to commute to work or to tend livestock.
3. The Contract Specialist will prepare Form MM#1756.1, Breakdown of Anticipated Costs, which
details the client's plans for temporary accommodations, the anticipated costs for those accommodations, and
the client's current costs for the same items. The form will be submitted to the Executive Director for review
and approval.
4. Following the Director's review and approval of accommodation costs, the Contract Specialist will
prepare a letter to the client which states the accommodations and expenses which the Office will pay. If the
client is being provided with a replacement house, a copy of the Specialist's letter will be routed to the
Relocation Operations Branch Manager.
5. Relocation Operations Branch Manager will inform the Contract Specialist of the date when the
accommodations will need to be ready.
6. The Contracting Branch shall determine the method to be used in arranging temporary
accommodations. Methods may include authorizing reimbursement upon receipt of a written claim; issuing a
purchase order to a motel or restaurant for lodging/meals; arranging for the rental of lodgings and storage unit.
A purchase order which is issued will specify, as appropriate, the names of the persons to be
accommodated, maximum amounts, provisions for cancellation or extension, and receipts to be attached to the
billing statement or kept by the client.
MM#1756 Reissued 8/18/89; Revised and Reissued
2 3/29/96; Dec 31, 2010.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED PROCEDURES
MANUAL SUBJECT 1756 MULTI-BRANCH - Housing Repair Program _/s/CJB_
APPROVED
7. The contractor will give the Contracting Branch a week's notice of the tentative completion date.
The contractor will also notify the client and the Construction Representative when the work requiring the
client to be absent has been completed. If the work is completed in less time than anticipated; or if the
contractor requires an extension, the contractor will contact the Contract Specialist. The Specialist will
modify the purchase order for accommodations as necessary.
8. If the contractor fails to complete work according to the deadlines stated in the construction
contract and temporary accommodations have to be extended, the additional costs will be deducted and paid
from the contractor's final draw.
MM#1756 Reissued 8/18/89; Revised and Reissued
3 3/29/96; Dec 31, 2010.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED
MANUAL SUBJECT 1760 PROCEDURES - Location Descriptions _/s/CJB__
APPROVED
SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED PROCEDURES
MULTI-BRANCH
SUBJECT 1760 Pre- and Post-Move Location Descriptions
BACKGROUND The Office will maintain a file of the pre- and post-move location descriptions of
the residences occupied by certified clients. The pre-move location description provides directions to the
client's current actual residence. During the pre-move period the location description will be updated by the
Relocation Specialist whenever the client moves from one house to another. The post-move location
description provides directions to the client's relocation house, and is not updated after the client has
relocated, unless a second relocation house is provided according to terms of the housing repair program.
PROCEDURES
PRE-MOVE LOCATION DESCRIPTION
1. Recording the Information. The pre-move location description will be recorded on the first page
of the Survey of Housing Conditions, Form MM#1410.8, during the initial counseling interview. After
describing how to get to the client's house, the Specialist will record the current location code from code table
2. The location of the client's house must be within the geographic area encompassed by the current location
code.
2. Data Entry. Data entry of the location description and the current location code will be performed
by the Administrative Assistant. The location description may be entered independent of the housing survey.
3. Unusual Situations. If a client has more than one residence (for example, the/she lives one place
during the week and return to a family residence on weekends); or if a client is considered basically homeless,
moving from home to home among friends and relatives, the location description will explain the client's
situation and where he/she can generally be located.
POST-MOVE LOCATION DESCRIPTION
1. On-Reservation Moves. The post-move location description for clients moving on-reservation
will be entered by the Relocation Operations Branch. The initial entry will be made by the Administrative
Assistant at the time the results of the initial feasibility study are entered in the automated records. The
location description will be taken directly from the content of the study. The description will be reviewed and
revised as necessary by the Assistant when the results of the final feasibility study are data entered.
2. Off-Reservation Moves. The post-move location description for clients moving off-reservation
will be entered by Relocation Operations Branch. The Specialists will fill out Form MM#1760.1 and attach
it to the long sheet (closing costs) when the house has passed final inspection and the final disbursement is
ordered. The information recorded on Form MM#1760.1 will be taken from the appraisal or from other
information presented to the Relocation Specialist by the seller, contractor, or real estate agent.
The Relocation Branch Team Leader or the Administrative Assistant will enter the post-move location
description in the automated records after reviewing the closing documents.
Description Provided by Contractor. If a precise description of the lot location is not available at the
time of the pre-con, the Specialist will ask the contractor to fill out Form MM#1760.1 and send it in within
10 days of visiting the site. The Specialist will explain that the information is needed by the Construction
Inspectors to get to the site.
MM#1760 Issued 4/30/90; Revised and Reissued 2/19/92
1 3/29/96; Dec 31, 2010.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED PROCEDURES
MANUAL SUBJECT 1770 Infrastructure Allowance _/s/CJB_
APPROVED
SECTION 1700 RELOCATION OPERATIONS SPECIALIZED PROCEDURES
MULTI-BRANCH
SUBJECT 1770 INFRASTRUCTURE COSTS ASSOCIATED WITH
REPLACEMENT HOUSING.
AUTHORITY 25 CFR 700 Sec. 451-479 (Discretionary Funds); Legal Opinion dated
4/27/87; Commission Policy Paper MM#780P dated 7/30/87.
POLICY
The Office may contribute from discretionary funds an amount not to exceed 30% of the total housing
benefit plus infrastructure cost in order to pay for the infrastructure required for the replacement house.
Infrastructure estimates exceeding 30% for on-reservation replacement housing or 30% for off-
reservation replacement housing must be justified by the Relocation Operations Manager and approved by the
Executive Director.
PROCEDURES
1770.1. On-Reservation Infrastructure Costs.
1. Covered Items. On-reservation infrastructure costs for individual homesite lease construction
may include: Community or individual water system, grid electric or solar photovoltaic system, community
sewer or septic system, propane tanks and associated gas lines. Other infrastructure costs may be paid if they
are required for the development of lots located in subdivisions developed by agencies/entities other than the
ONHIR. Such costs may include: natural gas lines, grading and retaining walls required for drainage, street,
curb, gutter, sidewalk.
Subdivisions Developed by ONHIR. As a general rule, no individual infrastructure costs will
be paid when a client acquires a replacement house in a subdivision developed through cooperative effort by
the ONHIR and other federal and tribal entities, as infrastructure is provided through the development
process.
2. On-Reservation Infrastructure Computation Form. The Relocation Operations Manager shall
complete the On-Reservation Infrastructure Computation form, Form MM#1770.1, listing estimated
infrastructure costs for clients moving on-reservation. The form will be completed as part of the house plan
review which is requested by the relocation specialist at the time the client completes home search.
3. Updated Power Estimates. Completion of the form may require the Manager to obtain
updated power estimates. In this case the Homesite Lease Specialist will issue a letter to the power company
servicing the location requesting an update.
4. Other Costs. Cost estimates for the other items listed in Part A for a reservation land lease
will be entered by the Manager based upon initial estimates submitted by IHS for water/sewer; historic
experience regarding the costs of propane systems; and the cost estimates submitted by a contractor for a solar
photovoltaic system selected by the client, when grid electric will not be available.
MM#1770 Revised and Reissued 10/16/98;
1 Dec 31, 2010.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED PROCEDURES
MANUAL SUBJECT 1770 Infrastructure Allowance _/s/CJB_
APPROVED
5. Subdivision Lot Costs. In order to enter infrastructure costs for subdivision leases located on
reservation, the Manager will contact the developer in order to obtain information about lot development
costs, excluding any land costs associated with lot acquisition (ie. St Michael's private subdivision). As
necessary, the Manager will prepare a memo to record which will be referenced in the preparation of the
Comp Sheet for clients moving to the subdivision.
6. Purchase of existing house from the Tribal Housing Authority. Infrastructure costs associated
with NHA homes will be handled like infrastructure allowance for off-reservation purchases. The Office will
pay infrastructure costs which would otherwise be charged to the client as part of the housing cost, if the
Authority can provide a statement of the amount of housing cost which represents infrastructure development.
The costs will not be entered on the Comp sheet. They will be obtained by the Relocation Specialist during
the home search phase of case processing, and will be reviewed and approved by the ROB Manager. Housing
authority infrastructure costs exceeding 30% will require approval of the Executive Director as in 1770.2.5
below.
7. Computation. After entering the estimated infrastructure costs, the ROB Manager will complete
the calculations in Part B which set forth the percentage required for infrastructure and the amount over 30%.
If the estimate exceeds 30% the Manager will justify the expenditure, based upon information obtained when
the feasibility studies were conducted.
8. Approval by Executive Director. If the estimate exceeds 30% the Comp Sheet will be routed
to the Executive Director for review and approval. The Director will take action on the case within three days
of receipt of the Comp Sheet and return the completed form to the ROB Manager.
9. Routing and Filing. The completed Comp Sheet will be placed in the client Plan Check working
file.
1770.2. Off-Reservation Infrastructure Costs.
1. Covered Items. Off-reservation infrastructure costs may include: Community or cistern water
system, grid electric, community sewer or septic system, natural gas lines or propane tanks and associated gas
lines. Other infrastructure costs may be paid if they are required for the development of lots located in
subdivisions, including: grading and retaining walls required for drainage, street, curb, gutter, sidewalk.
Infrastructure funds can be used for special assessment levies.
Items Not Covered. Items which the Office will not fund include telephone hookup, cable, taxes
paid by the developer, and fees for the development and use of community playgrounds.
2. Advice to Client. During the initial housing interview, the Relocation Specialist will advise the
client about costs which may be approved if submitted by the contractor/seller. If no information is
submitted, the client will get the standard benefit only.
3. Itemized Breakdown. The contractor/seller shall submit documentation which provides lot
assessment and development costs. If such documentation is not available, the Specialist may accept a
statement of infrastructure items and costs which is submitted on letterhead and signed by the
contractor/seller or designated representative of the company. Lot development costs will be submitted to the
Specialist, who will review the documentation and assure its adequacy.
MM#1770 Revised and Reissued 10/16/98;
2 Dec 31, 2010.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED PROCEDURES
MANUAL SUBJECT 1770 Infrastructure Allowance _/s/CJB_
APPROVED
4. Review/Approval by ROB Manager. After review by the Specialist, the documentation will be
submitted to the ROB Manager, who will complete Form MM#1770.2, Off-Reservation Infrastructure
Computation Sheet. The Manager may require the contractor/seller to provide additional information. The
Manager may disapprove any or all infrastructure costs listed, if he/she determines that the costs are excessive
or that the items are not covered by the Office's policy.
5. Approval by the Executive Director. If the estimate submitted by the contractor/seller exceeds
30% and the Manager determines that the amount is justified, he/she will submit the Off-Reservation
Infrastructure Computation Sheet to the Director for review and approval. The Director will take action on the
case within three days of receipt of the form and will return the form with approval and any instructions to the
ROB Manager. The Manager will assure that the approved amounts are incorporated into the housing contract
disbursement schedule.
MM#1770 Revised and Reissued 10/16/98;
3 Dec 31, 2010.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED
MANUAL SUBJECT 1771 MANUAL - Infrastructure/Individual Wells _/s/CJB__
APPROVED
SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED PROCEDURES
MULTI-BRANCH
SUBJECT 1771 INFRASTRUCTURE DEVELOPMENT: INDIVIDUAL WELLS
FOR OFF-RESERVATION MOVES
AUTH0RITY 25 CFR 700.55(8); Commission Policy Document MM#780P, dated 7/30/87:
Infrastructure Costs Associated with Replacement Housing.
POLICY
The Relocation Operations Manager may authorize the construction of a house off reservation on a lot
which cannot be connected to a regulated water supply and where there is no well on the property at the time
it is selected by the client. In order for the Manager to authorize such an acquisition, one of the following
conditions must apply.
1. The contractor selected by the client may drill a well on the property at his own risk and cost. If
the well is successful and water is brought to the site, the Office will have the well tested for flow and quality.
If the water meets the standards stated herein, the Office will agree to the acquisition. The contractor will be
reimbursed reasonable costs for well-drilling on a case-by-case basis. Total costs of infrastructure including
well-drilling may not exceed the limits stated in Management Manual Subject 1770, Infrastructure
Development.
2. If water cannot be brought to the site, or flow/quality does not meet required standards, the Office
may approve a cistern system, provided the client has fully considered the costs and maintenance of such a
system, and has confirmed in writing that this is his/her choice.
PROCEDURES
1771.1 Individual Wells.
1. When the relocation specialist learns that the site selected by the client does not have water to the
lot line; or that the water to the lot is not provided by a state regulated water company; the specialist will
inform the contractor/seller in writing that if the contractor/seller is willing to drill a well at his/her own cost
and risk, and the well is successful, the Office will acquire the site on the client's behalf.
2. If the contractor/seller elects to drill a well, and water is brought to the site, the Office will have
the water tested. The specialist will contact the governmental agency exercising jurisdiction over water
quality control in the area where the site is located, and determine the specific tests required for that locality.
3. The relocation specialist will request the Procurement/Property Management Specialist to contract
for water testing. The relocation specialist will inform the Procurement/Property Management Specialist of
any special tests which are required over and above the standard water quality tests. The Procurement
Specialist will contract for flow and quality testing.
a. The well must produce a minimum of 3 gallons per minute.
b. The water must meet EPA standards for bacteriological, inorganic, and radio chemical
MM#1771 Reissued 8/19/89; Revised and Reissued
1 5/12/00; Dec 31,2010.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED
MANUAL SUBJECT 1771 MANUAL - Infrastructure/Individual Wells _/s/CJB__
APPROVED
tests. Additional tests will be conducted if recommended or required for the particular locality.
4. If the well is successful and the water meets the required test standards, the contractor/seller may
be reimbursed documented actual costs from discretionary funds for infrastructure development. The request
for reimbursement must conform to the procedures stated in Management Manual Section 1770, Infrastructure
Development.
5. If the well is unsuccessful, the contractor/seller will not be reimbursed for expenses incurred in
drilling the well. The ROB Manager shall disapprove the site acquisition, unless the client agrees to a cistern
system.
1771.2 Cistern.
1. If the client wants the Office to acquire the lot on his/her behalf and install a cistern to provide
water to the house, the relocation specialist will investigate the availability of commercial water, and advise
the client about cost of water delivery. If the client plans to haul water him/herself , the specialist will advise
the client about vehicle costs and labor associated with hauling the water personally.
2. The specialist will determine if the client's income is sufficient to meet the 25% rule, given the
costs of operation of the cistern system.
3. If the average monthly housing cost, including cistern operation, exceeds 25% of the client's
average monthly income, the ROB Manager will disapprove the acquisition. If the average monthly housing
cost, including cistern operation, is less than 25% of the client's average monthly income, the Manager may
approve the acquisition.
4. The client will be required to sign a statement that he has been fully advised of the costs and the
advantages and disadvantages of acquiring a house with a cistern, and that this is his/her choice. The
statement will be reviewed and approved by the Manager as part of the contract package.
MM#1771 Reissued 8/19/89; Revised and Reissued
2 5/12/00; Dec 31,2010.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED
MANUAL SUBJECT 1774 PROCEDURES -Infrastructure Development IHS/
NTUA Coordination
/s/CJB__
APPROVED
SECTION RELOCATION OPERATIONS - SPECIALIZED PROCEDURES
SUBJECT INFRASTRUCTURE DEVELOPMENT - COORDINATION WITH
IHS AND NTUA ON SCATTERED RESERVATION HOMESITES;
NEW LANDS
AUTHORITY 25 CFR 700.53/55; ONHIR POLICY MEMORANDUM NO. 6;
Memorandum of Agreement Between ONHIR/IHS dated March, 1993.
BACKGROUND
It is the policy of the ONHIR that all replacement housing be connected to water, sewer, and
electricity in good working order at the time the client moves into the house. In order to assure this in cases
of scattered reservation homesite leases, the ONHIR and the Indian Health Service in March of 1993 entered
into a Memorandum of Agreement for a Public Law 86-121 project, NA 93-A38 entitled “Water Supply and
Waste Disposal Facilities; ONHIR Reservation-Wide Scattered Relocation Housing.” This MOA superseded
an earlier agreement executed in 1988 and revised the methods of interagency cooperation to accomplish
water supply and waste water construction. It is intended that there will be subsequent projects based upon
the NA-93-A38 design as clients are added to the homesite lease application process.
These procedures are issued for the purpose of providing detailed instruction to ONHIR staff to
implement the provisions of the 1993 ONHIR-IHS agreement and any subsequent agreements which contain
equivalent provisions.
PROCEDURES
1774.1 Initial Feasibility Study
General.
“Initial feasibility study,” is the ONHIR’s term; IHS knows this activity as the “preliminary site
screening.” This activity is independent of the activity prescribed by the 1993 ONHIR-IHS agreement and
takes place before a relocation client is placed on the list of clients to be served by a project.
1. Purpose of the Initial Feasibility Study
The initial feasibility study is performed by the ONHIR Engineering Technician after the client has
obtained local homesite lease approvals and has submitted a completed lease application to ONHIR for
processing and before the ONHIR sends the lease to NLD. The purpose of the study is make a preliminary
determination as to :
* feasibility of the site (if it is a buildable site);
* feasibility of connecting the proposed house to community water and/or community sewer;
* feasibility of installing a septic tank;
MM#1774 Issued 9/3/93; Revised and Reissued
1 Dec 31, 2010.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED
MANUAL SUBJECT 1774 PROCEDURES -Infrastructure Development IHS/
NTUA Coordination
/s/CJB__
APPROVED
* feasibility of connecting to power lines;
* surface indicators of historic materials which may require realignment of site boundaries
and/or indicate potential problems with archaeological clearance.
2. Scheduling the Initial Feasibility Study
The Engineering Technician to whom the study has been assigned will be responsible for scheduling
the study with the client. The Technician will conduct the feasibility study along with the client. After the
Technician has determined that the site is near a water line and/or power line then either IHS and/or NTUA
will be contacted for a cost estimate.
If the site is in a remote location the Engineering Technician will recommend a solar system and a
cistern system.
3. Request for Utility Cost Estimate
The Homesite Lease Specialist will send a letter, along with the approved Homesite Lease
documents, to IHS and NTUA requesting a cost estimate for a particular homesite. The IHS and NTUA field
staff will visit the site and do a feasibility study and provide a cost estimate. The IHS field engineer will
provide the following information:
* cost estimate;
* whether or not the house can be connected to community water;
* whether the proposed homesite lease is within 100 feet of the existing water line;
* where the service line will enter the site;
* whether or not it appears the terrain is suitable for excavation and the installation of water
lines and septic system.
4. Relocating the Homesite based upon Technical Advice
Depending upon the information provided by the technical staff it may be necessary for the homesite
boundaries to be realigned or the homesite to be moved within the immediate vicinity. If the homesite must
be moved a considerable distance, the client may have to go back to the Chapter and local users for approval
of a new site.
a. Water Line The homesite will have to be moved when: 1. The homesite is farther than
1500 feet from the water main serving the area. 2. The homesite is at too high an elevation to allow
sufficient pressure from the community water tank. 3. There is a solid rock between the homesite
and the water main.
b. Power Line If the nearest power line is farther than one-half (½) mile from the site the
homesite must be moved to within one-half (½) mile of the power line. The ONHIR will not build
a house which cannot be connected to grid power unless the client obtains a waiver of ONHIR policy
regarding location of leases.
MM#1774 Issued 9/3/93; Revised and Reissued
2 Dec 31, 2010.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED
MANUAL SUBJECT 1774 PROCEDURES -Infrastructure Development IHS/
NTUA Coordination
/s/CJB__
APPROVED
5. Archaeological Survey
After the site location has been clearly defined as a result of site screening by the technical staff, the
ONHIR archaeologist will conduct the archaeological survey. The survey will include the water and sewer
corridor to the nearby main providing the corridor is less than or equal to1500 feet.
6. ONHIR Follow-up: Initial Feasibility Study and Data Entry
The Technician will prepare the ICB initial feasibility study as described in MM#1521.3. The study
will include the IHS Engineer’s rough estimate of the anticipated cost of the water line construction. The
Homesite Lease Specialist will perform data entry of the type of sanitation facility as defined in Code Table
72:
CI -Community water/individual sewer
I I - Individual water/sewer
CC -Community water/sewer
Clients with a “I I” (individual water and sewer code) will not be included in Indian Health Service
Projects for scattered reservation homesites. Individual water and wastewater facilities will be constructed
by the ONHIR.
1774.2 Project Definition
1. ONHIR Responsibility: Identification of Participants and Request for New Project
The Homesite Lease Specialist will maintain a running record of all clients who have applied for
scattered reservation homesite leases. After the Tribal Resources Committee has approved the homesite
lease application, the Homesite Lease Specialist will enter the names of clients who are not coded as “II
(individual water and sewer) on a list for referral to IHS for a new project summary.
As a general rule the cases will be referred to the IHS District Engineer at the end of six months or
when there are fifty (50) clients on the list, whichever comes sooner. The Homesite Lease Specialist will
prepare a list which contains:
* client name
* casefile number
* location to which the client is moving.
The Homesite Lease Specialist will attach this list to a cover letter to the IHS Tuba City District
Engineer requesting the development of as project summary to serve these clients. The Homesite Lease
Specialist will also request that the project include a specific number (approximately ten ) of undesignated
slots for clients who need to be added for emergency processing.
Exceptions The Homesite Lease Specialist will refer a group of clients, regardless of how many cases
there are, when the Specialist determines that there is a clearly identifiable group moving to a particular
location. This is generally referred to as a “group move.”
MM#1774 Issued 9/3/93; Revised and Reissued
3 Dec 31, 2010.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED
MANUAL SUBJECT 1774 PROCEDURES -Infrastructure Development IHS/
NTUA Coordination
/s/CJB__
APPROVED
2. IHS Responsibility: Development of Project Summary
The Tuba City District Engineer will prepare a draft project summary outlining the scope of work
and anticipated costs for providing clearances and water/waste disposal facilities to the clients identified in
the list supplied by the Homesite Lease Specialist. IHS will also prepare a new MOA for the proposed
project. The MOA will likely employ the basic provisions of the 1993 MOA for project NA-93-A38.
3. Review and Execution of MOA and Project Summary
The draft project summary will be reviewed by designated representatives of the cooperating
agencies. Following discussion and any changes, the documents will be finalized and circulated for approval.
Copies of the executed agreement will be distributed to the following offices within ONHIR: Executive
Director; Finance; Relocation Operations, housing acquisition and staff; and appropriate offices within
IHS. Work under the agreement will commence when IHS receives full payment from ONHIR.
1774.3 Work to be Performed by IHS and ONHIR Pursuant to the Terms of the MOA and
Project Summary.
General
The work to be done by IHS pursuant to the terms of the MOA and project summary can be broken
down into two phases: 1) acquisition of required clearances; 2) construction of facilities.
1. Information to be Provided by ROB
The Homesite Lease Specialist will provide the Tuba City District Engineer with copies of the
following documents for all clients who will be served under the project summary:
* map showing reservation location of the lease
* topographic map with location of lease plotted on it
* homesite sketch
* initial feasibility study
* archaeology report and clearance for all sites and utility corridors within 1500 feet
of the utility main.
2. Products to be Delivered by Indian Health Services
The IHS field engineer will take action to acquire the following for each of the sites assigned:
a. ROW or service line agreement for grid water and/or sewer connection.
b. Archaeological clearance for service lines exceeding 1500 feet (exceptional
circumstances only. Lease locations will ordinarily be moved to within 1500
feet of the service line at the time of the preliminary site screening.)
MM#1774 Issued 9/3/93; Revised and Reissued
4 Dec 31, 2010.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED
MANUAL SUBJECT 1774 PROCEDURES -Infrastructure Development IHS/
NTUA Coordination
/s/CJB__
APPROVED
c. Endangered species clearance for water and wastewater utility service.
d. Tapping permit.
e. Feasibility study which includes the cost estimate for sanitary facilities and a line
drawing of the site.
Once every two weeks the Project Engineer will submit a comprehensive list entitled IHS Permitting
Report to the Relocation Operations Branch Manager and Homesite Lease Specialist. The report is a
cumulative list of ONHIR NA-93-A38 clients for whom all permits/clearances have been obtained. The
following columns will appear on the report:
* Client name
* Location
* Chapter
* Case File Number
* IHS Permitting Complete? (signified by a”Y”.)
* ONHIR Notice to Proceed date.
* ONHIR Projected completion date.
* IHS Beneficial Use Date
Only the names of clients with a "Y" entry in the column "IHS permitting complete?" should appear
on the report. ONHIR notice to proceed and completion dates will appear on the report after the IHS permitting
has been completed and IHS has received the ONHIR Notice to Proceed.
In addition to the IHS Permitting Report the Tuba City District Engineer will submit individual
feasibility reports for each client to be served by the project. The feasibility report consists of: 1. Cover letter
stating the feasibility of providing the client with sanitary facilities. 2. Cost estimate. 3. Line drawing of the
site. Individual feasibility reports will not be provided if the recommended service is individual water and
sewer.
The IHS Permitting Report showing a "Y" completed permitting entry plus the IHS individual
feasibility report constitute the IHS clearance package. Transmittal of completed clearance packages signifies
that IHS is ready to proceed with facilities construction as soon as ONHIR transmits a Notice to Proceed. The
ONHIR Notice to Proceed, which is issued when the client contracts are signed, constitutes ONHIR's
acceptance of the IHS clearance package, including the feasibility study and cost estimates.
"Beneficial Use Date" will be entered on the report by IHS after installation of facilities has been
completed.
3. Action by Relocation Operations Branch
The Relocation Operations Branch Manager will review the packages. The Manager will consult with
the District Engineer on any problems or questions he notes upon reviewing the studies.
MM#1774 Issued 9/3/93; Revised and Reissued
5 Dec 31, 2010.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED
MANUAL SUBJECT 1774 PROCEDURES -Infrastructure Development IHS/
NTUA Coordination
/s/CJB__
APPROVED
a. Infrastructure Cost Sheet
The Relocation Operations Branch Manager will prepare the Infrastructure Cost Sheet in accordance
with ONHIR procedures MM#1770. The Manager will note the IHS project number on the forms for all
clients who are being served by the project. This will serve as an additional alert to the Relocation Specialist
when the case is transferred to the housing acquisition phase.
b. Homesite Lease File
The Homesite Lease Specialist will make copies of the IHS Permitting Report showing "Y" entry for
client and the individual client feasibility report and file the copies in the client's homesite lease file.
4. Hold in “CC” Until Homesite Lease Completion. For homesite leases which are going to
be served by community water, the case will be held in “CC” status until both the IHS clearance package and
the homesite lease completion (tribal action, archeological clearance, NTUA estimate and final feasibility
study) are received. The completions probably won't come in at the same time. When both completions have
been received the Homesite Lease Specialist will route the case tracking form to the ROB Manager for
approval and data entry which will transfer the case to housing acquisition (HP status).
5. Action by Relocation Specialist
No further action pursuant to the project summary will occur until the client signs the relocation
contract/construction contract. At this time the Relocation Specialist will take the following actions related
to this project.
a. Information for Utility Providers
The Relocation Specialist will fill out short Form MM#1640.8, Information for Utility Providers
(see attached example). This form states whether or not the house is in a IHS Project.
b. Changes to Provisions of the Relocation Contract and Construction Payment Contract
Clauses contained in the relocation contract and the construction payment contract will be changed
to state that the IHS infrastructure amount is included in the project agreement. The project number
will be inserted. This will alert the Finance Branch that no check is to be issued, and the cost estimate
needs to be recorded as a credit against the project monies paid to IHS under the MOA. This is not
a computer entry but a hand-kept record.
c. T Sheet
Under the infrastructure category, after entering the total amount obligated for infrastructure, the
Specialist will enter the IHS payment with the description "A38 funds to IHS". No date of
disbursement will be entered.
MM#1774 Issued 9/3/93; Revised and Reissued
6 Dec 31, 2010.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED
MANUAL SUBJECT 1774 PROCEDURES -Infrastructure Development IHS/
NTUA Coordination
/s/CJB__
APPROVED
d. Arrangement for Utility Deposit
The Relocation Specialist will inform the client that meter deposits for electric service, water service,
and bacteriological test (if any) will be paid on their behalf from the moving money.
6. Homesite Lease Program Specialist Notification to IHS and NTUA
After the Pre-construction Conference, when the client has signed the Relocation and Construction
Contracts, the Homesite Lease Specialist will send a letter to the IHS District Engineer and the appropriate
NTUA District Office notifying them of the contract signing.
7. Subsequent Notification to NTUA and IHS by the Homesite Lease Specialist
After the sheet rock inspection has passed the Homesite Lease Specialist will send a second
notification letter to IHS and NTUA on the progress of construction.
8. Monitoring by the Construction Control Inspectors
At the time of final inspection the Construction Control Inspector will check to determine whether
or not there appears to be activity by IHS or NTUA at the construction site and will note it on the Inspection
Report. If there is no activity the Inspector will notify the Homesite Lease Specialist. The Specialist will
contact the IHS District Engineer and/or the NTUA District office to check on the status of the construction
schedule.
9. Post Move Follow-up In Cases Where Water/Power is Not Connected at the Time of Client
Move-In
If the client reports after moving in that he/she does not have water/sewer or power, the staff member
who receives the complaint will ask whether or not the client has gone to the NTUA District Office to inquire
about the status. If the client confirms that he/she has done this, the complaint will be reported to the
Relocation Operations Branch Manager.
The ROB Manager will contact the District Engineer (if the problem is water or sewer service) or
the NTUA main office (if the problem is power) to find out about the reasons for delay. If the problems
cannot be resolved at the Manager’s level, the Manager will report the matter to the ONHIR Executive
Director and may issue a letter to the appropriate authority through the Executive Director requesting action
to resolve the problem and service hookup as soon as possible.
1774.4 Action of the Finance Branch to Track Draws Against Project Funds Paid IHS
The Construction Representative will route to the Finance Branch a copy of the memorandum of
agreement and attached list of clients to be served by the project as soon as the MOA is finalized and
circulated for signature. These documents will be placed in the IHS vendor file. The Finance Branch will
use the list of clients to record amounts credited to the the clients' accounts. The Tuba City District Engineer
will provide the ONHIR Finance Branch with a copy of the signed MOA with its request for funds transfer
MM#1774 Issued 9/3/93; Revised and Reissued
7 Dec 31, 2010.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED
MANUAL SUBJECT 1774 PROCEDURES -Infrastructure Development IHS/
NTUA Coordination
/s/CJB__
APPROVED
and the signed MOA and client list will replace the initial MOA in Finance files.
After the housing contract documents have been executed the Relocation Specialist will route a copy
of the Relocation Contract to the Finance Branch (see MM#1645.3 #5). If the client is being served under
the terms of the A38 or subsequent project, the Relocation Specialist will note the IHS project number in
parenthesis next to the IHS cost estimate. As a double check the Finance Officer will check the name of all
clients moving to on-reservation sites (excepting New Lands) with the list of project clients to assure that
no separate payment is issued to IHS for clients included in project monies.
The Finance Officer will enter the dollar amount to be offset to the amount advanced to IHS on the
client list next to the client's name (if no list is available the Finance Officer will prepare a manual worksheet
with client names and casefile numbers as the contracts are forwarded by housing). Periodically (no less
frequently than semi-annually) this worksheet will be checked for accuracy by matching the entries with
records maintained by the District Engineer.
MM#1774 Issued 9/3/93; Revised and Reissued
8 Dec 31, 2010.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED
MANUAL SUBJECT 1780 PROCEDURES - Deed Restrictions __/s/CJB_
APPROVED
SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED PROCEDURES
SUBJECT 1780 DEED RESTRICTIONS
AUTHORITY: Executive Director's Memorandum of March 7, 1984
POLICY
The ONHIR will require that house titles issued to clients moving off-reservation after March 7,
1984 contain a restriction that is recorded in the deed of their replacement property. The restriction is as
follows:
“This property may not be sold, transferred, assigned or encumbered for a period of two
(2) years from the date of this conveyance without consultation by the Relocatee with the
Office of Navajo and Hopi Indian Relocation.
Such consultation shall include an evaluation of the terms of the proposed transaction,
the obligations to be incurred by the Relocatee and the overall economic advisability of
the transaction and shall be evidenced by a signed document from the Office of Navajo
and Hopi Indian Relocation verifying such consultation.
In the event of a lender’s acquisition of the property pursuant to a foreclosure or deed in
lieu of foreclosure (which shall not require authorization by the Office of Navajo and
Hopi Indian Relocation) this restriction shall become null and void.”
The purpose of the deed restriction is to discourage relocatees from entering into transactions,
most commonly to sell their house or borrow money using the house as collateral, without careful
consideration. Clients wishing to transact any business with their property within the first two years
following their relocation must consult with the ONHIR. ONHIR staff will analyze the terms of the
proposed transaction, evaluate the transaction for economic advisability, and inform the client of the
results of the evaluation. ONHIR's written response will serve as proof to the lender/buyer that the client
has consulted with the Office.
1781 PROCEDURES.
General A client who has acquired an off-reservation relocation house may decide to borrow
money using the replacement home as collateral. Less frequently the client may decide to sell the house
or transfer the house in trade for other real or personal property. The role of ONHIR staff is to offer
advice regarding the overall economic advisability of the proposed transaction. However, the final
decision about whether or not to pursue the transaction rests with the client and the other party involved
in the transaction. The client may be advised to seek legal assistance and consumer credit counseling
before proceeding with the transaction.
During pre-move advisement, the relocation specialist will inform the client of the deed
restriction which will be recorded on the title, the purpose of the restriction, and the requirement that the
client contact the ONHIR prior to selling the house or using it as collateral on a loan.
The Relocation Operations Manager is responsible for review and evaluation of a client's request
for a deed restriction waiver. The ROB Manager may delegate this responsibility as appropriate.
MM#1780 Reissued 8/18/89; Revised and Reissued
1 6/1/2000; 3/15/11.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED
MANUAL SUBJECT 1780 PROCEDURES - Deed Restrictions __/s/CJB_
APPROVED
As negotiations associated with a sale or loan require a prompt response, the ONHIR will
respond to the client within five working days of receipt of all information needed to evaluate the
proposed transaction.
1. Information Required for Evaluation
A client who wants to enter into a transaction which requires review of the deed restriction will
be referred to the Relocation Operations Branch. The ROB Manager will assure that the client supplies
the information required for ONHIR to evaluate the proposed transaction. The ROB Manager or
designee will give the client a copy of Form MM#1780.1, Deed Restriction Information Request, and
will instruct the client on how to fill it out. These forms are frequently filled out by the lender and the
client working together to define the terms of the proposed transaction.
The client must supply the following information:
* type of transaction;
* amount of the loan and name and address of the lender;
* terms of the loan: duration, interest rate, balloon payment (if any), dollar amount of the
monthly payments;
* reason for the transaction;
* client’s current income, amounts and sources;
* Client’s financial obligations: fixed payments, including taxes, utilities, insurance, other,
as well as any outstanding loans and credit card debt, including outstanding amounts due
and current monthly payments.
If the transaction is not a loan but a sale or transfer, the ROB Manager will make sure that all
information has been provided: buyer or transferee, amount of sale, terms of sale, special conditions.
2. Preparation of Response
The ROB Manager will prepare a letter for review and signature by the Executive Director
advising the client of the ONHIR's evaluation. The Manager will forward the letter and the Deed
Restriction Information Request Form, if appropriate, to the Director. The letter will include the
following elements:
a. It will spell out the nature and terms of the transaction and the client's reasons for
wanting the loan, sale, or transfer.
b. It will state the specific financial commitment which the client is incurring (ie.
amount of monthly payments, penalties for late payment, balloon amount) and the potential consequences
if the client is unable to meet the commitment.
c. If the client is incurring a loss (ie. through sale or transfer of the house for less than its
original or appraised value) the letter will point that out.
d. The letter will point out any incidental costs, such as processing or settlement fees,
MM#1780 Reissued 8/18/89; Revised and Reissued
2 6/1/2000; 3/15/11.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED
MANUAL SUBJECT 1780 PROCEDURES - Deed Restrictions __/s/CJB_
APPROVED
which the client may not have considered in calculating how much he/she will receive from the loan or
sale.
e. The letter shall advise the client that the ONHIR has neither the authority nor funding
to assist the client if he/she are unable to meet financial commitment incurred through the transaction.
The letter shall advise the client to seek legal review or financial counseling.
f. The letter shall state the ONHIR's response, and will explain ONHIR's reasons for its
recommendations for or against the transaction. The ONHIR will:
1. APPROVE THE TRANSACTION WITHOUT RESERVATION;
2. APPROVE BUT W ITH SPECIFIC RESERVATIONS OR APPROVE PART OF THE
TRANSACTION BUT NOT ALL ELEMENTS; OR
3. DISAPPROVE THE TRANSACTION.
3. Action of Executive Director
The Executive Director will review the draft letter and the information relating to the transaction.
The Director may instruct the ROB Manager to obtain additional information or to revise the response to
the client.
After all aspects of the transaction have been fully considered, the Director will sign the letter of
response to the client. A copy will be placed in the client casefile.
4. Client Disagreement with the Determination of the Office
A client who disagrees with the determination may request reconsideration provided he/she is
able to provide new information about the transaction. The determination issued by the Executive
Director may not be formally appealed; however, the client may request further review by the Executive
Director.
MM#1780 Reissued 8/18/89; Revised and Reissued
3 6/1/2000; 3/15/11.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED
MANUAL SUBJECT 1790 PROCEDURES - Payments to Estates
_/s/CJB_
APPROVED
SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED
PROCEDURES
SUBJECT 1790 PAYMENTS TO ESTATES
AUTHORITY: 25 CFR 700.127, 25 CFR 700.145
POLICY
In the event of the death of an applicant with no household remaining to be relocated, the Office of
Navajo and Hopi Indian Relocation will issue relocation assistance benefits to the decedent’s estate provided
the decedent meets the entitlement requirements established by Office regulations.
• If the deceased applicant was either certified or denied and owned improvements, the Office may
acquire the improvements and issue payment to the estate pursuant to 25 CFR 700.127 or 25 CFR 700.145;
and 25 CFR 700.111 et seq. and this chapter of the Management Manual.
• If the applicant was certified and had reached a stage in the case processing during which search
expenses had been incurred, the Office will pay expense reimbursement to the estate pursuant to 25 CFR
700.151, 700.155. Cases in which search expense is the only payment to be disbursed will be handled by
the Team Leader of the branch processing the client’s relocation at the time of death.
• If death occurs after a certified applicant has signed the relocation contract but before construction
has begun, the Office will reimburse the contractor incurred costs from the client’s relocation benefit. If
house construction has begun, Relocation Operations Branch Manager (ROB Manager) will prepare a
recommendation to the Executive Director for continuing or halting house construction. The decision will
consider the feasibility of securing the partially constructed dwelling, and other circumstances peculiar to
the case. The Office will disburse the amount remaining from the client’s housing benefit to the estate, or
will assign the house to the estate, pursuant to a probate order issued by a court of competent jurisdiction.
In order for the Office to issue an estate payment there must be no surviving household requiring
relocation. A surviving household for these purposes is defined as the immediate household consisting of
spouse and/or minor children, and/or other dependents who reside with the applicant and are included as
household members on the application for relocation assistance. If there is a surviving household, cases will
be processed pursuant to Management Manual §1714 or §1746 depending upon the makeup of the family
remaining to be relocated.
Payment to an estate will be processed by the Office upon receipt of a properly executed Final Order
of Distribution issued by a court of competent jurisdiction. The Court Order will suffice as proof of
ownership of the improvements in lieu of posting the property and obtaining an Affidavit of Ownership as
is done in other cases.
MM#1790 Issued 8/14/86; Revised and Reissued
1 7/29/94; 1/31/01; 3/15/11.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED
MANUAL SUBJECT 1790 PROCEDURES - Payments to Estates
_/s/CJB_
APPROVED
PROCEDURES
1790.1 Action Required on all cases.
1. Notification of Death of an Applicant
When the Office learns of the death of an applicant (certified or denied) the staff member who
receives the information will record it on Case Narrative Form #1410.7 (or in a memo to the file) and
complete form #1714.4, “Record of Deceased Notification” and forward the file to the Team Leader. The
staff member will also request from the family a copy of the death certificate, published obituary, funeral or
memorial announcement, or other written documentation evidencing the client’s death. After review by the
Team Leader the file will be delivered to the ROB Manager who will determine the appropriate program
action to be taken, depending upon the client’s case status and individual circumstances.
When the ROB Manager has determined if the case should be closed or if there exists a household
remaining to be relocated, the file will be transferred to the Executive Director for final approval of the
proposed program action.
2. Decedent with Household Remaining to be Relocated
In the event a deceased client leaves a household remaining to be relocated, the procedures set forth
in MM#1714 or MM#1746 will be implemented, based upon the relationship of the surviving household to
the deceased. No payment to an estate will be made by the ONHIR.
3. Decedent with No Household Remaining to be Relocated
In the event the ROB Manager determines that there is no household remaining to be relocated,
and the Director has entered his concurrence, the case file will be closed. The file will be routed to the
Chief Information Officer who will enter the applicable deceased code and other relevant data on the
automated records.
4. Inquiries About Estate Payments in Cases With no Household Remaining to be Relocated
Inquiries about estate payments will be routed to the Office Legal Counsel. Legal Counsel will
inform the person making inquiries to seek legal assistance in petitioning the Navajo Nation District Court
for the appointment of an administrator/administratrix and distribution of the estate.
Legal Counsel will provide the person with copies of the Office’s regulations and procedures
governing estate payments; and advise that a copy of the case file and/or appraisal file can be made available
to the administrator/administratrix upon the submittal of a properly executed Freedom of
Information/Privacy (FOIA) request. No information from the case file or appraisal file will be released
until a FOIA/Privacy Act Request has been received by the ONHIR.
5. Receipt of Orders of Distribution
Court Orders of Distribution received by mail or delivered by hand will be date stamped and routed
MM#1790 Issued 8/14/86; Revised and Reissued
2 7/29/94; 1/31/01; 3/15/11.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED
MANUAL SUBJECT 1790 PROCEDURES - Payments to Estates
_/s/CJB_
APPROVED
to Legal Counsel, who will review the case. Legal Counsel will consult with the Executive Director as
necessary about staff action needed in order to respond to a particular order. Depending upon the type of
benefit to be distributed Director will route the Order to the appropriate Team Leader for processing, upon
completion of the initial review.
Distributions of payment for improvements will be routed to the ROB Manager for processing.
Distributions of search expense reimbursement, or distributions of benefits vested by the relocation
contract will be processed on a case by case basis according to the provisions of the Court Order, Office
operating procedures, and any special instructions of the Executive Director.
1790.2 Payment for Improvements.
1. Criteria for Issuing Cash Payment for Improvements to an Estate
In order for the ONHIR to issue payment to an estate for improvements owned by a deceased client,
the following conditions must be met:
a. Application. The decedent must have submitted a completed application for relocation
assistance benefits. If the decedent had submitted a completed application, and was pending an eligibility
determination at the time of death, further activity regarding eligibility determination may cease. An
eligibility determination will not be required in order to process the payment of appraised improvements
pursuant to a Court Order.
b. Appraisal record. The deceased applicant must be shown as the owner of improvements
according to Office appraisal records as of the date of death. If the decedent did not have an appraisal record,
the Office may honor the findings of a court of competent jurisdiction regarding the applicant’s ownership
of improvements on the Hopi Partitioned Lands. The Office will conduct an original appraisal of any
unappraised properties.
2. No Application on File
ONHIR Legal Counsel will verify that the criteria for payment are met. If the decedent had not
submitted a completed application, the Legal Counsel will inform the decedent’s legal representative that
no distribution can be processed.
Refusal to issue an estate payment in the case of a person who has not submitted a completed
application for relocation assistance benefits cannot be appealed under the Office’s administrative appeal
process.
3. Review of Appraisal File and Request for Reappraisal
Either before or after the Order of Distribution is received, the administrator/ administratrix may
contact the ROB Manager regarding the content of the appraisal file. The Manager will first verify that the
Office has received a Court Order appointing this person as administrator/administratrix of the estate and
has received a properly executed FOIA/Privacy Act Request. Upon the request of the
MM#1790 Issued 8/14/86; Revised and Reissued
3 7/29/94; 1/31/01; 3/15/11.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED
MANUAL SUBJECT 1790 PROCEDURES - Payments to Estates
_/s/CJB_
APPROVED
administrator/administratrix the Manager will review the contents of the appraisal file and if necessary, order
a reappraisal of the property.
In the event that the ONHIR had not previously obtained an Affidavit of Ownership nor posted and
advertized the improvements, the Court Order will suffice as proof of ownership. These activities will not
be required in cases where a reappraisal is performed for an estate.
4. Notice of Determination and Offer of Fair Market Value
Following receipt of the Distribution Order and reappraisal (if one is conducted) the ROB Manager
will prepare a Notice of Determination and Offer of Fair Market Value for improvements. The Notice will
be issued to the administrator/administratrix through the legal representative. The Manager will sign the
Determination of Value.
The Letter of Determination of Value will list the improvements that have been identified as
belonging to the decedent and the fair market value of each improvement which the Office is authorized to
acquire. The letter will inform the administrator/administratrix that he or she has 30 days from the date of
the letter in which to appeal the determination of value. This time period may not be waived by the
administrator/administratrix or by the Office.
In preparing the Determination the ROB Manager will verify that the improvements to be acquired
are not excluded from payment by Office regulations or procedures. Improvements excluded from payment
include, but are not limited to:
• District VI properties;
• Properties located on lands belonging to the tribe of which the applicant is a member;
• Properties for which payment has already been issued;
• Range improvement structures such as dams, artesian wells and pumps, impoundments,
corrals and loading chutes, district fence lines, etc., constructed by federal or tribal
entities on the decedent’s traditional use area.
use area.
5. Calculating the Value of Improvements
The value of the improvements is initially calculated as the date of the original appraisal. The
Boeckh Cost Modifier will be applied as of the date of the death of the applicant. The ROB Manager will
manually calculate this amount and enter it in the automated records.
6. Quit Claim to ONHIR
The ROB Manager will prepare a Quit Claim deed listing the improvements to be turned over to
the ONHIR by the estate. The Quit Claim deed will be enclosed with the Notice of Determination of Value.
Both documents will be mailed by certified mail, to the legal representative, with a cover letter requesting
MM#1790 Issued 8/14/86; Revised and Reissued
4 7/29/94; 1/31/01; 3/15/11.
MANAGEMENT SECTION 1700 RELOCATION OPERATIONS - SPECIALIZED
MANUAL SUBJECT 1790 PROCEDURES - Payments to Estates
_/s/CJB_
APPROVED
that the administrator/administratrix sign the Quit Claim deed in the presence of a notary and have the
document notarized, and return it to the Relocation Operations Branch. A pre-addressed, postage-prepaid
envelope will be enclosed for the return of the Quit Claim deed.
7. Request for Modification of Court Order
If the Court Order lists a dollar amount for the value of the improvements, the Manager will compare
it with the amount calculated by the ONHIR. If the amounts are different, the Manager will write to the
administrator/administratrix and request that the Court Order be modified to reflect the amount as calculated
by the ONHIR. The Manager will explain the reason for the difference in amount and will enclose the
Determination and the prepared Quit Claim Deed in the letter to the administrator/administratrix. The cover
letter will request that the signed and notarized Quit Claim deed be returned with the modified Court Order.
When both documents are received, and the 30 day period for appeal of the Determination of Value has
expired, the ROB Manager will prepare the Disbursement Voucher Request.
8. Appeal of Notice of Determination of Value
The administrator/administratrix disagrees with the Determination of Value, an appeal may be filed
according to Office procedures (Management Manual §1330). No payment will be issued until the appeal
is withdrawn or receives final agency action.
At the end of 30 days if no written appeal of the Determination of Value has been filed, the ROB
Manager will prepare the Disbursement Voucher Request.
9. Disbursement Voucher Request
The ROB Manager will obtain a document number and a vendor number from the Finance Branch
and enter these numbers on the Disbursement Voucher Request.
The estate payment will be issued to the administrator/administratrix who is subsequently responsible
for paying any debts of the estate and disbursing the remainder to the heirs named in the Court Order. The
Office will not issue separate disbursements to the named heirs.
The Finance Officer will order the check at the request of the ROB Manager. The check will be
payable to the administrator/administratrix to be sent to the ONHIR. When the check is received by the
office it will be sent by certified mail, return receipt requested, to either the legal representative or the
administrator/administratrix as instructed by the ROB Manager.
10. Property Disposal
Property acquired in connection with an estate payment will be turned over to the tribe of which the
decedent was not a member pursuant to the Office Property disposal procedures.
MM#1790 Issued 8/14/86; Revised and Reissued
5 7/29/94; 1/31/01; 3/15/11.
MANAGEMENT SECTION 1800 NEW LANDS PROGRAM
MANUAL SUBJECT 1810 Land Use Approvals _/s/CJB_
APPROVED
SECTION: 1800 NEW LANDS PROGRAM
SUBJECT: 1810 LAND USE APPROVALS: Rights-of-Way, Leases, and Withdrawals
AUTHORITY P.L. 99-190; P.L. 93-531 as amended by P.L. 96-305 and P.L. 100-666; legal
opinion dated June 5, 1990.
POLICY
Public Law 100-666 transferred all powers and duties of the Secretary of Interior relating to relocation
of Navajos from the Hopi Partitioned Lands, derived from P. L. 99-190, to the newly created position of
Commissioner on Navajo and Hopi Relocation. The powers and duties vested in the Commissioner include
the authority to issue withdrawals, leases, rights-of-way, and other land use approvals previously exercised by
the Secretary of the Department of Interior.
Public Law 100-666 further vested the Commissioner with sole authority for final planning decisions
regarding the development of lands acquired pursuant to P. L. 93-531, as amended, until such time as the
Commissioner has discharged his statutory responsibility under the Act.
In order to develop the New Lands for resettlement the Office of Navajo and Hopi Indian Relocation
(ONHIR) will withdraw sections of land for residential use and other purposes compatible with the master
plan and shall grant appropriate requests for rights-of-way, homesite leases, business and community services
facilities, and other purposes compatible with the plan. In general, the forms and documentation used by
ONHIR for land use approvals will be similar to those used by the Bureau of Indian Affairs and the Navajo
Nation for land use applications on the remainder of the Navajo Indian Reservation. With the exception of
homesite lease processing, described in Section MM#1810.31, land use approvals will be processed as
illustrated on Attachment MM#1810.A.
At the time of this revision of the New Lands Program procedures of the ONHIR Management
Manual, the Officer of the Commissioner is vacant. The previous Commissioner has delegated full
operational authority to the ONHIR Executive Director for the Relocation Program via an official directive
dated April 8, 1994.
1810.1 RIGHTS-OF-WAY
1810.11 Application for Right-of-Way.
General. Applications for rights-of-way (ROW) on the New Lands shall conform to the requirements
of 25 CFR 169. Applicants should refer to these regulations for comprehensive instructions regarding various
types of right-of-way applications.
Utility and road rights-of-way on the New Lands are generally requested by the agencies cooperating
with ONHIR in the development of the New Lands: BIA Branch of Roads, Indian Health Service, Navajo
Tribal Utility Authority, and Table Top Communications.
1. An agency/organization requesting a right-of-way will submit the following documents to ONHIR:
MM#1810 Approved 7/17/90; Revised and Reissued
1 6/24/91; 5/31/02; 1/26/11.
MANAGEMENT SECTION 1800 NEW LANDS PROGRAM
MANUAL SUBJECT 1810 Land Use Approvals _/s/CJB_
APPROVED
a. Application for Right-of-Way, ONHIR Form MM#1810.1.
b. Map of Definite Location: Two mylars and six blue line copies of the map for the
proposed right-of-way. The map must contain an affidavit executed by the engineer or registered surveyor
who made the survey and a certificate executed by the applicant, both certifying to the accuracy of the survey
and maps. All submissions must have original signatures.
c. Legal Centerline Description: Narrative description of the legal centerline will be included
on the map or attached to it. The description will give the total length and acreage and the width of the right-
of-way.
d. Archeological Survey and Clearance: Three copies of the archeological survey and
clearance document. Consultation on this document must have been completed with the Arizona State
Historic Preservation Office (SHPO) and the Navajo Nation Tribal Historic Preservation Office (NNTHPO).
Concurrence on the lead agency's recommendations must have been obtained from the NNTHPO.
e. Appraisal: Three copies of an appraisal of the real property to be attached. Appraisal
should reflect values of property for the term of the right of way.
f. Environmental Assessment: Three copies of an Environmental Assessment to be attached.
Document should be prepared in consultation with the Navajo Nation.
1810.12 Initial Review by ONHIR.
The ONHIR New Lands Manager will review the completed application for content and conformity
to the master development plan for the New Lands. If the Manager determines that there are problems with the
submission, the document(s) in question will be returned to the applicant to be completed or corrected.
1810.13 Review by Navajo Area Office, the Nahat’a’ Dzill Chapter, and the Navajo Nation.
1. After completing the initial review, the Manager will send one complete set of the ROW
application documents to the Nahat’a’Dzill Chapter, BIA Navajo Area Office Branch of Real Property
Management, Window Rock; and the Navajo-Hopi Land Commission Office, Window Rock.
2. The application will be sent certified mail. The BIA, Nahat’a’Dzill Chapter, and the Navajo
Nation shall have thirty (30) days to review and comment on the proposed right-of-way.
3. The New Lands Manager will request written responses from the Nahat’a’Dzill Chapter, Navajo
Area Director of the BIA, and the Navajo Nation President, or designee, regarding their review of the ROW
submission. The Manager will respond to any concerns of a technically valid nature which are raised by any
of these parties.
1810.14 Final Approval by ONHIR.
1. After the thirty (30) day period has expired, and/or negotiations about concerns of a technical
nature have been resolved, the Manager will assign a project number and prepare the Grant of Easement for
Right-of-Way, Form MM#1810.2, for the Commissioner's signature.
MM#1810 Approved 7/17/90; Revised and Reissued
2 6/24/91; 5/31/02; 1/26/11.
MANAGEMENT SECTION 1800 NEW LANDS PROGRAM
MANUAL SUBJECT 1810 Land Use Approvals _/s/CJB_
APPROVED
2. The New Lands Manager will attach Form MM#1810.2 Attachment A, ONHIR Land Clearing,
Excavation and Reclamation Stipulations for Rights-of-Way to the grant document. This attachment sets forth
stipulations developed by the Navajo Area Office for grantees constructing rights-of-way on the Navajo
Reservation, and has been adopted by the ONHIR for ROW construction on the New Lands.
3. The grant award document and map will be forwarded to the Commissioner on the Navajo and
Hopi Indian Relocation for approval and signature.
1810.15 Title Registration and Distribution of Approved ROW
1. Following the Commissioner's approval, the Manager will prepare U.S. GPO form 1988-576-720-
85119 to register the right-of-way with the Southwest Regional Land Titles and Records Office (SWRLTRO).
2. The Manager will retain the white copy (3rd copy) of the registration form and will attach the pink
and yellow copies (1st and 2nd copies) to the documents being transmitted. The ONHIR will attach one
original and two copies of the right-of-way map to the registration form.
3. The documents will be sent by certified mail.
4. The SWRLTRO will process the land title registration and will retain the original map, unless
ONHIR requests its return. The SWRLTRO will return the yellow copy of the completed registration form to
the ONHIR. When the documents are received, the New Lands Manager will make copies and file the
originals with ONHIR records on the right-of-way.
5. The New Lands Manager will send complete sets of all documents and a copy of the SWRLTRO
registration form to the Nahat’a’Dzill Chapter, the BIA Navajo Area Office Branch of Real Property
Management; and to the Navajo-Hopi Land Commission.
1810.2 LAND WITHDRAWALS
General. Land withdrawals will be initiated by ONHIR in order to develop residential subdivisions
and other New Lands areas in accordance with the master plan.
Land withdrawals may also be prepared and processed by ONHIR on behalf of New Lands residents,
the Navajo Nation, or other entity requiring use of an area of the New Lands which is compatible with the
master plan. In this case, the New Lands Manager will require the requesting party to submit a resolution
from the Nahat'a' Dziil Chapter supporting the withdrawal, and may require the requesting party to obtain a
legal survey and archaeological assessment of the area to be withdrawn.
Residential subdivisions will be the most common type of land withdrawal issued by the ONHIR.
Other types of withdrawals may include land withdrawn for the construction of community service facilities,
recreational facilities, commercial/industrial facilities, agricultural purposes, and religious activities.
1810.21 Preparation of Land Withdrawal Documentation.
1. Documentation required for land withdrawals will be obtained or prepared by technical staff of the
New Lands Branch. The legal description will be furnished to the ONHIR by the party requesting the
MM#1810 Approved 7/17/90; Revised and Reissued
3 6/24/91; 5/31/02; 1/26/11.
MANAGEMENT SECTION 1800 NEW LANDS PROGRAM
MANUAL SUBJECT 1810 Land Use Approvals _/s/CJB_
APPROVED
withdrawal. Legal descriptions will identify the perimeter boundaries of the land to be withdrawn and will
show as applicable the locations of all roads, utility corridors and lease boundaries within the area.
2. The withdrawal plat will include the title of the proposed withdrawal. It will contain the following
signature blocks:
a. Applicant's Certificate, setting forth the title and authority of the applicant. This block will
generally be signed by the New Lands Manager.
b. Dedication and Approval (by Commissioner in lieu of Navajo Nation) to be signed by the
Executive Director of ONHIR as delegated by the Commissioner.
c. Bureau of Indian Affairs Approval, to be signed by the Area Director, Navajo Area Office.
Pursuant to the letter issued to the ONHIR New Lands Manager by the Acting Assistant Area Director, NAO,
dated May 29, 1991, this signature is not required. However, ONHIR will request technical review and
approval by the NAO prior to final approval of the withdrawal by the Commissioner on the Navajo and Hopi
Indian Relocation.
3. The New Lands Manager will obtain archaeological clearance documents for the land proposed for
withdrawal.
4. Pursuant to P. L. 93-531 as amended by P. L. 96-305, the ONHIR is exempt from the provisions of
the National Environmental Policy Act of 1969.
5. When the withdrawal plat, archaeological documents, and all related materials have been
assembled, the New Lands Manager will sign the Applicant's Certificate on the original mylar and will
prepare the withdrawal for review by the BIA and the Navajo Nation.
1810.22 Review by Navajo Area Office, the Nahat’a’Dzill Chapter, and the Navajo Nation
1. The New Lands Manager will send the original mylar and three copies of the plat, plus two copies
of the archaeological survey and clearance documents and any relevant related documentation to the BIA
Navajo Area Office Branch of Real Property Management, Window Rock.
2. Concurrent with the review by the NAO, the Manager will provide three copies of the plat plus two
copies of the archaeological survey and clearance documents and any relevant related documentation to the
Nahat’a’Dzill Chapter, and the Navajo-Hopi Land Commission Office, Window Rock.
3. The withdrawal plat and documents will be sent certified mail. The BIA, Nahat’a’Dzill Chapter,
and the Navajo Nation, shall have thirty (30) days to review and comment on the proposed withdrawal.
4. The New Lands Manager will respond to any concerns of a technically valid nature which are
raised by the BIA, the Chapter, or the Nation during the comment period.
5. The ONHIR will request the BIA Navajo Area Director to sign the specified approval block on the
plat prior to returning it; however, approval by the Area Director is not required for title registration following
ONHIR approval.
MM#1810 Approved 7/17/90; Revised and Reissued
4 6/24/91; 5/31/02; 1/26/11.
MANAGEMENT SECTION 1800 NEW LANDS PROGRAM
MANUAL SUBJECT 1810 Land Use Approvals _/s/CJB_
APPROVED
1810.23 Final Approval by ONHIR.
1. After the thirty (30) day period has expired, and/or negotiations about concerns of a technical
nature have been resolved, the New Lands Manager will assign a project number and prepare the withdrawal
for the Commissioner's signature.
2. The plat will be forwarded to the Commissioner on Navajo and Hopi Relocation for approval and
signature.
1810.24 Title Registration and Distribution of Approved Land Withdrawal.
1. Following the Commissioner's approval, the Manager will prepare U.S. GPO form 1988-576-720-
85119 to register the withdrawal with the Southwest Regional Land Titles and Records Office.
2. The Manager will retain the white copy (3rd copy) of the registration form and will attach the pink
and yellow copies (1st and 2nd copies) to the documents being transmitted. The ONHIR will attach the
original and two copies of the withdrawal plat to the registration form.
3. The documents will be sent registered mail.
4. The SWRLTRO will process the land title registration and will return the original plat and the
yellow copy of the completed registration form to the ONHIR. When the documents are received, the
Manager will make copies and file the originals with ONHIR records on the withdrawal.
5. The New Lands Manager will send complete sets of all documents and a copy of the SWRLTRO
registration form to the BIA Navajo Area Office Branch of Real Property Management; the Nahat’a’Dzill
Chapter, and to the Navajo-Hopi Land Commission.
6. The Land Use Manager will also send a copy of the approved plat to the Apache County Recorder
in St. Johns, Arizona, for recording in said county.
1810.3 LEASES
General. Individuals and entities wishing to lease an area of land within the boundaries of the New
Lands shall apply to the Office of Navajo and Hopi Indian Relocation. The applicant shall submit the
application forms and supporting documents required by ONHIR for the type of lease identified by the
applicant. Types of leases which the Office may grant upon receipt of properly executed documentation
include, but are not limited to: homesite leases, commercial leases, mineral leases, industrial leases, and
leases to non-profit entities such as religious, educational, community service, and governmental agencies and
organizations.
1810.31 Homesite Leases.
General. Guidelines for eligibility for residential homesite leases in the rural community and in the
range units are set forth in MM#1820.
1. Homesite Lease Application Form. The Office of Relocation will utilize Navajo Nation Forms
200-65, revised 1993 pursuant to resolution of the Navajo Nation Council Resources Committee RCD-289-93.
MM#1810 Approved 7/17/90; Revised and Reissued
5 6/24/91; 5/31/02; 1/26/11.
MANAGEMENT SECTION 1800 NEW LANDS PROGRAM
MANUAL SUBJECT 1810 Land Use Approvals _/s/CJB_
APPROVED
(ONHIR Form MM#1810.3)
2. Obtaining a Homesite Lease Application. While the clients are in the counseling phase, the
Relocation Specialist will obtain a completed homesite lease application from clients who want to move to the
Rural Community or one of the range units. Two forms are required: the Homesite Lease Application Form
and the Eligibility Requirements form.
a. Homesite Lease Application Form. The Relocation Specialist or client will fill out the top
of the form with the client(s) name(s), census number(s), age(s), address, and phone number (if applicable).
The New Lands Branch will complete the lower portion of the form. The names and census numbers must
match exactly the names and census numbers on the clients' CIB forms.
b. Eligibility Requirements. The client(s) must sign the second page of the Eligibility
Requirements form next to the "X". ONHIR staff should sign on the witness line and date the applications if
they assist the client(s). Two witnesses are required for thumbprints, and each witness can sign on the lines
provided. Pages with signatures or other information which has been whited out are not acceptable.
3. CIB and Money Order. A Certificate of Indian Blood (CIB) for each applicant and money order
for $15 must be attached to each application.
4. Action by ROB/Homesite Lease. The Relocation Specialist will submit the completed homesite
lease application to the Relocation Operations Homesite Lease Specialist for review and data entry. Within
two days of receipt of the completed lease, the Specialist will check that the client(s) have no other leases in
process; or that prior leases have been relinquished, assigned or retained according to ONHIR and Navajo
Nation procedures. The Specialist will perform data entry of the actual relocation site and lot number (999 for
undeveloped units). After data entry has been performed, the Specialist will route the file to the New Lands
Branch.
5. Action of the New Lands Manager. Homesite lease applications will be routed to the Manager
who will review the applications for accuracy and completeness. The Manager will check the automated file
to verify that the location and lot number have been recorded. If approved, the Manager will deliver the Lease
to the IS Specialist The Officer will make the appropriate data entries in the automated records and return the
lease to the Homesite Lease Specialist.
6. Field Clearance Certification for Homesite Lease Application. The Field Clearance Form is part
of the package of forms required by the Navajo Nation. The Homesite Lease Specialist will prepare the form
for the signature of the New Lands Manager who will sign the form instead of the local grazing official or
farm board member. Signature by the New Lands Manager shall constitute ONHIR’s approval of the
homesite lease.
Since the New Lands are not part of the traditional land use system of the Navajo Nation, names of
grazing/land use permittees will not be listed. Instead, the Manager will cite P. L. 100-666, as derived from P.
L. 99-190; which is the statutory authority vesting responsibility for New Lands development in the ONHIR
Commissioner.
7. Submittal to NLD Upon the return of the documents from the IS Specialist the Homesite Lease
Specialist will forward the Application for New Lands Homesite Lease and the New Lands Homesite Lease
to the Navajo Land Department in Window Rock, Arizona. When the homesite lease has been approved by
the NLD the original lease, along with the survey plat, will be returned to the Homesite Lease Specialist.
MM#1810 Approved 7/17/90; Revised and Reissued
6 6/24/91; 5/31/02; 1/26/11.
MANAGEMENT SECTION 1800 NEW LANDS PROGRAM
MANUAL SUBJECT 1810 Land Use Approvals _/s/CJB_
APPROVED
8. Approval by ONHIR. The Homesite Lease Specialist will review the lease documents for
completeness and forward them to the New Lands Manager for final review prior to delivery to the Executive
Director for signature. When the lease has been signed by the Executive Director, the Homesite Lease
Specialist will forward the original homesite lease to the Southwest Regional Land Title and Records Office
for recording. After processing and recording, the SWRLTRO will return the originals to the ONHIR. Upon
receipt, the Homesite Lease Specialist will distribute the original and copies of the approved homesite lease as
follows:
a. Navajo Area Office. One copy with original signatures will be retained by the NAO
Branch of Real Estate Services.
b. Navajo Land Department (NLD). One copy with original signatures and a copy of the
survey plat will be routed to NLD.
c. Client. One copy with original signatures will be issued to the client for their records.
d. ONHIR Records. One copy of the lease with original signatures, and the original survey
plat, will be retained by the ONHIR for Office records.
1810.32 Non-Profit Leases
1810.321 Preliminary Letter of Application.
1. An individual or entity wishing to obtain a lease in order to conduct a non-profit enterprise on the
New Lands shall submit a letter of application to the New Lands Manager.
2. The letter shall contain the following information:
(1) Identification of applicant: name, address, business location and phone, name under which
applicant conducts the enterprise.
(2) Description of the activity proposed: profit or non-profit, type of business or service,
anticipated clientele, anticipated type and number of employees, anticipated hours of
operation, and anticipated revenues.
(3) Proposed location of activity, approximate amount of acreage required, including description
of road, rail, or air access to the lease site.
(4) Applicant’s prior experience with such enterprise.
(5) Requested duration of lease, proposed start date for construction (if applicable) and proposed
start date of enterprise.
(6) The reasons why the applicant wishes to establish the enterprise on the New Lands, and
projected benefits to the residents of the New Lands and vicinity.
3. Upon receipt of a letter of application the New Lands Manager will review the request in terms
of the comprehensive development plans for the New Lands and the qualifications of the individual or
organization requesting the lease. The Manager may require the applicant to submit additional information
MM#1810 Approved 7/17/90; Revised and Reissued
7 6/24/91; 5/31/02; 1/26/11.
MANAGEMENT SECTION 1800 NEW LANDS PROGRAM
MANUAL SUBJECT 1810 Land Use Approvals _/s/CJB_
APPROVED
prior to making a decision on the request.
4. The Manager will inform the applicant in writing of the Office's decision. If the application is
denied, the Manager will inform the applicant of the reasons.
1810.322 Terms and Conditions of the Lease.
1. After approving the preliminary lease application, the New Lands Manager will negotiate the
specific terms of the lease with the applicant.
2. The applicant will be required to submit additional documentation as appropriate for the nature of
the enterprise. Documentation may include:
(1) Identification of lease site:
* Vicinity map
* Legal Description
* Total acres of site.
(2) Site plan:
* Access to site
* Traffic circulation within site
* Parking (parking spaces/square footage of building area)
* Location of building on site
* Landscaping
* Location and size of signage
(3) Building plan:
* Architectural drawing of building
* Total square footage of building
* Statement that the building will meet all applicable building and safety codes.
* Statement of proposed insurance coverage, including liability coverage.
(4) Operational plan:
* Description of the activities that will take place on the lease site
* Total number of employees or personnel
* Hours of operation
* Warehousing requirements
* Anticipated level and type of vehicular traffic
* Anticipated utility requirements
* Liquid waste type, amount and disposal plan
* Solid waste type, amount and disposal plan
(5) Demonstration of financial capabilities for commercial and industrial enterprises:
* Outline of capital investment needs
MM#1810 Approved 7/17/90; Revised and Reissued
8 6/24/91; 5/31/02; 1/26/11.
MANAGEMENT SECTION 1800 NEW LANDS PROGRAM
MANUAL SUBJECT 1810 Land Use Approvals _/s/CJB_
APPROVED
* Working capital needs
* Verification of loans or savings available for investment
* Articles of incorporation
* Surety bond
* Evidence of authority to execute documents
(6) For Tribal, State, and Federal Governmental Branch Offices and Service Agencies:
* Inter-agency Memorandum of Understanding
* Articles of Incorporation
* IRS determination of non-profit status
3. If the lease requires land to be withdrawn for the location of the enterprise, the ONHIR will
undertake land withdrawal according to the procedures in MM#1810.2.
4. If the enterprise requires new construction or remodel and renovation of an existing facility, the
lessee may be required to obtain and/or pay the costs for an environmental impact assessment and a cultural
resources assessment.
5. The lessee may not sub-lease the activity, nor sub-lease the facilities which it occupies, without
prior approval of ONHIR. Buildings and related facilities constructed pursuant to the terms of the lease shall
become the property of the lessor.
6. The New Lands Manager may require the lessee to obtain a resolution from the Nahat'a' Dziil
Chapter or other community component, demonstrating the community's support of the proposed activity.
7. The New Lands Manager will determine the duration of the lease and lease fee, royalty, or
percentage of gross or net revenue to be paid by the lessee. The lessee will be required to make the records
of the enterprise available to ONHIR for inspection upon request; and may be required to have an annual
audit performed on the accounts of the enterprise.
1810.323 Executing the Lease.
1. The ONHIR Legal Counsel will draft the lease agreement with technical assistance as needed
from the New Lands Branch. The lease will include terms for cancellation and for renewal of the lease.
2. Prior to final approval by the Commissioner, the New Lands Manager will send copies of the
lease with related documents to:
a. The BIA Navajo Area Office Branch of Real Property Management, Window Rock.
b. The Navajo-Hopi Land Commission Office, Window Rock.
c. The Nahat’a’Dzill Chapter, or
d. Any additional interested party who may be so designated by the New Lands
Manager.
3. The lease and related documents will be sent by certified mail. The noticed parties (a thru d
above) will have thirty (30) days within which to review and comment on the proposed lease.
MM#1810 Approved 7/17/90; Revised and Reissued
9 6/24/91; 5/31/02; 1/26/11.
MANAGEMENT SECTION 1800 NEW LANDS PROGRAM
MANUAL SUBJECT 1810 Land Use Approvals _/s/CJB_
APPROVED
4. The New Lands Manager will consider comments received from the BIA, Chapter, the Nation, or
designated interested party, during this period, and may modify the agreement accordingly.
5. After the review period has expired, the New Lands Manager will finalize the lease agreement
(four original copies) and forward it to the Lessee for Signature.
6. When the executed lease (four original copies) has been returned to the ONHIR by the Lessee,
the New Lands Manager will submit the lease to the Commissioner of the Office of Navajo and Hopi Indian
Relocation for approval and signature.
1810.324 Title Registration and Distribution of Approved Lease.
1. Following the Commissioner's approval and signature, the Manager will prepare U.S. GPO form
1988-576-720-85119 to register the lease with the Southwest Regional Land Titles and Records Office.
2. The Manager will retain the white copy (3rd copy) of the registration form and will attach the
pink and yellow copies (1st and 2nd copies) to a copy of the lease. The documents will be sent certified
mail.
3. The SWRLTRO will process the lease registration and return the original documents and the
yellow copy of the completed registration form to the ONHIR. When it is received, the New Lands
Manager will make copies and file the original copy with ONHIR records on the lease.
4. The New Lands Manager will send complete sets of the lease documents and a copy of the
SWRLTRO registration form to the BIA Navajo Area Office Branch of Real Property Management, the
Nahat’a’Dzill Chapter, and to the Navajo-Hopi Land Commission.
5. The New Lands Manager will also send a copy of the approved lease to the Apache County
Recorder, St. Johns, Arizona, for recording in said county.
1810.325 Business, Commercial, Industrial and Mineral Leases
1. An individual or entity wishing to obtain a lease in order to conduct a for-profit enterprise on the
New Lands shall do the following:
(1) Identify the appropriate department of the Navajo Nation for consultation (for example,
Economic Development or Minerals Department.)
(2) Develop a lease with the Navajo Nation as Lessor and the Office of Navajo and Hopi Indian
Relocation as a concurring party prior to execution of the lease.
(3) Execute the lease following Navajo Nation policy and procedure.
(4) Provide copies of all documents to the ONHIR.
2. In the event the Navajo Nation requests the ONHIR to be the Lessor, the applicant will work
with the ONHIR to develop a lease with the Navajo Nation as a concurring party.
MM#1810 Approved 7/17/90; Revised and Reissued
10 6/24/91; 5/31/02; 1/26/11.
MANAGEMENT SECTION 1800 NEW LANDS PROGRAM
MANUAL SUBJECT 1820 Client Pre-Move Activity _/s/CJB__
APPROVED
SECTION: 1800 NEW LANDS PROGRAM
SUBJECT: 1820 PRE-MOVE COUNSELING, HOMESITE SELECTION
AND HOUSING ACQUISITION
AUTHORITY P.L. 93-531 as amended by P.L. 96-305 and P.L.
100-666; P.L. 99-190; legal opinion dated June 5,1990; Policy Memorandum
#2, dated October 30, 1991.
POLICY
The Office of Navajo and Hopi Indian Relocation shall develop and administer the New Lands
acquired pursuant to P.L. 93-531, as amended, until relocation under the Office's plan is complete; at
which time political and administrative authority shall be transferred to the Navajo Nation in accordance
with the agreements developed to accomplish that transfer.
REQUIREMENTS ASSOCIATED WITH NEW LANDS RELOCATION
1. Rural Community Any certified eligible head of household who is awaiting relocation is
eligible to select a homesite lease in the rural community.
2. Range Unit
a. Carrying Capacity Settlement on a range management unit is governed by the number
of grazing permits which can be issued for the unit. Prior to settlement of the range units, the ONHIR
determined the maximum number of permittees which each unit could support, based upon minimum
carrying capacity of 80 SUYL per permit.
b. Identification of Eligible Permittees The ONHIR will maintain a list of clients who
are eligible for a New Lands grazing permit according to the criteria set forth in 25 CFR 700.709 and
700.711. All eligible individuals have been notified of their eligibility (hand delivery of notices to all
eligible persons October, 1990 and subsequent interviews with clients and non-applicants). These
individuals shall be awarded a grazing permit in their preferred range unit (provided space is still
available) upon submitting an application for a grazing permit and an application for a homesite lease in
the unit. A permittee must live in the residential subdivision of the range management unit where they
want to graze.
Clients who are not on the ONHIR list of eligible permittees who believe they should be
included, will be referred to the New Lands Manager. The Manager shall investigate and respond to the
claim according to MM#1846.
c. Sponsorships Permittees may sponsor other individuals who are certified eligible
heads of household awaiting relocation to move to the same range unit. The permittee must sign the
relocation contract before sponsored family members may sign relocation contracts.
d. Discretionary Permits Individuals eligible for New Lands grazing permits have the
exclusive right to the award of a grazing permit for a specific period of time. The ONHIR will determine
when the period for the award of preferential permits will close and will publish the date. After this
period, the ONHIR may issue discretionary permits on the New Lands in order to facilitate relocation.
MM#1820
Issued 12/13/96; Revised/Reissued 3/7/01;
5/31/2002; 5/24/11.
-1-
MANAGEMENT SECTION 1800 NEW LANDS PROGRAM
MANUAL SUBJECT 1820 Client Pre-Move Activity _/s/CJB__
APPROVED
At that time, individuals whose names are on the list of eligible permittees may compete for available
permits on a first-come, first-served basis with applicants who meet eligibility criteria for discretionary
permits. Discretionary Grazing Permit Procedures can be found at MM§1860.
PROCEDURES
1821 INFORMATION ABOUT NEW LANDS DEVELOPMENT
General Staff of the New Lands Branch will keep other ONHIR offices informed of
development activities as they impact client case processing. The Relocation Specialist will provide the
clients with information about the New Lands and procedures for selecting a rural community or range
unit homesite lease and applying for a grazing permit. Relocation Specialists who are working with
permittees moving to range units will coordinate closely with range staff on client involvement in range
management plans, issuance of grazing permits, and livestock hauling.
1. New Lands Branch The New Lands Manager, and other New Lands staff as appropriate, will
provide periodic briefings to other branches of the Office regarding development activity. Staff of the
New Lands Branch will perform data entry in the automated files of grazing permit approvals in order to
assure that permittee information available through the computer is up-to-date. New Lands staff will
coordinate/cooperate with the Relocation Operations Branch in arranging and conducting client tours of
the New Lands.
The New Lands Manager will keep the other branches of the agency informed of the anticipated
development schedule for the range units; and for initial and expansion residential subdivisions. The
New Lands Manager will provide periodic updates of maps of the residential subdivisions showing
homesites assigned and available. The maps will also show street names and lot numbers, utilities, and
access routes.
New Lands staff will prepare briefing papers on the subjects which are presented to clients
during the New Lands tours. The briefing papers cover the following subjects:
(1) Community Development
(2) Counseling/Advocacy Services
(3) Range Management
(4) Homesite Lease Requirements and Processing
2. Relocation Operations Branch. Each Relocation Specialist will contact the New Lands staff
member responsible to get the information answered Information which the Relocation Specialist may
request shall include:
- 25 CFR Part 700 Subpart Q (New Lands Grazing Regulations), and basic information about the
range management system and moving livestock to the New Lands.
- eligibility requirements for a grazing permit and a homesite lease and the process for selecting
and applying for a New Lands grazing permit and homesite lease.
MM#1820
Issued 12/13/96; Revised/Reissued 3/7/01;
5/31/2002; 5/24/11.
-2-
MANAGEMENT SECTION 1800 NEW LANDS PROGRAM
MANUAL SUBJECT 1820 Client Pre-Move Activity _/s/CJB__
APPROVED
-information in the automated files which is available client file inquiry (New Lands Range/
Permit Inquiry) and reports. (New Lands Query Reports.)
-the most recent maps of the rural community and range units distributed by the New Lands
Manager.
-information about the school system and vocational education opportunities on the New Lands;
health, social service, police, and fire services on the New Lands.
3. Information Systems The following information on actual and potential New Lands clients is
available in the automated records.
a. Client File Data The Client/Member Master file provides information about a client's
eligibility for a New Lands grazing permit. Information is also available about a client's preferred and
actual relocation site; and if a client selects a New Lands lot or applies for a grazing permit, this
information is entered in the Client Master file.
b. Reports Reports available include Range Availability Status, showing the number of
permits and leases granted and available in each range unit and leases granted and available in the rural
community; and the New Lands Settlement reports, listing all clients who have moved to the New Lands
by relocation site.
c. Inquiry In addition to the Client/Member Master File inquiry, the New Lands
Range/Permit Inquiry lists all clients who have moved to a range unit, and the number of lots and permits
still available in the unit.
4. Printed and Audio-Visual Material The New Lands Branch has produced an illustrated
brochure on the New Lands and publishes a bimonthly newsletter about New Lands activities. The
ONHIR has produced a video tape about the New Lands which focuses on range unit information. The
Nahat'a'dziil Resource Directory is updated annually. Other published material may be issued from time
to time. The Relocation Specialists will provide clients with written materials and arrange for them to
view the video tape. They will inform clients of any information which is out-of-date and new
developments which have occurred since the material was prepared.
1822 NEW LANDS TOURS
General The ONHIR will sponsor tours of the New Lands for clients in SC status who are
interested in moving there. Tours may be arranged for large groups or for individual clients (see Search
Expense procedures, MM#1750). The content of the tours will be tailored to the interests of the clients
who are participating. Clients will be asked to evaluate the tour after it has concluded.
1822.1 Actions of the Relocation Operations Branch
1. Request for Tour. The request for a New Lands tour originates in the Relocation Operations
Branch. The Relocation Specialist will inform the Relocation Operations Team Leader verbally or via
memo that client(s) want to go on a New Lands Tour.
2. Relocation Operations Branch Coordination Issues The Relocation Specialist and Team
Leader will discuss any Relocation Branch coordination issues (coordinating with another Relocation
MM#1820
Issued 12/13/96; Revised/Reissued 3/7/01;
5/31/2002; 5/24/11.
-3-
MANAGEMENT SECTION 1800 NEW LANDS PROGRAM
MANUAL SUBJECT 1820 Client Pre-Move Activity _/s/CJB__
APPROVED
Specialist who has clients wanting a tour; motel/meal accommodations; work schedule conflicts). All
issues requiring coordination of Relocation Branch staff will be identified and resolved before the New
Lands staff are contacted about tour arrangements.
3. Client Requirements The Relocation Specialist will find out when the client wants to take the
tour and if there are possible alternate dates. The Relocation Specialist will find out what family
members will participate in the tour, and what they want to see and learn about. After working out the
details of the tour with the clients, the Relocation Specialist will fill out the Client Profile for New Lands
Tour, Form MM#1820D.
4. Arranging the Tour With New Lands Staff The Relocation Specialist will print the Client
Profile for New Lands Tour on P4, which is located in the office of the New Lands Administrative
Assistant in Sanders. The Relocation Specialist will also phone the Assistant to discuss tour
arrangements. The Relocation Specialist will let the Assistant know if the client wants the full tour
presentation or just written or verbal information on a particular subject.
a. The Relocation Specialist will provide the New Lands staff with two to three weeks notice. If
the client requests a tour on short notice, staff will endeavor to arrange the tour the client wants, but the
Relocation Specialist will inform the client that they may not get their first choice on Profile menu items.
b. The Relocation Specialist will let the New Lands Administrative Assistant know if alternate
dates are available.
c. The Relocation Specialist may request the presence of specific New Lands staff members on
the tour but if the requested staff person is not available, another staff member who is knowledgeable
about the subject is acceptable as a substitute.
d. If the client wants to cover more subjects than time and/or staff availability allow, the
Relocation Specialist will plan for an additional day or a second tour.
1822.2 Actions of the New Lands Branch
1. Arranging the Tour The New Lands Administrative Assistant will arrange the tour with other
New Lands offices and/or cooperating agencies, and prepare an agenda based upon what the clients want
to see and do on the tour. New Lands staff will be responsible for presenting any talks which are
scheduled and presenting information during tours of the residential sites, range units, and other
locations.
If the client is interested in visiting/learning about the Sanders school system, the Assistant will
contact the Community Relations Coordinator for the Sanders Unified School District. The Coordinator
will arrange the school tour and/or have a packet of material available for the client.
2. Agenda Within three days of receiving a request for a tour, the New Lands Administrative
Assistant will prepare a written agenda which states:
(1) subject/activity to be presented
(2) location of presentation
(3) time of presentation
(4) names of the New Lands presenter(s), with alternate in the event the presenter is
not able to be present at the last moment.
MM#1820
Issued 12/13/96; Revised/Reissued 3/7/01;
5/31/2002; 5/24/11.
-4-
MANAGEMENT SECTION 1800 NEW LANDS PROGRAM
MANUAL SUBJECT 1820 Client Pre-Move Activity _/s/CJB__
APPROVED
When the agenda is ready, the New Lands Administrative Assistant will fax it to the ROB
Administrative Assistant who will deliver it to the Relocation Specialist.
a. Evening Meetings. The New Lands Administrative Assistant will find out if there
are any evening meetings or other activities taking place on the New Lands that the client can attend
while on the tour, and let the Relocation Specialist know about them. The Relocation Specialist will find
out if the client is interested and will let the Assistant know.
b. Last Minute Changes If there are any last minute changes on either the Specialist’s
end or the New Lands end, they must be brought to the other branch’s attention immediately.
1822.3 Other Issues.
1. Clients Who Want to Select a Site Without Taking Tour A client may want to apply for a
New Lands homesite lease and select a site without taking a tour. The Relocation Specialist will
encourage the client to take a tour, even though they may be familiar with the New Lands. If the client
declines to take a tour, the Relocation Specialist will document the client's reasons in a memo to the file
and proceed with the lease application and site selection appointment.
2. Clients With HPL Grazing Permits The Relocation Specialists who are working with clients
who hold HPL grazing permits must make it clear to the clients that the HPL permit lapses when they
relocate. If they move to a New Lands range unit, they will receive a new grazing permit. If they move
to the NPL or elsewhere on the reservation, their grazing rights cease. The old HPL permit cannot be
transferred to another person or another location.
1822.4 Activities on the Tour
1. Responsibilities of the Relocation Specialist The Relocation Specialist will bring the clients
to the pre-determined location on the New Lands at the designated time. The Relocation Specialist will
be responsible for transporting the clients from one activity to the next and staying with the clients during
the activity. If the schedule changes and the Relocation Specialist and clients aren't able to get to an
activity on time, the Relocation Specialist will try to let the New Lands Administrative Assistant and the
New Lands presenter know.
2. Presence of Staff Members Both the Relocation Specialist and the New Lands staff
member conducting the presentation should be present during the activity even if they don't have a lead
role.
3. Radio Communications The radios in the vehicles can be set on channel 2 and used as an
intercom system. If more than one vehicle is being used, the Relocation Specialist will make sure that
the information being provided by the New Lands staff member riding in one vehicle can be heard in the
other vehicle.
4. Cellular Phones Cellular phones are available for checkout by staff. In order for a Relocation
Specialist to be contacted by phone during the tour, the Relocation Specialist must provide the New
Lands office with the phone number, activate the phone, and set it to the New Lands frequency (channel
1.)
MM#1820
Issued 12/13/96; Revised/Reissued 3/7/01;
5/31/2002; 5/24/11.
-5-
MANAGEMENT SECTION 1800 NEW LANDS PROGRAM
MANUAL SUBJECT 1820 Client Pre-Move Activity _/s/CJB__
APPROVED
5. Children on Tours If there are young children present, particularly during a lecture-type
session, the Relocation Specialist will make sure there are toys to keep them occupied and/or someone
watching the children. Toy packages acquired for use of children on tours will be kept at the Sanders
office.
6. Written Information The New Lands Manager or designee will put together packets of
information for distribution to tour participants. Materials provided will depend upon the interests of the
group.
1822.5 Evaluation and Follow-Up
1. Client Evaluation Form At the end of the tour, the Relocation Specialist will ask the client to
fill out the New Lands Tour Evaluation Sheet, Form MM#1820E. The Relocation Specialist will collect
the forms and will make copies for the New Lands Manager and the Relocation Operations Branch
Manager.
2. Follow-up Visit to Client's Home At the end of the tour the Relocation Specialist will ask the
client if they would like a New Lands staff person to make a follow-up visit to their home on the HPL or
reservation. If so, the Relocation Specialist will contact the New Lands staff member and will set up the
meeting. The Relocation Specialist will notify the client about the date and time. The Relocation
Specialist will be present at the follow-up meeting.
3. Client Decision About Moving to the New Lands If the clients decide not to move to the New
Lands after they have been on a tour, the Relocation Specialist will ask the client about the reasons for
their decision and will provide feedback to New Lands staff about the client's reasons.
4. Resolving Inter-Branch Problems If problems occur during the tour due to staff failure to
follow these procedures, or problems in communication or follow-through, the Relocation Specialist or
New Lands staff member who is aware of the problem(s) will bring them to the attention of the
Relocation Operations Branch Manager or New Lands Manager as appropriate, within three days of the
completion of the tour. The Relocation Operations Branch Manager or New Lands Manager will bring
the problem(s) to the attention of the leader of the other branch for prompt resolution.
1822.6 Accommodations
1. Responsibility for Making Lodging/Meal Accommodations The Relocation Specialist will be
responsible for making arrangements for overnight and meal accommodations.
2. Lot Selection If a client is going to the New Lands to pick a lot either on a tour or on their
own, the Homesite Specialist will make arrangements for the Engineering Technician to meet the client.
If the Relocation Specialist is not going out to the New Lands with the client, the Engineering Technician
will sign the meal receipts.
3. Expense Reimbursement. If a client shows up at the New Lands and wants travel and
accomodation reimbursement without prior approval, the Relocation Operations Branch Manager will
have to determine if the trip was justified.
MM#1820
Issued 12/13/96; Revised/Reissued 3/7/01;
5/31/2002; 5/24/11.
-6-
MANAGEMENT SECTION 1800 NEW LANDS PROGRAM
MANUAL SUBJECT 1820 Client Pre-Move Activity _/s/CJB__
APPROVED
1823 PROCESSING RANGE UNIT MOVES
General Clients who want to move to a New Lands range unit will be processed as extended
family groups with the permittee being the critical member of the group. Permittees will be asked to
identify other eligible family members whom they want to sponsor to move to the range unit. Extended
family members may develop their relocation plans in coordination with those of the permittee and move
at about the same time, or they may move to the range unit after the permittee has moved. The permittee
must sign the relocation contract before any sponsored family member signs a contract.
In order to facilitate extended family group moves, the Relocation Specialists will hold pre-move
meetings with family groups and will encourage family group participation in tours and in the decision-
making process.
1823.1 Actions of the Relocation Operations
1. Relocation Specialist Assignment Permittees and sponsored family members will be assigned
to the same Relocation Specialist to the extent feasible. If different Specialists are working with groups
of related families, they will coordinate on pre-move meetings and tours.
2. Required Documents The documents required for a range unit move will be obtained by the
Relocation Specialist while the clients are in the social counseling process. These documents are:
Homesite Lease Application Form MM#1810.3, Application for Grazing Permit Form MM#1820A,
and Range Unit Request by Sponsored Family Member, Form MM#1820C.
a. Homesite Lease Application The Relocation Specialist will fill in the client's name,
census number and date of birth exactly as it appears on the Certificate of Indian Blood and attach a copy
of the CIB to the application. The Relocation Specialist or the client will fill in the name of the range
unit where the client wants to move. The client will sign the signature pages.
b. Lot Selection The client will usually select a lot during a tour. The Relocation
Specialist or the client will write the lot number on the lease application. If the client does not select a
lot at the time the homesite lease application is filled out, the space on the application for the lot number
will be left blank, and the records will be amended after the lot selection has taken place.
c. Application for Grazing Permit A client who is identified on the master list of people
eligible for a New Lands permit will fill out the ONHIR application, Form MM#1820A.
d. Sponsorship forms If the permittee is sponsoring other family members, the
Relocation Specialist will get a Range Unit Request for Sponsored Family Members, Form MM#1820C,
signed by both the permittee and sponsored person; and a completed homesite lease application for each
client being sponsored.
3. Existing Homesite Leases Before the New Lands homesite lease application is obtained, the
Relocation Specialist will check the actual relocation site entry in the Master Client File or Homesite
Lease File. If any range unit applicant has a homesite lease in process elsewhere, the client will be
referred to Homesite Specialist to relinquish, assign or retain the current lease before they can submit a
New Lands lease application.
MM#1820
Issued 12/13/96; Revised/Reissued 3/7/01;
5/31/2002; 5/24/11.
-7-
MANAGEMENT SECTION 1800 NEW LANDS PROGRAM
MANUAL SUBJECT 1820 Client Pre-Move Activity _/s/CJB__
APPROVED
4. Data Entry The ROB Administrative Assistant will perform data entry of the preferred range
unit relocation site and case number for the permittee and sponsored family members.
5. Routing the Forms After the ROB Administrative Assistant has completed data entry, the
assistant will route the forms as follows:
Homesite lease applications go to the Homesite Specialist.
Grazing permit applications and copies of the SponsoredFamily Member forms go to the
New Lands Manager.
The original Sponsored Family Member forms will be routed to the client casefile.
1823.2 Homesite Lease Check and Data Entry by Relocation Branch Operations
1. Checking for Prior Leases Upon receipt of the completed homesite lease application, the
Homesite Specialist will double check that the client(s) have no other leases in process; or that prior
leases have been relinquished, assigned or retained according to ONHIR procedures.
2. Data Entry The Homesite Specialist will perform data entry of the actual relocation site code
and lot number, date of lease application, and "S" lease status. If the client has not yet selected a lot, the
Specialist will enter a '999' code. After data entry has been performed, the Specialist will route the
application to the New Lands Manager.
1823.3 Processing and Approvals of the New Lands Branch
1. Range Office. The Range Office will perform the following functions:
a. Review of Grazing Permit Application The New Lands Manager, or designee, will
verify the applicant's eligibility and approve the permit. If the applicant is not eligible for a grazing
permit, the New Lands Manager will notify the Relocation Operations Branch Manager and the client's
Relocation Specialist immediately. Clients who disagree with the determination can request
reconsideration according to the procedures in MM#1846.
b. Data Entry The New Lands Manager or designee will perform data entry in the range
unit file of: "E" eligibility code, date application signed by client, date application approved by the New
Lands Manager range unit, and brand.
c. Notification to Range Technician The New Lands Manager or designee will notify
the Range Technician of the permittee's eligibility, so the Technician can begin working with the
permittee(s) on the range management plan for that range unit.
d. Pre-Move Advisement by Range Technician If the permittee is moving to an already
developed unit, the Technician will provide information about the Range Management Plan (RMP), and
will give the permittee a copy to review. The permittee will be asked to sign the RMP when they sign the
relocation contract. The Technician will inform the permittee of the schedule for range meetings on the
unit, and recommend that the permittee attend the meetings.
MM#1820
Issued 12/13/96; Revised/Reissued 3/7/01;
5/31/2002; 5/24/11.
-8-
MANAGEMENT SECTION 1800 NEW LANDS PROGRAM
MANUAL SUBJECT 1820 Client Pre-Move Activity _/s/CJB__
APPROVED
If the permittee is moving to a new unit, the Technician will schedule one or more
meetings on the HPL with permittees who are moving to the unit, for the purpose of developing a draft
Range Management Plan. The Relocation Specialists who are working with the permittees should be
present.
e. Sponsorship Forms As sponsored family members frequently share responsibility for
the permittee's livestock, the New Lands Manager will inform the Range Technician of the family
members who are moving to the unit, and will file the copies of sponsorship forms with records of the
range unit.
2. New Lands Manager Homesite lease applications will be routed to the New Lands
Manager,(or designee) who will review the applications for accuracy and completeness. If the lease
application(s) is not correctly filled out, the New Lands Manager will notify the Relocation Operations
Branch Manager and the Relocation Specialist immediately of the problems(s) and will route the
application back to the Relocation Operations Branch for corrections.
a. Review of Homesite Lease Application. The Manager will verify that the lot selected
is available. He will check the automated range unit file to verify that the range unit, lot number,
sponsorship information and permit eligibility has been entered.
b. Data Entry. The Manager or designee will perform data entry of "F" homesite lease
status and date lot selected (if applicable) for all applications which are verified correct and ready for the
Executive Director's signature.
1823.4 Site Selection and Final Action by Relocation Operations Branch
General The client must have filled out a homesite lease application in order to select a
homesite. The client will not be allowed to make a tentative selection or put a 'hold' on a site. The client
must intend his/her selection to be the first and final choice.
The Relocation Specialist will inform the Homesite Specialist when a tour is scheduled, as the
client(s) will frequently want to select a homesite during the tour. The Homesite Specialist will inform
the Site Technician of the tour, so that the Technician will be present and available for site selection.
Site selection for range unit and rural community homesites follows the same process.
1. Site Selection Site selection can take place when the homesite lease application is filled out
or afterwards. Regardless of the point in time when the selection is made, the Relocation Specialist will
inform the Homesite Specialist that the client needs an appointment with the Engineering Technician for
lot selection. If the client is going to the New Lands independent of a tour for the sole purpose of
selecting a lot, the Relocation Specialist may instruct the client to call the Homesite Specialist directly to
set an appointment. It is not necessary for the Relocation Specialist to travel to the New Lands to meet
the client and Engineering Technician if lot selection is the only activity scheduled.
2. Site Plan. The client will meet the Technician in the field, select the lot, and identify the
preferred house siting and direction the front door will face. Within three days of the meeting, the
Technician will prepare the site plan and transmit it to the Homesite Specialist. Within two days of
receipt, the Homesite Specialist will send a copy to the Indian Health Service for preparation of the plot
plan. The original will be forwarded to the client file.
MM#1820
Issued 12/13/96; Revised/Reissued 3/7/01;
5/31/2002; 5/24/11.
-9-
MANAGEMENT SECTION 1800 NEW LANDS PROGRAM
MANUAL SUBJECT 1820 Client Pre-Move Activity _/s/CJB__
APPROVED
3. Data Entry of Lot Number If lot selection takes place after the lease application has been
processed, the Technician will inform the Homesite Specialist by phone of the lot number. The
Specialist will perform data entry of the lot number in 'actual relocation site', replacing the '999' entry.
4. Plot Plan and Homesite Lease Completion. When the IHS plot plan is received, the Homesite
Specialist will data enter a "C" lease status code. The original plan will be routed to the client casefile,
and a copy of the plot plan will be routed to the New Lands Manager.
5. Tracking Form The case will be entered as housing ready. In most cases the Tracking Form
will have been routed to the Homesite Specialist about the same time as the homesite lease application.
However, it is possible that a case will complete homesite lease acquisition and permit approval before
referral from the counseling stage of the relocation process.
6. Clients Who Change Their Mind About the Lot Selected A client may change his/her mind
about the lot selection. If the client is in counseling phase, the Relocation Specialist will notify the
ROB/HSL Administrative Assistant that the client wants to cancel the original selection and pick a
different lot. The assistant will delete the original lease entry from the computer and will notify the
Engineering Technician that the client wants to select a different lot. The Relocation Specialist will
obtain a new homesite lease application from the client and arrange for a site selection appointment with
the Engineering Technician.
If the client is in Home Search when he/she decides to select a different lot, the client will be
referred to the Homesite Specialist. The Specialist will make the changes in the automated records and
refer the client to the Engineering Technician for a new homesite lease application and for site selection.
1824 HOUSING ACQUISITION
General Clients moving to a range unit require special handling. Clients moving to the rural
community do not require special handling. In summary, the special conditions which must be
accommodated for range unit moves are:
(1). A permittee shall sign the term grazing permit and range management plan at the time of
contract signing.
(2). The permittee must sign the relocation contract before any family members whom he/she is
sponsoring can sign their contracts.
(3). A client who is eligible for a grazing permit but who is not moving to a New Lands range
unit shall be advised that their eligibility for a New Lands grazing permit ends when they sign the
relocation contract.
1824.1 Activities in Housing Acquisition
1. Client Information Summary When the case has progressed to the housing acquisition phase
a copy of the automated Client Information Summary will be generated. The Summary will provide the
following information:
MM#1820
Issued 12/13/96; Revised/Reissued 3/7/01;
5/31/2002; 5/24/11.
-10-
MANAGEMENT SECTION 1800 NEW LANDS PROGRAM
MANUAL SUBJECT 1820 Client Pre-Move Activity _/s/CJB__
APPROVED
-whether the client is a permittee or sponsored family member
-if a permittee, the status of the permit
-if a permittee, Range Office should be advised to include the permittee in range
meetings.
2. Special Instructions During the Initial Housing Interview The Relocation Specialist will
include information about the special conditions applicable to range unit moves in the interview with the
client. If the client is a permittee, the Relocation Specialist will inform the client that he/she will sign the
term permit and range management plan at the time of contract signing. The Relocation Specialist will
advise the client to contact the Range Technician to make arrangements for livestock hauling.
3. Pre-Con Activities The household member who is eligible for the grazing permit (this may be
the spouse rather than the client) must be present at the contract signing. The Relocation Specialist will
notify the New Lands Manager of the date and time set for the contract signing. The Manager or
designee will be present at the contract signing to obtain the permittee's signature on the range
documents, and answer related questions.
If no range staff member is available, the Relocation Specialist will obtain the permittee's
signature on the range documents and will inform the clients that range staff members will meet with
them to arrange livestock hauling.
4. Range Documents Obtained at the Time of Contract Signing The following range documents
will be obtained:
a. Permit The New Lands Manager or designee will provide a term permit, typed up,
for the permittee to sign. The signed permit will be routed to the Range Office for further processing
after the contract signing session is over.
b. Range Management Plan The Manager will provide the RMP for the unit to which
the permittee is moving. The signed RMP will be routed to the Range Office for further processing after
the contract signing session is over.
(1) Clients who are moving to a unit which has an existing cooperatively
developed comprehensive plan will add their signature to the original plan. They will receive a copy of
the RMP at the time they receive their grazing permit signed by the Executive Director. This will be at
the time of livestock haul to the range unit.
(2) Clients who are moving to a unit which does not yet have a comprehensive
plan will be requested to sign a Preliminary Range Management Plan. They will receive a copy of the
Preliminary RMP at the time they receive their grazing permit signed by the Executive. This will be at
the time of livestock haul to the range unit.
5. Moving In The contractor will give the keys to the house to the client when the house is
finished, and walk the client through the house. If the client is not around, or the contractor leaves the
area, the keys will be left at the New Lands office for the client to pick up.
MM#1820
Issued 12/13/96; Revised/Reissued 3/7/01;
5/31/2002; 5/24/11.
-11-
MANAGEMENT SECTION 1800 NEW LANDS PROGRAM
MANUAL SUBJECT 1820 Client Pre-Move Activity _/s/CJB__
APPROVED
1824.2 Activities of the Range Office While the Client's House is Being Built and
Immediately Afterward
1. HPL Meetings The Range Technician and the Relocation Specialist will set up meetings on
the HPL with the permittees. At the meetings the technician will:
a. issue the Term Grazing Permit signed by the Executive Director and issue the
Temporary Grazing Permit, as applicable, according to the terms of the RMP.
b. provide up-to-date information on recent range development activities which the
permittees need to be aware of.
c. explain procedure for pre-move livestock tally on the HPL.
d. reach agreement on livestock loading location and chute needs.
e. explain HPL assistance for livestock inspection.
f. explain branding of cattle and horses, and paint marking for sheep.
g. explain costs to livestock owners for brand inspection.
h. explain unloading and pens for livestock on the New Lands.
i. get agreement on tentative livestock move dates and method of transportation.
2. Livestock Hauling At the time the permittee moves into the relocation house, or shortly
thereafter, the New Lands range staff will arrange for the livestock move. The staff will arrange for
livestock inspection on the HPL. The staff will arrange for the hauling and will assist in unloading
animals when they get to the range unit.
MM#1820
Issued 12/13/96; Revised/Reissued 3/7/01;
5/31/2002; 5/24/11.
-12-
MANAGEMENT SECTION 1800 NEW LANDS PROGRAM
MANUAL SUBJECT 1830 Assignment, Modification, or Mutual Termination of New
Lands Homesite Lease
__/s/CJB__
APPROVED
Section 1800 NEW LANDS PROGRAM
Subject 1830 Assignment of Homesite Lease, Homesite Lease Modification or Mutual
Termination of New Lands Homesite Leases
POLICY Homesite leases issued to relocation clients in connection with their move to the New
Lands Rural Community or to a New Lands Range Unit may be transferred/assigned in
accordance with the following procedures.
PROCEDURE
1830.1 Assignment of New Lands Homesite Lease
A. Rural Community
1. If a relocated client wishes to assign/transfer his/her interest in a New Lands Homesite Lease and
the relocation home situated in the Rural Community, the client shall telephone the Relocation Operations
Homesite Specialist or the employee designated by the New Lands Manager, and make an appointment to
meet with the Specialist at the Relocation Office in Flagstaff. The client will be asked to bring to this
appointment the original New Lands Homesite Lease issued to him/her at the time of relocation.
2. The party (assignee[s] who is assuming the relocatee’s interest in the New Lands Homesite Lease
and the relocation home in the Rural Community, shall also contact the Homesite Specialist and schedule
an appointment to meet at the Flagstaff Office. The Specialist will schedule the appointment and obtain the
names and Navajo Census numbers of the proposed assignee(s). The assignee[s] will also be asked to bring
with them to this appointment his/her Certificate of Indian Blood (CIB) along with a Money Order payable
to the Navajo Nation in the sum of $30.00 representing the application fee. It is preferable that both parties
(the client as well as the proposed assignee[s]) make an appointment to meet with the Homesite Specialist
on the same day.
3. Utilizing the information provided at the telephonic scheduling interview, prior to the scheduled
appointment the Homesite Specialist will prepare the Assignment of Homesite Lease No.XXX, (Navajo
Nation Form assigned ONHIR Form MM#1830.2), as well as an Application for New Lands Homesite
Lease, Form MM#1810.3; and a New Lands Homesite Lease, (Navajo Nation Form #200NL [10-30-2001],
in the names of the proposed Assignee(s).
4. At the scheduled appointment, upon delivery of the original New Lands Homesite Lease, the
client (Assignor) will be asked to sign the Assignment of Homesite Lease No.XXX. The Assignee(s) will
sign the Assumption of Lease and Lease Obligations on the lower half of the Assignment Form; an
Application for a New Lands Homesite Lease, and the New Lands Homesite Lease. The signatures of all
parties must be witnessed in the presence of two ONHIR employees. At this appointment the Homesite
Specialist will give the Assignee(s)a copy of the Interim Land Use Policy for the Rural Community area of
the Nahat’a’ Dzill Chapter and answer any questions the assignee[s] may have concerning the policy.
MM#1830
Issued 5/31/2002;
Revised/Reissued 8/8/11.
1
MANAGEMENT SECTION 1800 NEW LANDS PROGRAM
MANUAL SUBJECT 1830 Assignment, Modification, or Mutual Termination of New
Lands Homesite Lease
__/s/CJB__
APPROVED
If the Assignee(s) requests additional information concerning the policy the Homesite Specialist will
refer them to one of the Community Plan Technicians at the New Lands Office.
5. The Homesite Specialist will review the Assignment, Application, and New Homesite Lease
for accuracy and completeness and will prepare Form MM#1830.1, Assignment, Modification or
Termination of New Lands Homesite Lease Tracking Form. These documents, along with the original New
Lands Homesite Lease, shall then be packaged, with the Tracking Form on top, and routed to the New Lands
Manager for his inspection and review. The Manager shall review the documents and, if in order, indicate
his approval on the Tracking Form and forward the package on to the Executive Director. If approved by
the Executive Director, he/she will also indicate approval on the Tracking Form and deliver the package to
the IS Specialist.
6. The IS Specialist will make the appropriate data entries in the automated records, indicate on the
form that the entry has been completed, and return the package to the Homesite Specialist.
7. Upon receipt of the documents from the IS Specialist , the Homesite Specialist will forward the
Assignment, Application, and New Lands Homesite Lease to the Navajo Land Department (NLD) in
Window Rock, Arizona. Upon approval by the NLD, the originals of the Assignment and Homesite Lease,
along with the survey plat will be returned to the Homesite Specialist.
The Specialist will review the lease documents for completeness and forward them to the New
Lands Manager for final review prior to delivery to the Executive Director for signature. When the lease
has been signed by the Executive Director, the Specialist will forward the original Assignment and
Homesite Lease to the Southwest Regional Land Titles and Records Office(SWRLTRO).
After processing and recording the lease documents the SWRLTRO will return the originals to
the ONHIR. Upon receipt, the Homesite Specialist will mail the original New Lands Homesite Lease to the
Assignee(s). Copies will be sent to the NLD and the BIA Regional Office in Gallup, New Mexico. Copies
of the lease documents will also be placed in the client case file, if applicable, as well as the New Lands
working file.
B. Range Units:
A homesite lease and relocation home in any of the New Lands Range Units may be
transferred/assigned in accordance with the same procedures for the assignment of a homesite lease in the
Rural Community as set forth in 1830.1(A)(1-7) above. Provided, however, there are circumstances in which
(in addition to the requirements for transfer of a lease in the Rural Community) the assignee[s] must be
sponsored by a Relocated Resident Permittee of said Range Unit, in compliance with MM§1823, “Processing
Range Unit Moves.” The sponsoring permittee, as well as the assignee[s] must execute Form MM#1820(c),
Range Unit Request by Sponsored Family Member, in the presence of the Homesite Specialist and/or the
New Lands Manager’s designee.
The Homesite Specialist will inform the assignee(s) that several of the Range Units have established
MM#1830
Issued 5/31/2002;
Revised/Reissued 8/8/11.
2
MANAGEMENT SECTION 1800 NEW LANDS PROGRAM
MANUAL SUBJECT 1830 Assignment, Modification, or Mutual Termination of New
Lands Homesite Lease
__/s/CJB__
APPROVED
land use plans (policies.) The client may be referred to the New Lands Manager or designee to answer more
detailed questions regarding these policies.
1830.2 Homesite Lease Modifications
Generally
There may be situations in which a client wishes to modify his/her Homesite Lease on the New
Lands. Modifications may be necessary at the completion of a joint tenancy. (Upon the death of one of the
joint tenants, the remaining joint tenant may ask that the Homesite Lease be reissued in his/her name only.)
Modifications can also be necessary upon a change of legal name, marriage , divorce, Decree of Distribution
entered in the Navajo Tribal Court in a probate proceeding, or for other reasons. Also, there may be situations
in which other elements of the lease require modification, ie. the survey of the lease or a change in the lease
boundaries.
1. The client(s)/lessee(s), who wants a Modification of their homesite lease on the New Lands (in
either the Rural Community or one of the Range Units) must first call the Homesite Specialist to schedule
an appointment to meet at the Flagstaff Relocation Office. During this telephone interview the Homesite
Specialist will obtain all the necessary information required to process the Modification. The
client(s)/lessee(s) will be instructed to bring to the appointment his/her original New Lands Homesite Lease,
the Certificates of Indian Blood of any individual whose name the client wishes to add to the lease, and/or
a certified copy of the death certificate of the joint tenant whose name the client wishes removed from the
lease. The client(s) will be instructed that the surviving joint tenant, or anyone else who is presently named
on the lease must be present at the meeting. The client will also be instructed to bring with him/her a Money
Order payable to the Navajo Nation in the sum of $30.00, which represents the Nation’s fee for processing
the modification.
2. The Homesite Specialist will prepare all the required documents prior to the scheduled
appointment, which will include the Homesite Lease Modification, (Navajo Nation Form assigned ONHIR
Form MM#1830.3); the modified New Lands Homesite Lease (NNForm 200NL, ONHIR Assigned Form
#MM#1810.4) and the Tracking Form. At the meeting the client(s)/lessee(s) will be asked to sign the Navajo
Nation Homesite Lease Modification form and an Application for a New Lands Homesite Lease. The
client(s) lessee(s) signature(s) must be witnessed in the presence of two ONHIR employees.
3. When the Homesite Specialist has collected all the required signatures and documents the
Specialist will review all the instruments for accuracy and completeness, package the documents with the
Tracking Form on top, and deliver them to the Land Use Manager for review. If approved, the New Lands
Manager will indicate his/her approval on the Tracking Form and deliver the package to the Executive
Director. If the Executive Director concurs with the approval the Director will sign the Tracking form and
forward the documents to the IS Specialist who will make the appropriate data entry in the automated
records. Upon completion of the data entry the package will be returned to the Homesite Specialist for
further action.
MM#1830
Issued 5/31/2002;
Revised/Reissued 8/8/11.
3
MANAGEMENT SECTION 1800 NEW LANDS PROGRAM
MANUAL SUBJECT 1830 Assignment, Modification, or Mutual Termination of New
Lands Homesite Lease
__/s/CJB__
APPROVED
4. Upon receipt of the lease package from the IS Specialist , the Homesite Specialist will follow the
processing procedures set forth in 1830.1(A)(7) above, substituting the Modification of Lease for the
Assignment of Lease.
1830.3 Mutual Termination of Homesite Lease
Generally
It is understood that there are situations in which a client/relocatee may wish to terminate his/her
New Lands Homesite Lease with the Navajo Nation. The most probable being that the client wishes to
obtain another homesite lease on the Navajo Reservation either on the New Lands or elsewhere.
1. In the event the client(s)/lessee(s) wishes to terminate his/her interest in a New Lands Homesite
Lease (in either the Rural Community or one of the Range Units) they should first call the Homesite
Specialist at the Flagstaff Relocation Office and schedule an appointment. The Specialist will instruct the
lessee/client to bring to the appointment the original homesite lease. The client will also be informed that
all those individuals named on the original homesite lease must also attend the appointment.
2. Prior to the appointment date, the Homesite Specialist will prepare the (Navajo Nation’s Mutual
Termination of Homesite Lease Form Assigned ONHIR Form MM #1830.4) utilizing the information
furnished during the telephone conference with the client. On the date of the appointment all those
individuals whose names appear on the lease will execute the Mutual Termination of Homesite Lease in the
presence of two witnesses/employees of the ONHIR. The Homesite Specialist will package the original New
Lands Homesite Lease and the Mutual Termination of the Homesite Lease and deliver them to the New
Lands Manager with the Tracking Form on top. The New Lands Manager will review the documents and
indicate his/her approval on the Tracking Form. The package will then be forwarded to the Executive
Director for Review and Approval. If the Executive Director concurs, he/she will indicate approval on the
Tracking Form and forward the package to the IS Specialist who will make the appropriate data entry in the
automated records. The IS Specialist will indicate on the Tracking Form that the data entry is complete and
return the entire package to the Homesite Specialist.
3. Upon receipt of the lease package from the IS Specialist, the Homesite Specialist will follow the
processing procedures set forth in 1830.1(A)(7) above, substituting the Termination of Lease for the
Assignment of Lease.
MM#1830
Issued 5/31/2002;
Revised/Reissued 8/8/11.
4
MANAGEMENT SECTION 1800 NEW LANDS DEVELOPMENT
MANUAL SUBJECT 1840 Issuance and Revocation of Grazing Permits
_/s/CJB___
APPROVED
SECTION: 1800 NEW LANDS DEVELOPMENT
SUBJECT: 1840 PROCEDURES FOR ISSUANCE AND REVOCATION OF
GRAZING PERMITS
AUTHORITY: 25 CFR 700.711
POLICY:
In accordance with the New Lands Grazing Regulations, 25 CFR Part 700.77, Grazing Permits, “(a)
All livestock grazing on the New Lands must be covered by a permit authorized and issued by the
Commissioner on Navajo and Hopi Indian Relocation.”
The 1991 revision of the 1986 New Lands Grazing Regulations instituted incentive grazing with the
creation of three kinds of grazing permits.
1. Term Grazing Permits
2. Temporary Grazing Permits
3. Association Temporary Grazing Permits
Actions associated with each type of permit are set forth in separate sections below.
BACKGROUND:
These procedures have been developed in response to the need for concise guidelines to assist
ONHIR staff in administering the New Lands Grazing Regulations. Additional instructions may be issued
as needed by the Supervisory Operations Range Management Specialist (SORMS) or designee.
The revision of the regulations in 1991 nearly doubled the average permit size for permittees. Since
1991 most permittees have gradually increased their herds to fill the new permit size. However, livestock
counts conducted by range staff have shown increased trespass as some permittees neglect to reduce natural
stock increases.
These procedures will assist Range Office staff to control abuses by a few permittees to protect the
benefits derived by all permittees from coordinated incentive grazing practices.
1841. TERM GRAZING PERMITS.
1841.1 Issuance of Term Grazing Permits.
1. Coverage. Term permits are issued for 80 Sheep Units Year Long (SUYL), but may be
issued for additional increments of 80 if a permittee receives a permit transfer from another permittee.
2. Eligibility. Term grazing permits are issued to persons eligible according to Part 700.709,
700.711, and 700.713, of the grazing regulations. A permit holder must:
MM#1840 Issued 05/26/00; Revised and
1 Reissued Dec 31, 2010.
MANAGEMENT SECTION 1800 NEW LANDS DEVELOPMENT
MANUAL SUBJECT 1840 Issuance and Revocation of Grazing Permits
_/s/CJB___
APPROVED
a. Be an enrolled member of the Navajo Tribe;
b. Be a permanent resident of the range unit of permit issue.
c. Own livestock which graze on the range unit of permit issue.
3. Application for Grazing Permit. ONHIR Relocation Specialists are responsible for
preparing individual and group moves to the New Lands range units. This includes obtaining completed
range unit Homesite Lease Applications and applications for New Lands Grazing Permit for Persons Eligible
Pursuant to 25 CFR 700.709.
4. Claim for New Lands Grazing Permit Eligibility. A client who is informed that he/she
is not eligible for a grazing permit but who disagrees with this determination may fill out MM#1846.1, Claim
for New Lands Grazing Permit Eligibility, which will be reviewed and researched by the Supervisory
Operations Range/Management Specialist. The Specialist will then issue the client a determination in writing
on Form MM#1846-A. The client may appeal an adverse determination in writing to the Executive
Director within 30 days pursuant to Management Manual Section #1846. The Executive Director will issue
a written response within sixty (60) days.
5. Process for Issuing the Term Permit. The Range Office will prepare a green Term
Grazing Permit Form 107 for the new permittees and a witness to sign when the relocation contract is
signed. The client must also sign a copy of the Range Management Plan. The signed Permit will be
submitted to the Executive Director for approval.
The original permit and a copy of the Management Plan will be given to the permittee. A copy of
the permit is filed in the Range Office Permittee folder, and a copy of the signed Range Management Plan
is filed in the Range Unit folder.
Range Office staff will inform other permittees on the range unit of the new permittee and coordinate
group meetings as needed.
1841.2 Reissuance of Term Grazing Permits.
The term grazing permit expires on October 31 of the fifth year following the date of original issue.
st
The permit is automatically reissued effective November first provided the permittee is not in violation of
the grazing regulations.
The Range Office will prepare a new green permit Form 107 shortly before the five (5) year
expiration date for all permittees. The completed permits will be routed to the Executive Director for
signature. The permittee will sign the original and a copy and the expired permit will be stamped
“Cancelled” by the Range Office.
The permittee will keep the original permit and a copy will be filed in the Range Office permittee
folder.
1841.3 Transfer of Term Grazing Permits.
Term grazing permits may be transferred to another resident of the range unit of permit issue
MM#1840 Issued 05/26/00; Revised and
2 Reissued Dec 31, 2010.
MANAGEMENT SECTION 1800 NEW LANDS DEVELOPMENT
MANUAL SUBJECT 1840 Issuance and Revocation of Grazing Permits
_/s/CJB___
APPROVED
following the procedures in Part 700.715, provided the transferee meets permit eligibility requirements and
both the transferee and the transferor sign and notarize an agreement. The procedures for processing a permit
transfer are as follows:
1. Assignment of Grazing Permit. Both the permittee (transferor) and transferee will meet
with the ONHIR grazing official and fill out Form 111 Assignment of Grazing Permit which must be
notarized. The grazing official will explain to the transferor that he/she has no further rights to graze on the
range unit. The ONHIR grazing official will validate Form 111 by signing it.
2. Range Management Plan. The ONHIR grazing official will orient the transferee on the
range management plan and the responsibilities that he/she will have under common grazing. The transferee
will sign the Management Plan agreeing to cooperate with other permittees.
3. Signature by Executive Director. A new term grazing permit will be filled out and signed
by the transferee and sent to the ONHIR Executive Director, along with the signed Form 111, for signature.
The ONHIR grazing official will stamp “Cancelled” on the old term permit of the transferor.
4. Follow-up. Range Office staff will inform the other permittees on the range unit of the
permit transfer and will include the new permittee in all meetings.
1841.4 Revocation of Term Grazing Permits:
Pursuant to 25 CFR 700.715(e), “The Commissioner may revoke or withdraw all or any part of a
grazing permit by cancellation or modification on a thirty (30) day written notice for violation of the permit
or of the Management Plan, non-payment of grazing fees, violation of these regulations, or because of the
termination of trust status of the permitted lands.”
Violations of the regulations which are grounds for revocation of the term permit include:
%repeated cancellation of the temporary grazing permit;
%stated refusal by the permittee to abide by the grazing regulations;
%gross criminal activity which affects land resources management or livestock;
Written notification of revocation or withdrawal of any part of a grazing permit will be issued
by special letter to the permittee by the Executive Director.
1841.4.1 Revocation Procedure.
1. History of Violations. The ONHIR grazing official will coordinate with the Supervisory
Operations/Range Management Specialist in compiling documentation of the history of violations.
2. Recommendation for Action. The Supervisory Operations/Range Management Specialist
will prepare a written recommendation for review and approval by the Executive Director, with appropriate
attached documentation. The Supervisory Operations/Range Management Specialist will recommend the
appropriate action: revocation (cancellation) of permit; withdrawal (temporary suspension) of permit; or
modification of permit.
MM#1840 Issued 05/26/00; Revised and
3 Reissued Dec 31, 2010.
MANAGEMENT SECTION 1800 NEW LANDS DEVELOPMENT
MANUAL SUBJECT 1840 Issuance and Revocation of Grazing Permits
_/s/CJB___
APPROVED
3. Action Following Executive Director’s Decision. The Supervisory Operations/Range
Management Specialist will prepare a letter incorporating the Executive Director’s decision for his signature.
Range Office staff will stamp “Cancelled” on the office copy of the term grazing permit. If the decision was
to modify the permit the Range Office staff will prepare a new permit stating the terms of the modification.
When there are livestock under the permit, a ten (10) day Notice of Livestock Trespass, Form 117a
will be filled out stating all livestock must be removed.
An original copy of the Executive Director’s letter, the Ten Day Notice of Livestock Trespass, and
a copy of the cancelled Term Grazing Permit (and the original modified permit, if applicable) will be hand
delivered or mailed by certified mail to the permittee. The old original permit does not have to be retrieved
from the permittee.
Copies of the documents will be filed in the permittee file in the Chambers Office and in the
permittee file in the Flagstaff Office.
4. Follow-up. Range staff will follow up to ensure compliance. Range staff will also inform
the other permittees of the status change of the permit.
5. Permit Availability. Term grazing permits which are cancelled return to the pool of
available permits on the range unit, to be issued under the same terms as new permits.
1841.5 Reissuing a Cancelled or Modified Term Grazing Permit.
If the grazer requests renewal/reissuance of the grazing permit, the request must be submitted in
writing to the Executive Director for review and determination. At least ninety (90) days must have passed
since the date of permit cancellation or modification. Based upon information submitted by the Supervisory
Operations/Range Management Specialist, with the grazer’s request , the Executive Director will determine
if the grazer has remedied the violation which caused the revocation or modification and has demonstrated
willingness to comply with the terms of the Range Management Plan.
1842. TEMPORARY GRAZING PERMITS.
Temporary Grazing Permits are incentive permits to reward good cooperative land management with
additional livestock for the permittee. Part 700.711 of the regulations states: “(d)(l) Temporary Seasonal
Grazing Permits for periods not to exceed one year may be issued to permittees: (I) to use extra forage made
available under rotation grazing management as required by a range unit management plan.” and (D) These
temporary permits may be reissued prior to termination provided (I) the permittee is managing grazing in
compliance with grazing regulations, (ii) livestock grazing is in compliance with the cooperative range unit
management plan, (iii) forage is available on the range to sustain the livestock authorized under the
temporary permit.”
Temporary grazing permit holders must already be holders of term grazing permits. Term permits
are issued for 80 Sheep Units Year Long based on a conservative 65% stocking under yearlong grazing.
Because permittees sign range management plans and practice conservation management, the full 100%
stocking can be attained by issuance of an additional 40 SUYL to each permittee under a temporary grazing
MM#1840 Issued 05/26/00; Revised and
4 Reissued Dec 31, 2010.
MANAGEMENT SECTION 1800 NEW LANDS DEVELOPMENT
MANUAL SUBJECT 1840 Issuance and Revocation of Grazing Permits
_/s/CJB___
APPROVED
permit which is reviewed by the ONHIR grazing official and renewed annually to assure continued
compliance with good range management practices.
1842.1 Initial Issuance of the Temporary Grazing Permit.
The Range Office will fill out a Temporary Grazing Permit for the permittee to sign at the contract
signing, along with the Term Permit and the Range Management Plan. The Supervisory Operations/Range
Management Specialist will sign the permit and give the original to the permittee when the Term Grazing
Permit is signed by the Executive Director. The permittee can stock the range to 120 SUYL total at the time
of moving onto the range unit.
1842.2 Transfer of Temporary Grazing Permits.
Since temporary permits are based on term permits, when a term permit is transferred the temporary
permit is transferred also. A new temporary grazing permit is issued to the permittee who receives the
transferred permit.
1843.3 Reissuance of Temporary Grazing Permits.
Temporary grazing permits are renewed annually provided there is sufficient forage to allow 100%
stocking and provided the permittee is grazing in compliance with the ONHIR grazing regulations and the
Range Management Plan.
1. Determination by Range Office. Prior to the October 31 annual expiration date, the
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Range Office will determine that there is sufficient forage to reissue temporary permits and will determine
which permittees are managing in compliance with the grazing regulations and Range Management Plan.
2. New Permit. The Range Office will fill out a new Temporary Grazing Permit for each
permittee who is in compliance. The Supervisory Operations/Range Management Specialist and the
permittee will sign the permit and the permittee will keep the original. A copy will be filed in the Range
office files.
1842.4 Revocation of Temporary Grazing Permits.
A temporary grazing permit may be revoked prior to the October 31 expiration for violation of the
st
regulations. Such violations include:
%trespass of livestock on rangeland that is not covered by a grazing permit;
%trespass of livestock on areas rested under the Range Management Plan grazing schedule
or withdrawal;
%trespass grazing within a housing subdivision withdrawn from grazing;
%trespass of livestock in excess of authorized numbers;
%trespass of livestock with the wrong or unregistered brand.
MM#1840 Issued 05/26/00; Revised and
5 Reissued Dec 31, 2010.
MANAGEMENT SECTION 1800 NEW LANDS DEVELOPMENT
MANUAL SUBJECT 1840 Issuance and Revocation of Grazing Permits
_/s/CJB___
APPROVED
1842.4.1 Procedures for Revoking Temporary Grazing Permits.
The ONHIR grazing official will take the following actions to revoke a Temporary Grazing Permit.
1. Prepare a Notice of Revocation of Temporary Grazing Permit which must be approved by
Supervisory Operations/Range Management Specialist.
2. When there are livestock under the temporary permit, the ONHIR grazing official will
prepare a Ten (10) day Notice of Livestock Trespass instructing the permittee that all stock
in excess of the 80 SUYL Term Permit must be removed;
3. The grazing official will stamp “Cancelled” on the office copy of the Temporary Grazing
Permit.
The grazing official will hand deliver , or mail by certified mail, to the permittee an original copy
of the Notice of Revocation of Temporary Grazing Permit,, the Ten (10) Day Notice of Livestock Trespass,
and a copy of the cancelled Temporary Grazing Permit. Copies of the documents will be filed in the Range
Office and Flagstaff Office files.
Range staff will follow up to assure compliance and inform other permittees of the new status of one
of the permittees being limited to 80 SUYL.
1842.5 Non-Renewal of Temporary Permit. Each year the ONHIR grazing officials will meet with
permittees at a fall planning meeting and review permittee cooperation under common grazing. ONHIR
grazing officials will review documented violations to determine if temporary grazing permits should be
reissued.
If it is determined not to reissue a Temporary Permit a written statement will be given to the permit
holder explaining the reason, the remedy, and time frame, along with notice to reduce stock to the term
permit level.
The Management Plan for each unit lists the significant actions of non-cooperation which will be
considered in determining if a Temporary Grazing Permit should be reissued.
1842.5.1 Documentation Required for Non-Renewal of Temporary Grazing Permits.
During the year the ONHIR authorized grazing official will keep records of non-cooperation that
significantly affects cooperative management. The records will be reviewed at the fall planning meeting.
The ONHIR authorized grazing official will document incidents, receive formal complaints, and take
verifying statements and will issue written notice to the alleged non-cooperating permit holder requesting
compliance.
This record will be kept in the alleged offending permittee’s Range Office file folder. These records
may be any of the following:
MM#1840 Issued 05/26/00; Revised and
6 Reissued Dec 31, 2010.
MANAGEMENT SECTION 1800 NEW LANDS DEVELOPMENT
MANUAL SUBJECT 1840 Issuance and Revocation of Grazing Permits
_/s/CJB___
APPROVED
a. Range Unit Management Plan Non-Cooperation Report, Form 116c.
b. Ranger or police records.
c. Written complaints from other permittees submitted on a complaint form which are signed
and dated.
d. Other official records of violations and non-cooperation.
Copies of notices issued to the alleged non-cooperating permit holder, as well as notes on the
permittee’s actions to achieve compliance, will be placed in the file. Form 116d, Request for Range Unit
Management Plan Cooperation, may be used in resolving cooperation issues.
1842.6 Reinstating a Cancelled or Non-Reissued Temporary Grazing Permit.
In order for a permittee’s privilege for a Temporary Grazing Permit to be reinstated, the following
conditions must be met:
1. Time Frame. At least ninety (90) days must have passed since the date of permit
or non-reissuance.
2. Request by Permittee. A letter of request must be received from the permittee agreeing
to abide by the regulations.
3. Concurrence by Grazing Official. The ONHIR grazing official must write a memorandum
to the Supervisory Operations/Range Management Specialist stating why the permit should be reissued,
including how issues of cooperation with other permittees have been resolved in cases where lack of
cooperation with other permittees was a factor in the cancellation.
4. Issuance of Permit. A new Temporary Grazing Permit will be filled out and signed by the
Supervisory Operations/Range Management Specialist and issued to the permittee.
5. Follow-up. Range staff will follow up by informing other permittees of the restored permit.
1842.7 Procedures for Emergency Modification of Temporary Permits.
In the rare event that there is insufficient forage (from drought or fire) to carry 100% capacity
stocking for the coming year, the following procedure will take effect.
1. Forage Survey. A forage survey of the range unit will be conducted by the ONHIR and
based upon biological planning, a determination of the maximum stocking will be made.
2. Permittee Meeting: ONHIR will hold a group meeting with permittees to obtain a
consensus on the best action to take. Permittees will be encouraged to make voluntary reductions. Failing
to get a consensus the following procedure will be used:
MM#1840 Issued 05/26/00; Revised and
7 Reissued Dec 31, 2010.
MANAGEMENT SECTION 1800 NEW LANDS DEVELOPMENT
MANUAL SUBJECT 1840 Issuance and Revocation of Grazing Permits
_/s/CJB___
APPROVED
a. Voluntary reductions will be accepted from those in agreement, and Temporary Grazing
Permits will be issued to those permittees accordingly. The new reduced level permits will
be issued with a copy of the former Temporary Grazing Permit with “Cancelled” stamped
on it.
b. If there is a livestock association, a notice will be issued to reduce association livestock to
achieve the balance of reduction needed.
c. If there is no association, or if further reductions are needed, then the deficit in forage will
be divided among all permits and temporary permits will be issued, along with a copy of
The former permit stamped “Cancelled,” for the balance of forage prorated as an equal
percentage of each permittee’s term permit size.
Permits may be restored as soon as forage growth returns and long term conditions stabilize.
1843. ASSOCIATION TEMPORARY GRAZING PERMITS.
The association temporary grazing permit is an annual permit issued as an incentive to reward good
cooperative land management with additional livestock for the business association. Association Temporary
Permits are issued according to 25 CFR Part 700.722, which states: “(a) The Commissioner may recognize,
cooperate with, and assist range unit livestock associations in the management of livestock and range
resources.” Also, Part (e) states: “A recognized association may hold a grazing permit to benefit its members
according to the rules of the association constitution and by-laws.”
With the 1986 New Lands forage inventory, all carrying capacity was allocated to individual grazing
permits and wildlife, with no carrying capacity reserved for grazing associations. However, since forage
production varies over 100% from dry years to wet years, and since the Soil Conservation Service method
for determining carrying capacity is based on dry year capacity, there is room for incentive based additional
stocking when biological planning is practiced in combination with the business flexibility of a grazing
association.
1843.1 General Conditions.
All permits will be issued with an expiration date of March 31 , so that Range Office staff have the
st
opportunity to assess annual grazing reports of the past year and develop a new summer biological plan
before the growing season begins. This also gives a common date for livestock leasing contracts entered into
by the associations.
Initially temporary association permits are issued for 80 SUYL (20 cattle) to give the association
experience in cooperatively managing livestock and association finances. As the association gains
experience and demonstrates effective management, it may request larger permits in subsequent years. The
Supervisory Operations/Range Management Specialist will determine the size limit of the annual permit
based on the following information:
MM#1840 Issued 05/26/00; Revised and
8 Reissued Dec 31, 2010.
MANAGEMENT SECTION 1800 NEW LANDS DEVELOPMENT
MANUAL SUBJECT 1840 Issuance and Revocation of Grazing Permits
_/s/CJB___
APPROVED
%stated goals of the association;
%available forage;
%condition and trend monitoring study data;
%current weather cycles;
%weather availability;
%livestock management skills of the range boss;
%forage reserves needed for permits not yet issued for the unit; and
%overall cooperation of all parties on the unit.
1843.2 Procedures for Issuing Temporary Grazing Association Permits.
1. Request by Livestock Association. An organized range unit livestock association, which
is operating under by-laws approved by a majority of grazing permittees on the unit, may request the Range
Office to issue a Temporary Grazing Permit to the association. There must be a range unit management plan
in effect.
2. Biological Planning. To qualify for a permit, association officers, range boss, and members
must attend a day long biological planning training to learn how they can use time-controlled grazing to
improve production and land conditions. A six (6) month to one (1) year biological plan must be developed
by the association in coordination with the Range Office.
3. Association Temporary Permit. The Range Office will fill out a Association Temporary
Permit, Form 109 which will be signed by the grazing permittees belonging to the association and the
Supervisory Operations/Range Management Specialist. The association president will keep the original
permit and a copy will be filed in the Range Office Association file for the range unit.
4. Follow-up. Range Office staff will focus on working with the range boss as the designated
livestock manager. Since all association livestock are grazed in common, the range boss will be authorized
to coordinate common management of the whole herd, even if some of the permittees are not association
members.
1843.3 Reissuance of Temporary Grazing Association Permits.
Temporary Grazing Association Permits expire annually and are not automatically renewed. At the
request of the association they may be reissued as follows:
1. Request by Association. The association will make a request to the Range Office to renew
the association permit at which time the ONHIR grazing official will meet with the association or
representative officers and fill out Form 109b Prerequisites for Association Permit Issuance, to document
the current functioning of the association and the stocking rate being requested. This request should be
submitted by the association and processed by the Range Office prior to March 31 annual expiration date.
st
2. Verification by Range Office. The Range Office will verify the information on Form 109b
and will determine whether or not the number of SUYL requested is appropriate according to criteria listed
under the Issuance section above. The Supervisory Operations/Range Management Specialist will approve
the completed Form 109b.
MM#1840 Issued 05/26/00; Revised and
9 Reissued Dec 31, 2010.
MANAGEMENT SECTION 1800 NEW LANDS DEVELOPMENT
MANUAL SUBJECT 1840 Issuance and Revocation of Grazing Permits
_/s/CJB___
APPROVED
3. Issuance of New Permit. A new Form 109a, Association Temporary Grazing Permit will
be filled out by the Range Office and signed by the Association President and the Supervisor
Operations/Range Management Specialist. The Association President will keep the original permit and a
copy will be filed at the Range Office.
If a determination is made by the Range Office not to reissue a permit upon expiration, the
procedures listed below under Modification/Revocation will be followed to assure proper documentation and
removal of association livestock.
1843.4 Modification/Revocation of Association Temporary Grazing Permits.
During the terms of the permit association temporary grazing permits may be cancelled or modified
and reissued for a small capacity by the ONHIR when range monitoring shows a lack of forage to carry all
livestock on the range unit through the end of the permit period. If there is a lack of consensus among
permittees on voluntary reductions due to insufficient forage, then the Range Office will automatically
reduce the association permit before any reductions are made to individual permits.
Association temporary grazing permits may also be revoked for violations of the regulations.
Violations which are grounds for revocation and/or non-reissuance include.
%trespass of livestock on areas rested under the Range Management Plan;
%trespass of livestock in excess of authorized numbers;
%trespass of livestock with the wrong or unregistered brand;
%association members failure to sign the Range Management Plan or to cooperate in range
management planning;
%failure to follow approved association by-laws;
%failure to allow willing and cooperative permittees to join the association;
%the association represents the interests of a minority of the membership;
%not enough members willing to serve as officers to carry out responsibilities;
%failure to hold annual and regular meetings to democratically involve members;
%failure to carry out a fair share of commonly agreed on management obligations;
%failure to follow the time controlled grazing which is the basis for permit issuance;
%failure to have representative participation in livestock roundups after receiving notice;
MM#1840 Issued 05/26/00; Revised and
10 Reissued Dec 31, 2010.
MANAGEMENT SECTION 1800 NEW LANDS DEVELOPMENT
MANUAL SUBJECT 1840 Issuance and Revocation of Grazing Permits
_/s/CJB___
APPROVED
%willful destruction of livestock developments (corrals, fences, gates, water systems),
%criminal acts against livestock managed by other permittees; and
%gross criminal mismanagement of association funds or property.
Written notification to the Association President of any of these violations may result in the revocation
of the Association Temporary Grazing Permit. This notification may take the form of:
%Form 117 Notice of Livestock Trespass [Ten (10) Day Notice]
%Form 130a Navajo New Lands Livestock Tally [which includes a Ten (10) Day Notice]
%Other official records of violations and non-cooperation.
Notices will be dated and signed by the ONHIR authorized grazing official and issued to the
Association President.
1843.4.1 Procedures for Revoking Association Temporary Grazing Permits.
The grazing official will:
1. Write up a Notice of Revocation of Temporary Grazing Permit which must be approved by the
Supervisory Operations/Range Management Specialist.
2. When there are livestock under the Temporary Association Permit, a Ten (10) Day Notice of
Livestock Trespass will be filled out instructing that all stock must be removed.
3. The copy of the Association Temporary Grazing Permit in the Office file will be stamped:
“Cancelled.”
4. An original copy of the Notice of Revocation of Association Temporary Grazing Permit will be
hand delivered or mailed by certified mail to the Association President. Two copies of the
documents will be made, one to be filed in the Association file at the Chambers Office and one to
be filed at the Flagstaff Office.
Follow-up. Range staff will follow up to assure compliance and to inform other permittees
that the Association no longer has a permit.
Reissuing a Cancelled Association Temporary Grazing Permit. In order to reissue a
cancelled or revoked association temporary grazing permit,
a. The Association must have held a membership meeting with a full quorum and agree
to abide by their by-laws and the grazing regulations in requesting a new permit.
b. The Association President and a majority of the permittees must meet with an ONHIR
MM#1840 Issued 05/26/00; Revised and
11 Reissued Dec 31, 2010.
MANAGEMENT SECTION 1800 NEW LANDS DEVELOPMENT
MANUAL SUBJECT 1840 Issuance and Revocation of Grazing Permits
_/s/CJB___
APPROVED
grazing official and complete Form 109b, Prerequisites for Association Permit Issuance,
and sign the new Association Temporary Grazing Permit. The permit will be signed by
the Supervisory Operations/Range Management Specialist. The original will be given to the
Association President.
c. Range staff will follow up by informing other permittees of the restored permit.
MM#1840 Issued 05/26/00; Revised and
12 Reissued Dec 31, 2010.
MANAGEMENT SECTION 1800 NEW LANDS DEVELOPMENT
MANUAL SUBJECT 1846 Denying Requests for Grazing Permits
_/s/CJB__
APPROVED
SECTION: 1800 NEW LANDS DEVELOPMENT
SUBJECT: 1846 DENYING REQUESTS FOR NEW LANDS GRAZING PERMITS
AUTHORITY: 25 CFR §700, Subpart Q.
POLICY:
New Lands Development Objectives. The New Lands were acquired for relocation purposes to
enable traditional Navajo families to maintain a grazing lifestyle. A primary objective of range unit
development is the relocation of traditional grazers who are physically residing on the HPL.
Applying for a Grazing Permit. A relocatee who wants to graze on the New Lands must meet the
qualifications under 25 CFR 700.709. An eligible individual must apply for a grazing permit before moving
to the New Lands; no original permits will be granted after a client has relocated to a range unit. However,
after the permittee has received a permit and moves, he or she may transfer or assign the permit according
to 25 CFR 700.715.
An eligible individual who wants to graze on the New Lands must submit an application for a grazing
permit and a range unit homesite application at the same time. After receiving a commitment from the Office
of Relocation for a grazing permit and homesite lease, the commitment may be withdrawn by the ONHIR
if the individual refuses or fails to make timely arrangements to relocate.
Grazing Permit in More Than One Name. A New Lands grazing permit will be issued in one
name only. If the HPL grazing permit is in the name of both husband and wife, only one of them may submit
an application. The couple shall decide which of them shall apply for the New Lands grazing permit.
Eligibility Criteria. An application for a grazing permit must be approved by the Supervisory
Operations/Range Management Specialist In order for a person to be eligible for a permit, the individual
must meet all of the following criteria:
[1] must have a current HPL grazing permit or have had an HPL permit issued since 1980; or
be a current HPL resident and show documentation of a past grazing permit issued in their
name for grazing on an area now on the HPL;
[2] must be certified eligible for relocation assistance benefits but have not yet received such
benefits;
[3] must relocate from the HPL to a New Lands Range Unit.
The Office of Navajo and Hopi Indian Relocation maintains a list of persons who meet these criteria
and are eligible to receive a grazing permit on the New Lands.
MM#1846 Issued 11/18/93; Revised and
1 Reissued Dec 31, 2010.
MANAGEMENT SECTION 1800 NEW LANDS DEVELOPMENT
MANUAL SUBJECT 1846 Denying Requests for Grazing Permits
_/s/CJB__
APPROVED
DISCRETIONARY PERMITS.
Persons on the list described above have priority for award of a New Lands grazing permit. The
Executive Director of the Office of Navajo and Hopi Indian Relocation will determine when the application
period for priority permits will close. After the close of the period, the Executive Director, in his sole
discretion, may issue permits to individuals in order to facilitate relocation.
NOTE: The procedures for the issuance of New Lands Discretionary Grazing Permits can be
found at Section 1860 of these procedures. Cross Reference: Policy Memo No. 11.
PROCEDURES: Cross reference MM#1820.
1846.1 Application for Grazing Permit.
General. Until the criteria for discretionary permits are issued, the Relocation Specialists will accept
grazing permit applications only from individuals who are on the list of eligible permittees which is
maintained by the Range Management Office.
1. Action of Relocation Specialists. The specialists will inform their clients who are on the list
of eligible permittees of their eligibility for a New Lands Grazing Permit. The specialists will obtain
completed grazing application forms and homesite lease applications while their clients are in ‘SC’ status.
2. Action of the Land Use Manager. The grazing permit application will be routed to the New
Lands Manager (hereinafter referred to as the “Land Use Manager,”) while the client is in ‘SC’ status. The
Manager will review the application and verify that the applicant has been determined eligible for a grazing
permit under the published criteria. The Manager will recommend approval and award of the permit to the
Executive Director. The Range Office will perform data entry of an “E” indicator for permit eligibility.
3. Award of Permit by Executive Director. The permittee will sign the permit at the Pre-
Construction conference. The permit will be given to the client when they move their livestock to the range
unit in conjunction with the move into their relocation house after it passes final inspection.
1846.2 Denial of Claim for Grazing Permit.
General. The list of eligible permittees was developed through a review of the BIA grazing records
and review of records of certified clients. The list contains the names of all individuals who are known to
be eligible for a permit based upon grazing/permitting history and HPL residence, and distinguishes between
those who have been certified for relocation assistance and have not yet moved, and those who have not yet
applied.
1. Persons Who Claim Eligibility for a New Lands Grazing Permit but are Not on the List.
Until the criteria for discretionary permits are issued, the Specialists will accept grazing applications only
from individuals who are on the list of eligible permittees. If a person claims that his/her name was
MM#1846 Issued 11/18/93; Revised and
2 Reissued Dec 31, 2010.
MANAGEMENT SECTION 1800 NEW LANDS DEVELOPMENT
MANUAL SUBJECT 1846 Denying Requests for Grazing Permits
_/s/CJB__
APPROVED
incorrectly omitted from the list, the Specialist will inform them that they must resolve this issue before
moving to the New lands. The Specialist will provide the client with Form MM#1846.1 Claim for New
Lands Grazing Permit Eligibility (attached) and instruct the client to fill out the top portion and attach all
documentation they have which will support their claim to eligibility. The claim form may be mailed in or
presented in person to the Land Use Manager or the Supervisory Operations/Range Management Specialist.
In addition to submitting the written claim, the client may request an appointment with the Land Use
Manager or Supervisory Operations/Range Management Specialist to explain the basis for the claim. If a
meeting takes place, the Land Use Manager or the Supervisory Operations/Range Management Specialist
will document the information presented.
2. Action by Range Office. If the client has not yet received relocation benefits, and has
presented documentation which appears to demonstrate that he/she meets the eligibility criteria set forth in
25 CFR 700.709, the Range Office shall conduct research to corroborate the client’s claim to eligibility. This
may include research of BIA records in Keams Canyon or Phoenix.
a. Insufficient Documentation: The following types of documents are insufficient
to warrant further research by the Range Office:
%sales receipts
%permit held in someone else’s name
%permit issued for an area not within the HPL
%permit issued for grazing on the HPL by an office other than BIA/Keams Canyon
%no supporting documentation
3. Decision by Land Use Manager. Within 30 days of receiving a claim for grazing permit
eligibility, the Land Use Manager will review the information submitted by the claimant and any additional
information gathered by the Range Office, and will render a written decision. The 30 day time frame may
be extended another 30 days if more time is needed for research into BIA grazing records.
4. Documentation of the Decision. The Land Use Manager will record the decision on the
bottom of Form MM#1846.1 and will issue a letter to the client which states the decision. [See sample letter,
MM#1846A.) If the claim is denied, the Land Use Manager will state the reason(s) for denial and will
inform the client of the right to appeal to the Executive Director. The letter will be sent by certified mail,
return receipt requested, or will be personally delivered by ONHIR staff who will secure a signed receipt.
The original Claim for New Lands Grazing Permit Eligibility will be routed to the client file; copies
as needed will be kept in the Range Office files. A copy of the decision letter will be routed to the client case
file and copies as needed retained in the Range Office files.
1846.3 Appeal of Grazing Permit Denial.
General. A client whose claim for grazing permit eligibility has been denied by the Land Use
Manager may appeal to the Executive Director as provided for in 25 CFR 700.731.
MM#1846 Issued 11/18/93; Revised and
3 Reissued Dec 31, 2010.
MANAGEMENT SECTION 1800 NEW LANDS DEVELOPMENT
MANUAL SUBJECT 1846 Denying Requests for Grazing Permits
_/s/CJB__
APPROVED
1. Form of Appeal. The client, or the client’s legal representative, must submit a written
appeal within 30 days of the date of the Lands Use Manager’s decision. The appeal must be addressed
to the Executive Director and headed, “Appeal of Grazing Permit Denial” and must state why the claimant
believes the decision was wrong. If the claimant has additional documentation which was not previously
considered by the Land Use Manager, the documentation must be enclosed with the appeal.
If the claimant wishes to present supporting information, the information must be reduced to writing,
notarized, and submitted with the appeal.
2. Receipt of Appeal. The appeal will be received and logged by the Administrative Assistant
in the Executive Director’s Office. A copy of the appeal will be routed to the Range Office. The Director
may request a written recommendation from the Land Use Manager. If the claimant has submitted
documentation which was not available at the time of the initial decision, the Executive Director may request
the Land Use Manager evaluate the information in writing before making the final decision.
The Administrative Assistant will suspend the action to be taken and assure that action is completed
within 60 days of the receipt of the appeal.
3. Decision of the Executive Director. The Executive Director shall review the case and shall
render a decision based upon the record within 60 days of the receipt of the appeal. The Director shall
inform the client, in writing, of the final decision and reason(s) for the decision. The decision will be issued
by certified mail, return receipt requested.
4. Final Agency Action. The Executive Director’s decision shall constitute Final Agency
Action of the appeal of a denial of grazing permit eligibility.
MM#1846 Issued 11/18/93; Revised and
4 Reissued Dec 31, 2010.
MANAGEMENT SECTION 1800 NEW LANDS PROGRAM _/s/CJB__
MANUAL SUBJECT 1850 New Lands Grazing Permit APPROVED
Transfers
SECTION: 1800 NEW LANDS PROGRAM
SUBJECT: 1850 GRAZING PERMIT TRANSFERS
AUTHORITY: 25 CFR 700.715
POLICY
Grazing permits issued to New Lands permittees may be assigned or transferred with the written
consent of the contracting parties. The Commissioner may issue a new permit provided the transferee meets
the following qualifications, as set forth in 25 CFR 700.711:
Permit holders must meet all of the following requirements:
1. Be an enrolled member of the Navajo Tribe.
2. Be over the age of 18 years.
3. Maintain a permanent residence on the New Lands Range Unit of permit issue.
4. Own livestock which grazes on the Range Unit of permit issue.
Permanent Residence: A “permanent resident” is defined as follows:
1. A person who has a homesite lease on a New Lands Range Unit in his/her name,
OR,
2. A person who:
a. Has physically resided on the New Lands Range Unit of permit issue for not less
than one year, and
b. Has been a registered member of the Nahata Dzill Chapter for not less than one year
and has relinquished their membership in any other Chapter; and
c. Has provided a sworn statement about where he/she has resided on the New Lands
and his/her relationship to the homesite lease owner.
PROCEDURES
1. Assignment of Grazing Permit Form. The permitted who wants to transfer the permit must
initiate the request by filling out the top portion of the “Assignment of Grazing Permit Form,” which is
available from the Range Office. The bottom portion of this form must be filled out by the person receiving
the permit.
2. Attachments. If the assignee does not have a homesite lease in the Range Unit, he/she must
submit the following, in addition to the completed application:
MM#1850 Issued 3/12/96; Revised and Reissued
1 3/15/11.
MANAGEMENT SECTION 1800 NEW LANDS PROGRAM _/s/CJB__
MANUAL SUBJECT 1850 New Lands Grazing Permit APPROVED
Transfers
a. A copy of his/her voter registration card showing membership in the Nahata Dzill
Chapter for at least one year.
b. A copy of his/her Arizona Driver’s license showing a New Lands’ mailing address.
If the assignee does not have a driver’s license, or the license shows a non-New
Lands’ mailing address, the assignee must submit other documentation which
proves residency on the Range Unit. This may include his/her most current tax
return and W-2 forms showing place of employment, and/or school enrollment
records of the assignee’s children.
c. A notarized statement by the assignee and by another person from the Range Unit,
stating that he/she has lived on the Range Unit of permit issue for at least one year,
where he/she lives on the range unit, and his/her relationship to the transferor.
3. Review by New Lands Manager. The New Lands Manager will review the completed
Assignment of Grazing Permit.
If the assignee has a homesite lease (or is the spouse of a lease holder) the New Lands Manager will
verify this through a check of the ONHIR records. If the assignee does not have a homesite lease, the New
Lands Manager will verify that the required attachments have been provided and contain the information
needed. The New Lands Manager will request a review of the assignment by the Operation/Range
Management Specialist and/or other New Lands ONHIR staff who have personal knowledge of the
assignee’s residence on the Range Unit. The New Lands Manager will determine:
a. If the assignee is an enrolled member of the Navajo Tribe and is at least 18 years
old;
b. If the assignee is registered to vote with the Nahata Dzill Chapter;
c. If the assignee’s driver’s license, or other acceptable form of documentation, shows
a New Lands’ mailing address; and
d. If ONHIR staff know the assignee– do ONHIR staff have personal knowledge, from
their work in the community, that the assignee lives in the Range Unit and has lived
there at least one year.
If there is information that the assignee has lived on the Range Unit less than one year, or is not a
permanent resident of the Range Unit, the New Lands Manager will request additional information, such as
the assignee’s most current tax return or W-2, place of employment and mailing address, children’s school
enrollment records, etc, in order to prove or disprove residency on the Range Unit. The New Lands Manager
may contact the Navajo Electoral Board to confirm the validity of the assignee’s Nahata Dzill voter
registration.
4. Determination by New Lands Manager. The New Lands Manager will determine if the
assignee meets the eligibility requires for a permit assignment and will validate the Assignment of Grazing
Permit. The New Lands Manager will prepare the grazing permit for approval and issuance by the
Commissioner.
MM#1850 Issued 3/12/96; Revised and Reissued
2 3/15/11.
MANAGEMENT SECTION 1800 NEW LANDS PROGRAM _/s/CJB__
MANUAL SUBJECT 1850 New Lands Grazing Permit APPROVED
Transfers
5. Disagreement with the Determination. If the assignee disagrees with the decision of the
New Lands Manager, he/she may appeal the decision following the procedures set forth in Management
Manual §1846, “Appeal of Grazing Permit Denial.”
6. Death of Permittee. In the case of the death of a permittee, ONHIR will honor an heirship
determination made by the Navajo Family Court, so long as:
a. The heir determined by the Court is eligible for a New Lands Grazing Permit under the
ONHIR regulations, and
b. The Grazing Permit goes to only one person.
MM#1850 Issued 3/12/96; Revised and Reissued
3 3/15/11.
MANAGEMENT SECTION 1800 NEW LANDS PROGRAM __/s/CJB_
MANUAL SUBJECT 1860 New Lands Discretionary Grazing APPROVED
Permit
SECTION: 1800 NEW LANDS PROGRAM
SUBJECT: NEW LANDS DISCRETIONARY GRAZING PERMITS
Policy Memorandum No. 11
AUTHORITY: 25 CFR §709
POLICY
On March 1, 2001, the Executive Director of the Office of Navajo and Hopi Indian Relocation issued
Policy Memorandum No. 11, which stated that the ONHIR would notify, by personal service or certified
mail, those fifteen (15) individuals remaining unrelocated who are eligible to receive a New Lands Grazing
Permit [as identified in 25 CFR §709(a)] that they must make application for a New Lands Grazing Permit
within sixty (60) days of the date they received said notice.
Further, the ONHIR, in accordance with 25 CFR §700.13(b), waived the requirements of its
regulations to publish the date which closes the period for application for a New Lands Grazing Permit. The
Office has now determined that those 15 individuals identified as eligible to receive a New Lands Grazing
permit have been properly notified, and pursuant to 25 CFR §709(d), effective immediately the Office will
proceed to issue Discretionary New Lands Grazing Permits in such a manner as will best facilitate the
relocation process.
PROCEDURE
1860.1 Identification of Prospective Applicants
The Relocation Operations Branch Specialists shall research their caseloads for the purpose of
identifying those clients who would be suitable candidates for the receipt of a New Lands Discretionary
Grazing Permit. The Specialist shall consider whether or not the issuance of a discretionary grazing permit
to this client would be in the best interests of the client as well as the government and if it would facilitate
the relocation process. Factors which may be considered by the Specialist in conducting this review are:
1. Has the client engaged in a traditional lifestyle? Does he/she have a history as a grazer,
possessing the knowledge, background, and skills necessary to be successful?
2. Has the client previously expressed an interest in moving to one of the New Lands Range Units
or has the client been unsuccessful in finding a suitable relocation site on the reservation?
3. Is the client an Accommodation Agreement relinquisher?
4. Does the client have close family members who have previously relocated to the New Lands?
5. Does the client have other family members, who are certified clients, who might be interested in
moving to the New Lands? Could the granting of this permit result in a multi-family move?
MM#1860
Issued 9/17/01; Revised and
3/16/04; 5/24/11. -1-
MANAGEMENT SECTION 1800 NEW LANDS PROGRAM __/s/CJB_
MANUAL SUBJECT 1860 New Lands Discretionary Grazing APPROVED
Permit
6. Any other factors which the Specialist believes support the granting of a permit to this client.
After the Relocation Specialist has completed the review and identified those clients who in the
Specialist’s opinion the receipt of a New Lands Discretionary Grazing Permit would benefit the client and
the government, the Specialist shall meet with the Team Leader to discuss the case history and the factors
which the Specialist has identified. If the Team Leader concurs with the Specialist’s recommendation,
thereafter during the routine counseling process, the Specialist will inform the client(s) so identified that
Discretionary New Lands Grazing Permits are now being issued.
The issuance of New Lands Grazing Permits shall not be limited to those individuals identified by
the ONHIR as possible candidates for the award of a permit. The ONHIR will also entertain requests from
certified eligible clients who come forward and request the issuance of a New Lands Grazing Permit. In such
event the Relocation Specialist will conduct the analysis set forth above and proceed with processing the
request in accordance with these procedures.
1860.2 Advice to Client
At such time as the certified head of household expresses an interest in acquiring a discretionary
grazing permit, the Relocation Specialist will advise the client of the following:
1. Eligibility for a New Lands Discretionary Grazing Permit is not automatic.
2. Issuance of the permit by the Executive Director is not automatic nor will permits be
issued on a “first come -- first serve basis.”
3. The Executive Director will consider each request on its own merits, on a case-by- case
basis, and the decision to grant or deny the request will be based upon those factors which,
in the opinion of the Executive Director, will best facilitate the relocation process.
4. The requirement to abide by New Lands Grazing Regulations.
.
5. That Grazing Permit Fees are being considered.
The Relocation Specialist will also inform the client that sponsorship for a move to one of the New
Lands Range Units, as set forth in MM§1820, is not required if the move to a New Lands Range Unit is
contemplated in conjunction with the receipt of a discretionary grazing permit.
1860.3 New Lands Tour
The Office has determined that the client’s participation in a New Lands Tour is in the best interests
of the client, the New Lands Community, and the Government. Therefore, the Relocation Specialist will
inform the client that his/her participation is mandatory. The client’s household members will also be
encouraged to attend. The purpose of the tour is to provide the client an opportunity to view the New Lands
as well as those Range Units in which homesite leases and discretionary grazing permits are available and
to gain information about the range management system. The tour shall be scheduled and conducted in
accordance with the procedures set forth in MM§1822.
MM#1860
Issued 9/17/01; Revised and
3/16/04; 5/24/11. -2-
MANAGEMENT SECTION 1800 NEW LANDS PROGRAM __/s/CJB_
MANUAL SUBJECT 1860 New Lands Discretionary Grazing APPROVED
Permit
In the event the client does not wish to initially participate in a New Lands Tour but first requests
more information regarding New Lands grazing, an orientation may be presented by the New Lands staff at
the ONHIR office in Flagstaff or at an outside location as requested by the client. The Relocation Specialist
shall contact the appropriate New Lands staff member (following the procedures outlined in MM§1820) to
schedule the orientation. The New Lands staff shall be provided a minimum of two weeks advance notice
of the scheduling of a New Lands orientation presentation. The client’s participation in the orientation will
not waive the requirement that he/she participate in a New Lands Tour prior to the submission of their
request for a Discretionary Grazing Permit.
1860.4 Referral to the Executive Director and Recommendation for Approval
If after the client has attended a New Lands Tour and New Lands Orientation, the client indicates
his/his intent to relocate to a New Lands Range Unit, the Relocation Specialist shall complete Form 1860a,
“Request for Issuance of New Lands Discretionary Grazing Permit.” The Specialist shall detail in the
narrative portion of the form not only the client’s reasons for requesting the issuance of a permit but also the
Specialist’s reasons for supporting the request and why the Specialist believes the granting of the permit to
be appropriate, ie., the client’s prior experience and knowledge of livestock and grazing, the client has family
members who have relocated to the New Lands, and/or any other factors which the Specialist believes will
enhance the client’s prospects for success as a livestock grazer on the New Lands. The Specialist shall also
state in the narrative why the granting of a Discretionary New Lands Grazing Permit to this client would be
in the best interests of the government.
After completion of the “Request for Issuance of a New Lands Discretionary Permit” form by the
Relocation Specialist, it shall be routed first to the Relocation Branch Team Leader and then to the
Relocation Operations Branch Manager for approval. If approved by the Relocation Operations Branch
Manager, the request shall be delivered to the Land Use Manager for his /her review and approval. The
Land Use Manager shall then forward it to the Executive Director who shall make the final decision as to
whether or not the client’s request for a New Lands Discretionary Grazing Permit should be granted.
1860.5 Decision of the Executive Director
The Executive Director shall review the request and decide whether or not the issuance of a New
Lands Discretionary Grazing Permit to this client is in the best interest of the client and the government. The
Executive Director shall indicate his decision on Form MM#1860a and return it to the Land Use Manager.
The Office of the Land Use Manager shall deliver copies of the Executive Director’s decision to the
Relocation Operations Branch Manager who in turn will notify the ROB Team Leader and the Relocation
Specialist of the decision. The Relocation Specialist shall then inform the client, in writing, of the Executive
Director’s decision.
In the event the request is denied, the client shall have no right of appeal therefrom.
If the client’s request is approved by the Executive Director, the client’s application for a
discretionary grazing permit shall be submitted and processed in accordance with the procedures set forth
in MM§1841.
MM#1860
Issued 9/17/01; Revised and
3/16/04; 5/24/11. -3-
MANAGEMENT SECTION 1800 NEW LANDS PROGRAM __/s/CJB_
MANUAL SUBJECT 1860 New Lands Discretionary Grazing APPROVED
Permit
1860.6 Requirement to Proceed with Timely Relocation
The client shall take all appropriate action to proceed with his/her relocation to the New Lands. If
the client should fail to enter into a contract for relocation within six (6) months from the date the Executive
Director has entered approval of the issuance of the discretionary grazing permit, the permit may be revoked
at the sole discretion of the Executive Director.
The New Lands Discretionary Grazing Permit shall be issued to the client in accordance with the
procedures set forth in MM§1841.1(5).
MM#1860
Issued 9/17/01; Revised and
3/16/04; 5/24/11. -4-
MANAGEMENT SECTION 1800 NEW LANDS PROGRAM _/s/CJB__
MANUAL SUBJECT 1870 Padres Mesa Demonstration APPROVED
Ranch
SECTION: 1800 NEW LANDS PROGRAM
SUBJECT: Padres Mesa Demonstration Ranch
General
The management of the Padres Mesa Demonstration Ranch (PMDR) is carried out by the Ranch
Manager, who is an ONHIR employee, and three contract cowboys. In addition, the Land Use
Manager observes many of the functions, as does the Navajo Nation Ranger assigned to the New
Lands area. (The Ranch Manager reports to the Land Use Manager, who, in turn, reports to the
ONHIR Executive Director.)
The majority of the work on PMDR is performed by the ranch staff (Ranch Manager and cowboys).
The Land Use Manager and/or the Navajo Nation Ranger are present when the bulk calves are sold,
when cattle are received by PMDR as replacement cattle, and periodically when cattle are moved
between pastures. In addition, these two individuals also periodically monitor activities within the
New Lands range grazing units.
Daily Logs are kept at the Ranch and are filled out every day (this Log is kept on a large dry erase
board ). This Log indicates the hours the cowboys worked, what was done on that day, what didn’t
get done, problems with any single cow, etc., in a very detailed way. When the staff comes in on
a daily basis, they can determine for themselves what needs to be done and start out their work
day. This log is recreated in the PMDR computer every week, so that a permanent record is
maintained. This permanent record is then sent to IMI Global twice a year so that this company
that verifies source and age of cattle can see if the PMDR is operating according to the source and
age verification requirements. The IMI Global auditors will also look at any of the other PMDR
records, if they feel it is necessary.
There is an additional dry erase board at the PMDR that keeps information on the active cattle
inventory. This board will indicate first birthing dates of the herd as well as information on
particular cows.
Incoming Cattle:
The PMDR staff has determined that it is not cost-effective to raise our own calves to eventually
become breeding cows. There is at least a 3-year period before they can be used for breeding
purposes. With all the procedures that would have to be performed on these calves to use them
for breeding purposes (vaccinations, mineral supplements, internal and external parasitic control,
moving between pastures, checking physical health, etc.), the costs required plus the time involved
MM#1870 Revised 7/11/2014
-1-
MANAGEMENT SECTION 1800 NEW LANDS PROGRAM _/s/CJB__
MANUAL SUBJECT 1870 Padres Mesa Demonstration APPROVED
Ranch
would make them more expensive to raise than the alternative of buying breeding-age Heifers
(virgin cows) or bred cows.
When PMDR determines that new cows are needed (older ones are sold off when they cease to
be productive), the Ranch Manager will determine which ranchers are selling cattle and what the
market price is. Once he locates the cattle he wishes to purchase, the shipper will have health
checks done on these specific cattle and provide a health certificate to the shipping company and
PMDR. When the cattle arrive at PMDR, the PMDR will check the cattle for correct numbers sent,
insure that the cattle conform to the specified breed, and also make sure these cattle are in good
health. After this has been determined, the Ranch Manager will sign the shipping receipt, which
will be returned to the sender. If the cows are bought as pregnant, PDMR will receive a vet
certificate from the shipper that will verify that the cows are pregnant and indicate their due dates.
Prior to receipt of these cattle, the Ranch Manager will have ordered ear tags for each animal.
PMDR has two separate herds: the spring herd (who will receive green/lime tags) and the fall herd
(who will receive red/orange tags). These tags will have the following information preprinted on
them:
Last digit of their year of birth (4 currently)
Individual animal # (which will be different for each animal, and are
issued consecutively---1, 2, 3….)
Premise # ---all fall cows will have one number, and all spring cows
will have another number.
These tags will stay on the cattle until the animals are sold or otherwise disposed of, or if the tag
comes off. The tag will not be reused, but a tag worked off by the cow will be replaced with a new
number. These numbers are entered in the PMDR computer as the cow’s ID number as the tags
are being attached to their ears.
Once each month, the ranch staff monitors the rain gauges. These gauges are located in the
various pastures on PMDR. As the staff goes from gauge to gauge to observe and record the
information from the gauge, the staff will check the adjacent fences, wells, and any other
infrastructure. Normally, if repairs or maintenance is needed, the staff will take the appropriate
action that day, which will then be recorded in the Daily Log. If they do not have the time right
then, the information is recorded on the Daily Log and the problem will be taken care of the next
day, or as priorities permit. While such work is being done, the cattle will be moved to a different
pasture. The pastures have a holding cell nearby. As the cattle are being herded into that cell, the
cattle will be counted by the staff. Any cattle that are missing will be searched for and located.
(Since cattle are social animals, if the missing cattle aren’t found on day 1, many times these
missing ones will be found next to the holding pen where all the other cattle are on day 2.)
MM#1870 Revised 7/11/2014
-2-
MANAGEMENT SECTION 1800 NEW LANDS PROGRAM _/s/CJB__
MANUAL SUBJECT 1870 Padres Mesa Demonstration APPROVED
Ranch
Basically, a physical inventory is being done monthly and compared to the PMDR computer count.
As of this date, we have always found any missing animals.
If a cow is found dead, the animal will be necropsied to determine the cause of death by PMDR
staff. If it is something the animal ate that day, the ranch needs to find out immediately and clear
the area to make sure no other cattle will eat that particular thing. Items the cattle have eaten that
will kill them almost immediately are batteries from vehicles, staples, metallic balloons, fiberglass,
illegally dumped materials, plastic items, shiny metal objects, etc. Packs of feral dogs have also
killed a few cattle. The ear tag will then be removed and the animal’s death recorded in the
computer. This information will also be entered into the Daily Log. Interestingly enough, for a
commercial herd on range land pasture, up to a 2% loss is considered successful ranching. The
losses at PMDR fall within that successful range.
When the cattle are sent through chutes to get vaccinations, etc., the PMDR staff will check each
cow’s condition---are her teeth still good, are her feet okay, etc. The staff will call out and record
this information very quickly as they are going through the chute. If the individual cow has multiple
problems, has had health problems in the past, or hasn’t birthed within the past two years, she may
be culled. Any non-lactating cows seen when pasture moves are made are noted in the PMDR
computer as a first-strike against the individual cow. A second result of no calf being born to that
particular cow, as well as other problematic health checks, can result in that cow being culled from
the herd. Culled cattle will be separated from the herd and sold at one of the livestock auction sale
barns in Holbrook, AZ or Belen, NM.
Calving;
The cows are exposed to the bulls for the three-month breeding season. The cow then has a 9-
month gestation period. The date of the first calf born to a cow is entered into the Daily Log---this
is required for the IMI Global Source and Age Verified Certificate. At about 2 months, the calves
are branded and a percentage of calf return is calculated. PMDR expects a return of 90-95% of live
births on cows bred. This rate of return is also considered a sign of successful management.
Calves get ear tags similar to the cows, but these are not entered into the computer because the
calf is a temporary animal and is considered part of the cow unit until the calf is weaned at about
7 months of age. The staff, however, will manually keep track of these calves by this tag number,
just as is done for the cows. The calves are sold when they are between 8 months and 1 year old.
A sale of 90-95% of the calves sold to the bulk beef market is also considered a sign of successful
management. If the Ranch Manager thinks that holding them for a month will bring a better price,
then the ranch has the capability of holding these calves until the price is better. About a month
before the sale, an EID tag (electronic tag) for each calf will be ordered from US Verified Audit
through IMI Global Inc. (Cows don’t get these tags because they are not going to be sold in bulk.)
This EID tag will have a number indicating the last digit of the birth year (for instance, the current
MM#1870 Revised 7/11/2014
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MANAGEMENT SECTION 1800 NEW LANDS PROGRAM _/s/CJB__
MANUAL SUBJECT 1870 Padres Mesa Demonstration APPROVED
Ranch
number is 4), a calf number (for instance, 1, 2, 3, etc.), and a premise number (indicating which
herd). This tag will be read when the calf is sold, loaded for shipment, sent to the feed lot, and will
be used as well on the boxes containing beef product after harvesting. This is how source and age
verification works.
All EID tags sent to the ranch must be accounted for. The report will show where each tag was
used---for instance, the first and last EID tag numbers of the bulk calves sold (the total agreeing to
how many calves were sold), which tags were destroyed, which tags were cutout and destroyed,
and which tags were used on calves that were sold at the sales barn. The USDA uses this tag list
to validate the number sold. Each group handling the calves after the bulk sale from PMDR, from
the feed lot to the harvest house, has to report these tags used to USDA. The calves will get shots
within 18 days prior to shipment. These inoculations are to make the calf stronger for travel. The
EID tags are applied at that time. Calves that do not meet the grade or are in excess of a full
truckload are sold at the sales barn and do not need these EID tags, since those calves are not going
through the Source and Age verification service. The tag will be invalidated and reported to IMI
Global on these calves. The IMI Global auditors will trace the ear tags, and the feedlot will compare
the tags to the audit records from IMI. A Navajo Nation Brand Inspector will provide an inspection
invoice for all animals shipped. Many times this will be the Navajo Nation Ranger.
Outreach:
The Padres Mesa Demonstration Ranch is a demonstration project. The goal is to show other
ranchers (primarily Relocatees and other Native American ranchers) how to raise and market cattle
using the best procedures, and thereby make a profitable living for the individual rancher. The
primary targets for these demonstrations have been the New Lands ranchers. These Relocatees
have now formed a group called Nahata Dziil 14R Ranch Corporation. These individuals live in the
14 range units on New Lands. With the help of PMDR, Grand Canyon Trust, and First Nations, this
group has formed this corporation to sell their livestock. In addition, PMDR has teamed with the
Navajo Nation Dept of Agriculture, the USDA, and University of Arizona to train individuals in many
of the skills needed for ranching, resulting in certificates of completion for these trained individuals
similar to certificates from college classes.
In addition to these classes, the PMDR staff often goes out to the range units to help people give
vaccinations or to check their cattle. Some of this is volunteer work by the staff, and some is work
that is reimbursed through First Nations grants.
Data pertaining to the Ranch/cattle is contained in Cattlemax Software and various excel
spreadsheets.
MM#1870 Revised 7/11/2014
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MANAGEMENT SECTION 1800 NEW LANDS PROGRAM _/s/NLT_
MANUAL SUBJECT 1880 Windmill Tower Climbing and APPROVED
Fall Protection Program Procedures
SECTION: 1800 NEW LANDS PROGRAM
SUBJECT: Windmill Tower Climbing and Fall Protection Program Procedures
Introduction
These procedures are written to establish a tower climbing and fall protection program to provide for
the safety of the windmill tower climber workers that climb, traverse, move, and work on windmill
towers and other elevated work sites.
General Requirements
In accordance with 29 CFR, Section 1910.132 (Personal Protective Equipment), Subpart M, Section
1926.500 & 501 (Fall Protection), Section 1926.502,(Fall Protection Systems/Criteria), Section 1926.503
(Training Requirements), Section 1910.66 (Personal Fall Arrest System) and the ONHIR Management
Manual procedures, it is a requirement for all windmill tower climbers, technicians and contractors who
perform windmill tower work or other elevated work , be determined to be medically qualified to
perform those jobs, be trained and certified to perform those jobs, have the appropriate equipment to
do the job, work on windmill tower or other elevated structures that are safe and perform those jobs in
accordance with written procedures and the Code of Federal Regulations.
Windmill towers should be designed to meet the safety needs of the windmill tower climbers and
minimize the need for climbing. Qualified outside contractors should be considered in fulfilling the
agency’s requirements for windmill tower climbing.
Windmill Tower Climbers, workers and technicians shall only climb towers certified by the manufacturer
to meet Industry and OSHA standards, 29 CFR 1926.750, 751, 752, 753, 754, & 755 for tower
construction. Windmill towers that do not meet these standards will be red tagged until they are
retrofitted or replaced with windmill towers that meet these standards.
Risk Assessment
Every effort must be made to perform a risk assessment of windmill tower climber work and worksite in
accordance with OSHA regulations, 29 CFR 1910.132 prior to performance of windmill tower work or
climb. Any work performed that does not comply with these procedures or the Code of Federal
Regulations must be clearly documented and reported to the Safety Officer.
The ultimate responsibility for determining whether to climb, conduct elevated work or general work on
a windmill tower is the responsibility of the Windmill Tower Climber work crew supervisor.
MM#1880 Created 11/19/2014
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MANAGEMENT SECTION 1800 NEW LANDS PROGRAM _/s/NLT_
MANUAL SUBJECT 1880 Windmill Tower Climbing and APPROVED
Fall Protection Program Procedures
Program Responsibilities
Tower Climbing and fall protection program coordination will be assigned to the following staff:
Direct Supervisor(s) are:
•Responsible for maintaining position descriptions (PD) that accurately relate to tower climbing
physical requirements and abilities.
•Shall be aware of health issues with employees who climb and to ensure that windmill tower
climbers adhere to required safety practices.
•Will evaluate physical condition of the climbers before allowing them to climb.
•Shall be aware of changes in conditions and events that may require review and modifications
of fall protection system in use or work procedures.
•Shall require that all climbing and fall protection equipment in use be inspected prior to each
use.
•Will ensure that risk assessment is well understood by work crew and if a crew member
identifies a safety concern, shall stop all work until the issue is resolved.
•Will assure that employees receive the proper training required in the use, care and inspection
of fall protection/safety equipment.
•Will ensure that proficiency requirements which allow windmill tower climber workers to
perform climbing activities are met.
New Lands Safety Officer
•Will assist in the development and establishment of tower climbing and fall protection safety
and rescue procedures and practices.
•Will perform periodic spot checks of windmill tower climb work sites and activities to ensure
compliance with procedures and use of safety equipment.
•Will maintain an inventory of qualified tower climbers equipment (PPE).
•Will perform quarterly inspection of personal protective equipment (PPE) used by windmill
tower climbers.
•Will arrange for periodic OSHA training in fall protection, use of PPE training with windmill
tower climbers in cooperation with supervisor.
•Shall arrange for purchase of approved fall protection/safety equipment and other PPE for
windmill tower climber crew when needed.
•Shall prepare report/memo to the Supervisor and New Lands Program Specialist regarding
windmill tower climber practices, inspections and risk assessment.
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MANAGEMENT SECTION 1800 NEW LANDS PROGRAM _/s/NLT_
MANUAL SUBJECT 1880 Windmill Tower Climbing and APPROVED
Fall Protection Program Procedures
Employees/Windmill Tower Climbers
•Will participate in the refinement and implementation of windmill tower climbing and fall
protection training and procedures.
•Shall ensure that safety practices under established tower climber and fall protection
procedures are carried out in an effective manner.
•Shall adhere to fall protection, safety and rescue procedures when engaging in windmill tower
climbing activities.
•Will identify unsafe and unhealthful conditions that exist or are anticipated at a windmill tower
job site and notify supervisor.
•Shall be responsible for inspecting their personal fall protection/safety equipment, PPE
equipment prior to each use.
•Will notify supervisor of any physical conditions that may impact their ability to perform
windmill tower climber work.
Personal Protective Equipment (PPE)
This section will identify the application of Personal Protective Equipment (PPE) utilized by windmill
tower climber workers while climbing, resting, or performing work at elevated windmill tower locations
or other elevated sites. PPE is stipulated by OSHA regulations 29 CFR 1910.132 (General Requirements),
29 CFR 1910.133 (Eye & Face Protection), 29 CFR 1910.135 (Head Protection), 29 CFR 1910.136(Foot
Protection) and 29 CFR 1910.138 (Hand Protection).
The equipment described is utilized to help place the workers in a desirable working position and to
reduce the probability of potential fall accident injuries:
•Personal protective equipment is to be stored in a dry, secure area and protected from cuts,
abrasions and exposure to chemicals or water when not in use.
•Mandatory inspection of fall protection/safety equipment (PPE) before each use by the user of
the equipment will serve to minimize accidents resulting from deterioration of equipment.
•All fall protection/safety equipment (PPE) shall be periodically inspected by the Safety Officer on
a semi-annual basis or periodic basis and a record of inspection shall be maintained in the office.
•Manufacturer’s instructions and recommendations shall be incorporated into inspection,
replacement and preventative maintenance program for fall protection/safety equipment (PPE).
•Defective equipment shall be removed immediately from service and tagged as such until
repaired or replaced by the Supervisor in coordination with the Safety Officer.
•If defective fall protection/safety equipment is determined to be non-repairable, it shall be
disposed of immediately by the Safety Officer.
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MANAGEMENT SECTION 1800 NEW LANDS PROGRAM _/s/NLT_
MANUAL SUBJECT 1880 Windmill Tower Climbing and APPROVED
Fall Protection Program Procedures
Fall Prevention/Safety Equipment Positioning System
•Full Body Harness – Tower climber workers will be required to wear a full body harness as
defined in 29 CFR 1926.750 and as stipulated in 29 CFR 1926.761. The harness will be fitted with
straps which are secured about the tower climber workers in a manner that will distribute the
fall arrest forces over at least the worker’s thighs, pelvis, waist, chest and shoulders.
•The harness will be provided with a means for attaching the harness to other components of a
personal fall arrest system. (Effective 1/1/1998 the use of a body belt [safety belt] for fall arrest
is prohibited).
•OSHA Certification – full body harnesses use by ONHIR windmill tower climbers shall be certified
by the manufacturer to meet all OSHA standards and regulations.
•Selection of Safety Harness - equipment shall be selected by the Supervisor in coordination
with Safety Officer who will ensure that the harness fits employees properly and will offer
advantages for windmill tower structure design. Non composite (100 percent leather)
positioning straps or lanyard or body belt buckle straps shall not be used.
•Work Positioning – the full body with lanyard harness shall permit work positioning and limit
exposure to falls while windmill tower climber has both hands free to perform a work task. The
harness is a fall prevention system that will limit falls.
•A risk assessment shall be completed by the windmill tower climber and/or supervisor at each
job site prior to the start of any work at the job site or work area to determine weather,
conditions, structural safety of windmill towers, and physical condition of windmill tower
climbers.
Rescue Equipment
Rescue equipment shall be designed to work with the type of structure or aerial device that a windmill
tower climber work or rescuer may be required to use:
•Rope (handline/lifeline)
•Controlled descent devices
These devices shall be attached to the full body harness such that the rescue worker will have control of
the descent and be able to attach and detach from the device.
Supervisor shall ensure that all necessary components to affect the attachment between the descent
device and the climber’s full body harness are stored with the descent device.
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MANAGEMENT SECTION 1800 NEW LANDS PROGRAM _/s/NLT_
MANUAL SUBJECT 1880 Windmill Tower Climbing and APPROVED
Fall Protection Program Procedures
Pre Climb and Rescue Procedures
A vital step in the risk assessment process will be rescue procedures and equipment to be used in the
event of an incident.
•Rescue of fall victims shall be included in all training and job planning.
•Rescue procedures shall provide for prompt rescue of employees or a means of self rescue
(controlled descent device or two way radio headset).
•When possible an aerial device, crane or hand line (lifeline) or other device capable of lifting a
climber should be readily available.
•A site safety briefing shall be held at the beginning of each day, job or change in work procedure
to review potential hazards involved in the work to be performed and potential rescue methods
available.
•Employees shall not be assigned to work on or around hazardous areas or conditions EXCEPT in
pairs and always with established communication.
•Tower climbing will only be performed by qualified climbers and in pairs.
•An initial risk assessment will be completed on each windmill tower structure by the work crew
in conjunction with the immediate supervisor. An assessment will be based on level of risk and
whether to proceed based on these hazards or risks.
•Manufacturer’s recommendations and OSHA requirements shall be followed for the inspection,
use and maintenance of all PPE and safety equipment.
•Only PPE certified by the manufacturer to meet all OSHA standards and regulations is authorized
for use by windmill tower climbers.
•The risk assessment conducted at each work site shall be documented and reviewed to
determine what PPE and safety equipment are necessary and whether new hazards are present
at the job site as stipulated by OSHA regulations, 29 CFR 1910.132.
Medical Services and First Aid
•All employees whose work assignments on windmill towers occurs in the field and places them
beyond reasonable access to a medical facility by time and distance (15 minutes and/or 10
miles) must be adequately trained to render first aid.
•All windmill tower climbers shall have a current certificate in first aid and CPR before accepting
field assignments. Biennual training for windmill tower climbers and technicians will be
scheduled by the agency for this purpose.
Personal Protective Equipment (PPE)
•Observers/visitors to a windmill tower climber work site shall not enter the work area or drop
zone unless authorized by the supervisor and if authorized, will be equipped with personal
protective equipment dictated by the hazards present at the work site.
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MANAGEMENT SECTION 1800 NEW LANDS PROGRAM _/s/NLT_
MANUAL SUBJECT 1880 Windmill Tower Climbing and APPROVED
Fall Protection Program Procedures
•The following list specifies safety equipment that is either required or recommended to be used
while on the job site and for climbing windmill towers:
oHead Protection – windmill tower climber technicians shall wear hard hats or approved
safety helmets on the job site whether they are on the ground or climbing the windmill
tower. Anyone within the drop zone of a windmill tower project must wear a hardhat
and exercise caution. Hardhats or safety helmets will also be equipped with chinstraps
when in use as stipulated in OSHA regulations, 29 CFR 1910.135.
oFoot Protection - steel toed, reinforced sole, tower climbing boots or shoes are
recommended for tower climbers. Weather conditions will dictate what best foot
protection will be. Tennis and other soft soled shoes shall not be used for tower
climbing as stipulated in OSHA Regulations, 29 CFR 1910.136.
oHand Protection – leather work gloves are recommended for climbing windmill towers
as stipulated in OSHA regulations, 29 CFR 1910.138.
oEye Protection – safety goggles or safety glasses shall be used when eye safety is at risk
as stipulated in OSHA regulations, 29 CFR 1910.133.
oEar Protection – Ear plugs should be used when ear safety is at risk.
oClothing –Suitable work clothes shall be worn when climbing windmill towers to offer
protection from cuts, abrasions, weather conditions, and other tower structure hazards.
Adequate work clothing should consist of coveralls or pants and shirts made of suitable
material for outdoor work conditions. Clothing shall not be loose or ragged and should
be free from snag hazards such as loops or belts as stipulated in OSHA regulations, 29
CFR 1910.132.
oCommunication Devices - Two way hands free, voice actuated headsets and equipment
that are optional equipment that can be worn by windmill tower climbers and ground
safety person to provide reliable communications during work.
Personal Conduct
Unsafe climbing practices that are prohibited while working on windmill towers are as follows:
•Climber shows fatigue.
•Not inspecting windmill tower or PPE before climbing.
•Attaching to a windmill tower with an inadequate anchorage.
•Not maintaining 100% attachment with full body harness.
•Throwing any material up or down while on windmill tower.
•Failure to maintain a 3 point contact while climbing windmill tower.
•Holding onto a tower beam or pole for support.
•Climbing while under the influence of alcohol or drugs.
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MANAGEMENT SECTION 1800 NEW LANDS PROGRAM _/s/NLT_
MANUAL SUBJECT 1880 Windmill Tower Climbing and APPROVED
Fall Protection Program Procedures
•Climbing when ill or on medication that may negatively impact or impair good judgment or
performance.
•A windmill tower climber who is ill and/or on medication which may inhibit physical work ability
or cause dizziness, drowsiness will not be allowed to climb.
•A windmill tower climber who exhibits an adverse physical condition that prevents them from
functioning as a tower climber shall not function as a ground safety person as this condition will
prevent them from performing a rescue.
•Use of cell phone on the ground or during a climb is prohibited except when communicating
with office staff regarding work related purposes or for emergency purposes.
Fall Protection Requirements for Elevated Work on Windmill Towers or other Structures
This section defines the fall protection requirements for working at an elevated level (6 feet or higher)
on a windmill tower or other related structure.
•Qualified Climber Classification - An employee may become certified as a qualified climber as
defined in these procedures after successfully completing windmill tower fall protection, safety
and rescue training courses, satisfying physical requirements and showing demonstrated
proficiency in climbing.
•Training – Employees that are to be designated as qualified climbers shall be trained in
accordance with OSHA requirements (29 CFR 1926.751) for windmill tower climbing and
construction. Documentation of training will be provided to the Human Resources Branch by
the employee.
•Medical Requirements - Employees who are designated as qualified climbers will be required to
undergo a physical examination every two years to ensure they are physically fit for the physical
stresses of tower climbing and rescue. Documentation of medical exams will be provided to the
Human Resources Branch by the employee.
•Common Requirements – Prior to any windmill tower climbing work, a Risk Assessment (RA)
must be completed for each job site. The RA shall include a pre-climb windmill tower checklist
and inspection report to accurately determine the overall tower condition, or other hazards and
what PPE is required. The assessment will be documented and a copy will be kept on file at the
Chambers Range office.
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MANAGEMENT SECTION 1800 NEW LANDS PROGRAM _/s/NLT_
MANUAL SUBJECT 1880 Windmill Tower Climbing and APPROVED
Fall Protection Program Procedures
Windmill Tower Training
Qualification of employees for windmill tower climbing work and designation as qualified windmill tower
climbers will be based on training and certification in accordance with this policy and OSHA regulations
(29 CFR 1926.503).
Due to the variety of climbing techniques and associated hazards in windmill tower work, it is essential
that each respective windmill tower climber be given sufficient training to master the required skills.
•Windmill tower climbers will be trained in the principles of fall protection, safety and rescue, use
and care of a full body harness, safety climbing devices, windmill tower climbing, transferring
between equipment and structures, and rescue techniques.
•Windmill tower climbing instruction shall be presented to the worker so that they can recognize
and avoid dangerous conditions while at the same time mastering the rigors of climbing, resting
and positioning for work on various structures.
•Each piece of equipment used for windmill tower climbing and work position attachment shall
be explained and demonstrated.
•Windmill tower climbers shall become proficient in the use and care of the equipment to avoid
abuse or use beyond its designated life; and become aware of aspects of the equipment and
materials such as stresses and effects on safety margins while climbing or working.
•Windmill tower climbers shall be trained in recognizing emergencies and how to select and use
the appropriate rescue equipment and the proper technique for the situation.
•Workers shall be trained in the selection and use of PPE, fall protection (PFAS) and rescue
equipment and their application, proper anchoring, tie-off techniques, proper rigging practices,
determination of elongation and deceleration distance, methods of use, and inspection and
storage of the system.
•Workers shall become familiar with the manufacturer’s recommendations, reduction in strength
caused by tie-offs and maximum allowed free fall distance and total fall distance.
•Windmill tower training shall include both classroom and actual field demonstration of the
classroom instruction. An industry qualified instructor will provide and conduct both the
classroom and field training and certification.
•Other windmill tower training will include training in emergency care for qualified climbers to
have a current first aid and CPR certificate.
•All windmill tower climbers prior to attending windmill tower training will pass a physical exam
to fulfill the physical requirements of a qualified climber. The completed medical exam
paperwork will be retained by the Human Resources Branch.
•Windmill tower climbers who have successfully completed a course of instruction on windmill
tower climbing will be deemed as having the skills required to be proficient in tower climbing
and fall protection, safety and rescue techniques
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MANAGEMENT SECTION 1800 NEW LANDS PROGRAM _/s/NLT_
MANUAL SUBJECT 1880 Windmill Tower Climbing and APPROVED
Fall Protection Program Procedures
Medical Requirements
•Employees who are designated as qualified climbers shall have passed a physical examination
every two years to ensure they are physically fit for the physical stresses of tower climbing and
rescue.
•The windmill tower climber technician must possess the basic physical fitness required to
perform the tower climber work or the technician will not be allowed to perform climbing
activities.
Windmill Tower Climbing Activities Requirements
oDuring all windmill tower climbing activities at least two (2) qualified climbers shall be
present on the job site. One of these qualified climbers will have been designated as a
qualified climber for at least two years.
oWindmill tower climber technicians shall be attached to an anchorage point at all times
when working or resting at elevated locations (6 feet and above). Moving, relocating,
transitioning and transferring activities performed on the tower require 100% attachment to
an attachment point.
oTower climbers shall check for a safe “climber fall zone” area on the tower when positioning
themselves at the work position.
oAn operational two way headset communication device or other communication device
shall be worn by the climber when climbing structures.
Windmill Tower Climbing Surface and Walking Platform Surface
oClimbing and walking surfaces on any equipment or tower utilized by the windmill tower shall
be furnished with non skid surfaces where possible.
oSurfaces with deteriorated non skid surfaces shall be removed until repaired or replaced.
oWalking surfaces shall be kept free of clutter.
oQualified climbers will be allowed to climb while maintaining 100% attachment to a suitable
anchorage point.
o100% attachment is not required while utilizing OSHA approved work platforms, having
guardrails and/or kickboards in accordance with 29 CFR 1910.21, 22 and 1910.23.
oAny work performed by an employee positioned on a horizontal or vertical surface with an
unprotected side or edge which is six feet or more above a lower level, shall be protected from
falling by use of guardrail systems, safety net systems, or personal fall arrest system (PFA).
MM#1880 Created 11/19/2014
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MANAGEMENT SECTION 1800 NEW LANDS PROGRAM _/s/NLT_
MANUAL SUBJECT 1880 Windmill Tower Climbing and APPROVED
Fall Protection Program Procedures
Water Pumping Windmill Towers
Safety Issues - The goal of any fall protection program is to keep people safe from falling when working
at height. For people working on towers and similar structures “height” has been interpreted as any
vertical or horizontal surface with an unprotected side or edge which is 6 feet or more above a lower
level, including the ground.
If a situation meets this definition, then employees working in this environment must be protected
from falling by the use of guardrail systems, safety net systems, or personal fall arrest systems (PFAS).
On water pumping windmill towers, the only practical method of fall protection is a “Personal Fall Arrest
System”, commonly referred to as “PFAS”. As required by regulation and common sense, when working
conditions are considered “at height”, that is six feet or higher, a PFAS must be used 100% of the time.
There is no process or procedure when working at height for which it is acceptable for a person to
disconnect from a PFAS. Once a climber reaches a height of 6’ they are required to be connected to a
PFAS until they are below a height of 6’. There are no exceptions allowed. Most accidents happen when
employees who are working at height decide, for a variety of reasons, to disconnect from their PFAS.
Within the ONHIR the use of PFAS 100% of the time while at a height of 6’ or higher is not an option, but
a requirement, in accordance with agency policy and OSHA regulations.
PFAS (Personal Fall Arrest System) in The Windmill Environment
Most climbing scenarios on windmill towers can be safely accommodated with the use of a fall arrest
harness, a twin leg shock absorbing lanyard, and an adjustable work positioning lanyard. A twin leg
lanyard, when properly used, provides complete fall protection even when moving up and down and
side to side. Although an adjustable work positioning lanyard is not specifically part of a PFAS, it’s an
important component in a climbers gear package. It provides a means for a climber to maintain a
balanced and comfortable work position where both hands are free for working. A balanced position
helps to prevent falls from occurring.
Unique Problems In The Windmill Environment
Because of the unique nature and design of water pumping windmills, there are unique hazards
associated with them. Windmill designs haven’t changed much since they became widely used in the
19th and 20th centuries. At that time worker safety wasn’t much of a consideration. Fan wheel brakes
were used but there were no engineered solutions to lock the rotating head. This is still the case today.
Safely Securing a Windmill Head into a Locked Position.
In order to safely work on the moving parts of a windmill, the fan wheel and head must be locked into a
stationary position. The wheel has a brake installed that can be applied from the ground which, if in
good working condition, stop the wheel and hub from spinning. The windmill head itself has no such
MM#1880 Created 11/19/2014
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MANAGEMENT SECTION 1800 NEW LANDS PROGRAM _/s/NLT_
MANUAL SUBJECT 1880 Windmill Tower Climbing and APPROVED
Fall Protection Program Procedures
mechanism to prevent it from rotating. The head must be manually locked by connecting a chain from
the outer band of the wheel to the upper tower structure.
In the past this operation was done by first applying and locking the fan wheel brake, which stops the
fan wheel from turning. This is done at ground level by pulling and securing the brake lever into the
locked position. The technician then climbed the tower and positioned himself onto the work platform.
While standing on the work platform the technician then connected a chain from the outer band of the
fan wheel to the legs of the tower at the same height. After the chain is secured and tightened, the
windmill head is locked into position and will not rotate. This procedure also locks the fan wheel and
prevents it from turning. When the head is locked in this fashion, maintenance can safely proceed.
On older windmills the brake may be worn and not fully functional or entirely inoperable. If this is the
case locking the head into a stationary position is more difficult, because the fan wheel can easily turn
with a small force of wind. The technician must then wait for the wind to subside before connecting a
chain to the outer band of the fan wheel. This requires personal judgment based upon the experience of
the technician. Even with the brake applied, the fan wheel can turn if a high speed gust of wind suddenly
comes up. The application of a functioning fan wheel brake affects the fan wheel only. The windmill
head can still rotate when wind is present. A braking or locking mechanism that prevents the windmill
head from rotating is not a design feature of any of the windmills located on the New Lands area.
In the past all of these procedures were performed without fall protection equipment, which exposed
each climber to significant risk of injury or death from falling.
Fall Protection Recommendation
All climbers should use 100% fall protection when working at a height. This means climbers should be
connected to the structure being climbed 100% of the time by means of a Personal Fall Arrest System
(PFAS) when at a height of 6’ or over. These procedures are easy to follow with the use of equipment
such as twin leg shock absorbing lanyards, and positioning lanyards, which ONHIR windmill tower
climber staff learned to use during the windmill tower climbing safety and rescue training on August 26,
27, and 28, 2014 and also on October 28, 2014.
Hazardous Situations Related to Water Pumping Windmill Towers
A potential hazardous situation could occur if a climber is tied off to the tower with a personal fall arrest
system while standing on the work platform before the head is locked into position. At this point if the
windmill head began to rotate an injury could occur when all the slack was taken out of the safety
lanyard as the climber moved around the work platform in order to avoid the rotating head. During
these specific conditions, a climber could potentially be entangled by the rotating windmill head. In the
past, windmill tower climber technicians were not using fall protection equipment, so they were free to
move around on the platform without being tied off by a lanyard. This unrestricted movement on the
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MANAGEMENT SECTION 1800 NEW LANDS PROGRAM _/s/NLT_
MANUAL SUBJECT 1880 Windmill Tower Climbing and APPROVED
Fall Protection Program Procedures
platform allowed them to avoid becoming entangled in the rotating head. The obvious problem with this
part of the procedure is that no fall protection was being used, which was exposing windmill tower
climber technicians to a high risk of falling.
Recommended Procedure For Placing Windmill Head Into a Locked Position
This procedure requires all personnel climbing towers to wear appropriate fall protection equipment
and be attached 100% of the time to the tower by a PFAS when at a height of 6’ or more.
Tower Modifications
Installation of Additional Steel Steps - See Illustration 1 and 2 below
In order to use this procedure some or all of the towers in the New Lands system may require minor
modification. This modification includes the following:
Installation of steel steps should be below the level of the work platform at all aspects of the tower.
These steps provide placement for a technician to stand on while connecting a chain between the outer
band of the fan wheel and the upper tower during the tower head lock off procedure.
The height of the placement of the steps will be at a location that would allow a climber to stand be- low
the work platform and be able to reach the outer band of the fan wheel and also reach the tower legs at
a location below the windmill head and above the work platform. The steps should be made of steel
angle, square, rectangle or channel, and should be of sufficient strength to support 2 x the weight of a
technician and his equipment. The dimension of the steps should provide a comfortable step for both
feet. These steel steps could be attached to the tower by a clamping mechanism, welding or bolting.
Care should be taken that whatever method is used does not weaken the tower structure itself.
Installation of Anchor Points - See Illustrations 4 and 5 below
Installation of anchor points at specific locations on the tower to enable a safer method of locking off
the windmill head. In order to reduce the time required for locking off the head, anchor points should be
installed on all 4 tower legs at a height equal to the outer band of the fan wheel. One end of the locking
chain will be connected to these anchors. The other end of the chain is connected to the outer band of
the fan wheel. These anchor points should be made of steel. They could be a continuous welded ring, D
shaped ring, or an oblong handle shape and be of sufficient strength to hold the wind- mill head into a
stationary position. The dimension of the material used for the anchor points should accommodate
medium to large sized quick links or self locking hooks.
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MANAGEMENT SECTION 1800 NEW LANDS PROGRAM _/s/NLT_
MANUAL SUBJECT 1880 Windmill Tower Climbing and APPROVED
Fall Protection Program Procedures
When these necessary modifications are made to the towers the following procedure should be used
when working on or near the windmill head.
Step 1.
Apply the fan wheel brake and lock the brake handle.
Step 2.
While using the appropriate fall protection equipment and techniques, climb the tower ladder to the
level of the new steps which have been installed below the work platform. While standing on the new
steps connect and adjust a work positioning lanyard into a comfortable and functional work position.
Step 3.
While standing on the steps, reach up and connect a chain from the outer band of the fan wheel to one
of the installed anchor points above the work platform. The chain should be adjusted to eliminate all
slack. The head is now locked and will not rotate.
Note: This procedure should always be done using caution and paying close attention to the behavior of
the wind. This procedure should not be attempted in high wind or when powerful gusts are expected. If
the fan wheel brake is not fully functional then this procedure should only be performed in calm
conditions. A second technician should always be present and watching the fan wheel and windmill
head for any movement during this procedure. If movement is detected then the windmill tower climber
technician performing the lock off procedure should abort the attempt until the wind has slowed and all
movement has stopped. Once the head is locked, work on the fan wheel, windmill head, and pumping
mechanisms can safely proceed.
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MANAGEMENT SECTION 1800 NEW LANDS PROGRAM _/s/NLT_
MANUAL SUBJECT 1880 Windmill Tower Climbing and APPROVED
Fall Protection Program Procedures
Illustration #1 - Step Locations
Installation of steel steps should be below the level of the work platform at
all aspects of
the tower. These steps provide placement for a technician to
stand on while connecting a chain between the outer band of the fan
wheel and the upper tower during the tower head lock off procedure.
The steel steps
should
be
connected
between
all
four legs of the tower
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MANAGEMENT SECTION 1800 NEW LANDS PROGRAM _/s/NLT_
MANUAL SUBJECT 1880 Windmill Tower Climbing and APPROVED
Fall Protection Program Procedures
Illustration #2 - Step Materials
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MANAGEMENT SECTION 1800 NEW LANDS PROGRAM _/s/NLT_
MANUAL SUBJECT 1880 Windmill Tower Climbing and APPROVED
Fall Protection Program Procedures
Illustration #3 - Anchor Point Locations
Anchor points should be installed on all 4 tower legs at a height equal to the outer
band of the fan wheel. One end of the locking chain will be connected to these
anchors. The other end of the chain is connected to the outer band of the fan wheel.
Anchor points
should
be
installed on all
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MANAGEMENT SECTION 1800 NEW LANDS PROGRAM _/s/NLT_
MANUAL SUBJECT 1880 Windmill Tower Climbing and APPROVED
Fall Protection Program Procedures
Illustration #4 - Possible Anchor Configurations
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MANAGEMENT SECTION 1800 NEW LANDS PROGRAM _/s/NLT_
MANUAL SUBJECT 1880 Windmill Tower Climbing and APPROVED
Fall Protection Program Procedures
Risk Management
• A course on risk assessment is also recommended to train employees to recognize unsafe
climbing conditions and defective safety climbing/arrest equipment.
• The risk assessment course will enable windmill tower workers to complete a risk assessment at
a windmill work site.
• If a climber is deficient in meeting medical qualification, but is able to meet all other
requirements then the climber can be recertified after completing a medical examination and
obtaining qualification.
• If a climber is deficient in the number of climbs in the past year or has not been to an approved
windmill tower climbing course in the past three years then the climber must attend an
approved OSHA tower climbing course to be recertified.
• All training certificates and recertification statements concerning a windmill tower climber shall
be maintained for the duration of the worker’s employment. The records will be kept on file by
the Supervisor and/or Safety Officer and the Human Resources branch.
Certification and Classification
A “qualified climber” must maintain proficiency in climbing by demonstration and via periodic training
and continuous development of CPR/First-Aid, safety equipment, climbing procedures and techniques
for recertification.
A windmill tower climber technician may become certified as a qualified climber as defined in these
procedures after:
o successfully completing windmill tower fall protection training,
o Successfully completing safety and rescue training,
o satisfying physical requirements and
o showing demonstrated proficiency in climbing
Recertification involves:
o an annual review of the climber’s record to determine when a climb was last performed,
o when the climber last attended an OSHA approved tower climbing class,
o when the last medical qualification was completed and
o when the last CPR/First-AID class was attended.
Recertification can also be attained when:
o a qualified climber has climbed at least twice in the past year,
o has a current medical qualification via physical exam, and
o has attended a ONHIR sponsored tower climbing course within the past three years
o When all of these conditions are met, the climber may be recertified by their Supervisor.
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MANAGEMENT SECTION 2000 ACCOUNTING PROCEDURES __/s/CJB____
MANUAL SUBJECT 2100 Introduction APPROVED
________________________________________________________________________________________
SECTION 2000 ACCOUNTING PROCEDURES
SUBJECT 2100 Introduction
AUTHORITY
POLICY.
The goal of the Finance Branch is to provide the program and management components of the Office
of Navajo and Hopi Indian Relocation (ONHIR) with support in the areas of:
- Recording appropriations and obligations.
- Voucher examination and disbursement for goods and services.
- Assistance with procurement.
- Travel and voucher approval.
- Handing of receipts for deposit.
- Budget preparation.
The Finance Branch maintains a full set of financial records in order to provide reports as required by
external users such as the U. S. Treasury and the Office of Management and Budget, and to ONHIR
management. Within this broad framework, the detailed objectives can be stated as follows:
Systems Operations. Financial data shall be gathered and processed only where necessary to meet
specific internal needs or external requirements. Only useful data will be processed. Financial data shall be
available on a timely basis to management and in time to meet external reporting requirements. Financial data
shall be reasonably complete and accurate, and shall also be verifiable. It shall be recorded and reported in a
consistent manner. The financial system shall be designed and operated to promote the principles of
efficiency and economy.
Systems Integrity. The system shall feature controls which are reasonable and efficient.
Budget Support. Financial data shall be recorded to facilitate budget preparation and execution.
Presidential and Congressional decisions shall be recorded precisely.
Management Support. Data shall be recorded and reported in a manner which facilitates effective
and efficient management in both the program and administrative areas. Accrual accounting information shall
be developed only as needed to meet the needs of management or the Congress.
Full Financial Disclosure. Financial data shall be recorded and reported as required by external
users to provide for full financial disclosure and accountability. Financial data shall be recovered in such a
way as to promote integration with the central accounting and reporting systems.
MM#2100 ISSUED 09/01/1989;REVISED/ REISSUED
1 3/13/92; July 3, 2010.
MANAGEMENT SECTION 2000 ACCOUNTING PROCEDURES __/s/CJB____
MANUAL SUBJECT 2100 Introduction APPROVED
________________________________________________________________________________________
2110 Vacant.
2120 STRUCTURE - ORGANIZATION CHART OF FINANCIAL OPERATIONS
OFFICE OF NAVAJO AND HOPI INDIAN RELOCATION
ORGANIZATION CHART OF FINANCIAL OPERATIONS
OFFICE OF THE COMMISSIONER
ù
OFFICE OF THE EXECUTIVE DIRECTOR
ù
FINANCE BRANCH
Finance Officer
ù
__________________________
ù ù
Voucher Examiner Payroll Clerk
For a complete organizational chart of ONHIR operations, see Volume I of the Management Manual.
Other key personnel mentioned in this chapter are as follows;
- Authorized Certifying Officers
- IS Supervisor
- Human Resources Officer
- Contracting Officer
- Contracting Specialist
-Procurement Assistant
-ROB Manager
MM#2100 ISSUED 09/01/1989;REVISED/ REISSUED
2 3/13/92; July 3, 2010.
MANAGEMENT SECTION 2000 ACCOUNTING PROCEDURES __/s/CJB____
MANUAL SUBJECT 2100 Introduction APPROVED
________________________________________________________________________________________
2130 ACCOUNTING DESCRIPTIONS
This section provides a reference for the user of these procedures by describing commonly used terms
and the chart of Accounts and Accounting Codes.
1. Terminology.
Accrued Expenditure.
Under the accrual accounting concept, an expenditure accrues at the time goods and services are
received, regardless of when payment is made or resources are used.
Allotments.
Authority delegated by the Executive Director to Office personnel to incur obligations within a
specified amount pursuant to an apportionment or reapportionment. Budgeted amounts are reflected in the
Account Summary File.
Apportionments.
A distribution by the Office of Management and Budget of budget authority or balances available in
an appropriation. The amounts apportioned limit the obligations that may be incurred.
Assets.
Economic resources of an agency that are recognized and measured in conformity with generally
accepted accounting principles. Examples are: funds with Treasury, furniture and equipment and supplies.
Authorized Certifying Officer.
An employee who certifies vouchers for payment as authorized by the head of the agency, and is
responsible for the correctness of the facts and computations supporting the payment and the legality of the
payment.
Batch.
Similar transactions which have been grouped together. In batch processing, these items will be run
on the computer at the same time with the same program.
Commitments.
Agreements for the exchange of resources at some point in the future which at present are unfulfilled
on both sides.
MM#2100 ISSUED 09/01/1989;REVISED/ REISSUED
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MANUAL SUBJECT 2100 Introduction APPROVED
________________________________________________________________________________________
Expenditures.
Gross payments less any reimbursements or refunds received.
Fiscal Section.
Term used to refer to the Finance Branch.
Fiscal Year.
The fiscal year for the Federal Government commences on October 1 and ends on September 30 .
st th
Fund Balance.
The excess of an Office’s assets over its liabilities.
GOALS II System.
Stands for Government On-line Accounting System, a system maintained by the U.S. Treasury to
communicate financial information to the various agencies, and to receive their financial reports. Currently,
the Financial Officer performs the function of establishing the dialup link with Treasury on the ONHIR's
personal computer(PC) and sending and receiving reports.
Liabilities.
Economic obligations of an agency that are recognized and measured in conformance with generally
accepted accounting principles. Liabilities can be differentiated from encumbrances or obligations in that a
liability arises only when goods and services have been delivered, while an obligation is a commitment to
purchase.
Maintenance.
The ongoing activity of establishing new file records on the computerized accounting system, also
updating and adding to these records.
Materiality.
Financial reporting is concerned only with information that is significant enough to affect evaluations
and decisions. Issues of material importance arise from dollar value and also from questions of adequacy of
control over agency monies and property.
Menu.
On the computerized accounting system, a guide to the various reports and functions available which
displays on the screen.
MM#2100 ISSUED 09/01/1989;REVISED/ REISSUED
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MANUAL SUBJECT 2100 Introduction APPROVED
________________________________________________________________________________________
Obligations.
Contracts, purchase orders, or any other binding commitments made by authorized Office employees
to disburse immediately, or at some time in the future, money for products and services.
Recoveries.
For a "no-year" appropriation, the difference between the obligated balance at the end of the prior
year and current gross obligations against the prior years funds, whether or not they have been liquidated
during the current fiscal year.
Unliquidated Obligations.
Obligations for which disbursements have not yet been made.
Unobligated Balances.
The balance of budget authority which has not been obligated, and so is available for obligation.
Voucher.
The document used by the Office to request payment to be processed by the Treasury Financial
Center.
Warrant.
The document used by the Treasury to inform the agencies of amounts transferred into their accounts
which are available for disbursement.
2. Descriptive Chart of Standard General Ledger Accounts.
The computerized general ledger system is composed of the 6-digit account numbers derived from the
U.S. Government Standard General Ledger published by the Financial Management Service, Department of
the Treasury. As a supplement to the Treasury Financial Manual, the U.S. Government Standard General
Ledger (S.G.L.) is periodically updated. A file on the S.G.L. is maintained by the Financial Officer.
3. Descriptive Chart of Detail Accounting Codes.
The computerized document number system, designed to track each accounting event for obligation
and payment, is tied to the chart of accounting codes. Each document number is assigned one accounting
code which indicates the nature of the obligation and resulting expenditure.
The accounting code consists of eight digits. The first three digits correspond with the year of
appropriation as follows:
108 - No Year Funds FY2008
MM#2100 ISSUED 09/01/1989;REVISED/ REISSUED
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MANUAL SUBJECT 2100 Introduction APPROVED
________________________________________________________________________________________
The next two digits of the accounting code indicate the organization within ONHIR as follows:
11 - Office of the Commissioner
12 - Office of the Executive Director
15 - Division of Administration
17 - Relocation Costs
20 - Range
21 - Office of Relocation Operations
23 - Bonus Payments
26 - New Lands Administration
The last three digits of the accounting code, the object class, indicate the nature of the obligation and
expenditure as follows:
100 - Personnel Services
110 Salaries and Wages
111 - Permanent Full-Time Employees
120 Government’s Share of Benefits
121 Civil Service Retirement
122 Health Insurance
123 Group Life Insurance
124 FICA, Medicare (FERSFICA)
125 TSP
126 FERS
200- Services and Supplies
210 Travel and Transportation
211 Employee Travel
212 Travel/GSA Motor pool
220 Transportation of Things
221 Transportation, Freight and Express Charges
MM#2100 ISSUED 09/01/1989;REVISED/ REISSUED
6 3/13/92; July 3, 2010.
MANAGEMENT SECTION 2000 ACCOUNTING PROCEDURES __/s/CJB____
MANUAL SUBJECT 2100 Introduction APPROVED
________________________________________________________________________________________
230 Rent, Utilities, and Communications
232 Commercial Rent
233 Utilities and Postage
240 Printing and Publications
241 Government Printing Office
242 Other Printing
250 Other Services
251 Consulting and Mission Services
252 Non-Mission Services
253 Purchase of Goods & Services from Other Government Agencies
254 Maintenance and Repair of Facilities
257 Operation and Maintenance of Equipment and Vehicles
300 - Land, Structures and Equipment
310 Equipment Acquisition
311 Equipment/Commercial Purchases
312 Equipment/Government Purchases
320 Land and Structures
326 Relocation Costs/Housing Benefits
400- Grants and Fixed Charges
410 Incentive Bonuses
412 Client Bonuses
420 Discretionary Funds
426 Discretionary and Client Infrastructure
Allotments are recorded by accounting code and are not tied to specific document number.
2140 OVERVIEW OF THE COMPUTERIZED ACCOUNTING SYSTEM.
What follows is a brief description of the files which comprise the computerized accounting system.
Documentation for each of these files is maintained by the IS Branch.
MM#2100 ISSUED 09/01/1989;REVISED/ REISSUED
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MANUAL SUBJECT 2100 Introduction APPROVED
________________________________________________________________________________________
Vendor Master.
This file identifies vendors by name, provides client case number, street and mailing address, and tax
identification information. The vendor number is used in the document master to identify the individual or
organization associated with a particular transaction and in the check master to identify the payee name,
address, and bank information used in the preparation of vouchers for submission to the Treasury Financial
Center.
Client case numbers are used to pull the home mailing address information from the client data base
file (which is not maintained by the Finance Branch) for use in addressing client checks. In this way, the
Finance Branch always has access to the most recent client address information when processing payments.
This file is accessed by the vendor number and shows the date of last activity associated with the
vendor as well as the information mentioned above.
General Ledger Summary.
This file is accessed by general ledger number and stores the general ledger information through the
last posted month. It shows whether the account is normal credit or debit, the title of the account, the current
year's debit and credit amount as of the last posted month, and prior years' debit and credit amounts, last
posted FY and month.
Document Summary (MASTER).
This file contains information for each accounting transaction organized by document number. The
first three digits of the document number indicate the fiscal year of the activity and the last four digits are
assigned sequentially. Information contained in the document summary file includes accounting code,
document description, date record was initiated, vendor number, client number, amount obligated through the
last fiscal year posted and during the current fiscal year, amount paid through the current fiscal year, renewal
code and date of last activity.
Transaction History.
This file contains all batch information posted since the last fiscal year closed, and so contains batch
number, document number, transaction type and amount, transaction date, voucher number, etc. This file is
not keyed, and has not been set up for inquiry on a screen or listing, so may only be accessed with the
assistance of the ADP Branch.
Daily Transaction.
This file is the same as the Transaction History, but is only a daily holding file used until the end of
the month posting.
MM#2100 ISSUED 09/01/1989;REVISED/ REISSUED
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MANAGEMENT SECTION 2000 ACCOUNTING PROCEDURES __/s/CJB____
MANUAL SUBJECT 2100 Introduction APPROVED
________________________________________________________________________________________
Account Title.
This file is accessed by entering one of the three parts of the accounting code preceded by the
appropriate level number:
1 = Fund
2 = Organization
3 = Object Class
This file contains a description for each of the parts of the accounting code and provides the
descriptions appearing on the Allotment Status and Summary Reports.
Account Summary (Detail Account Balance).
This file is accessed by accounting code and contains the date the record was last maintained, the date
of last activity, the last month posted, last fiscal year posted, and the allotted, obligated, and expended
amounts through the last fiscal year closed, and in the current fiscal year.
Check Master.
This file is accessed via the entry of the voucher number associated with a specific payment followed
by the sequence number of the payment on the voucher (one through six). It provides information regarding
the payment including the batch number in which it was processed, date originated, payee number, document
number, payment amount, EFT/check number and date, status of payment, whether issued, paid or void, and
face-of-payment comment. This file is used to generate the printing of automated vouchers.
1. Control and System Security.
In general, the Office is protected from data loss by a system of daily and weekly backup of all files,
libraries, etc. onto tape. Password and Menu security systems are in place to provide restricted access to file
maintenance and other sensitive procedures. The IS Supervisor serves as the Office's Security Officer.
Functions within the accounting system can be broken down into data entry, maintenance, posting,
reporting and year-end close. With the exception of the Financial Officer, the person who does data entry of
the batch does not post the batch.
The maintenance function is further protected by a front-end password. Month and year-end closing
is performed only by the Financial Officer.
When a fiscal batch is initiated, a manually calculated batch total is entered into the system. The
entry program accumulates the transactions and when the program is ended, this total is compared to the total
entered previously. If the amounts do not agree, a password must be entered if a change to the original batch
total is to be made. A message is sent to the Financial Officer's terminal reporting a batch balance error, and a
print out is generated which shows the amounts entered.
MM#2100 ISSUED 09/01/1989;REVISED/ REISSUED
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MANAGEMENT SECTION 2000 ACCOUNTING PROCEDURES __/s/CJB____
MANUAL SUBJECT 2100 Introduction APPROVED
________________________________________________________________________________________
The Financial Officer maintains a manual log of batch total debits and credits and compares the log
total to the system totals on the Summary Trial Balance on a monthly basis ensuring that no batches are
posted without the knowledge of the Financial Officer.
The batch for payment of vouchers is approved and signed by one of the Office’s three Authorized
Certifying Officers, designated by the head of the agency. These ACOs are not involved in batch entry or
posting, or the generation of the original vouchers. The Treasury Disbursing Office can not receive the batch
until the proper certification has taken place.
When accomplished (paid) vouchers are received back from the Treasury Disbursing Office, the
EFT/check number and date of issue are entered into the check file.
Further manual checks are performed by the Financial Officer to ensure that the account master is in
agreement with the document and account summary masters. For more information see Section 2540
"Verification and Integration of Accounting Results."
2. Non-Computer System Components.
One of the most important non-computer components of the accounting system are the fiscal files
located in the Finance Branch. These files are maintained in vendor number order, with separate areas for
those which are labeled "complete" (no further action required or anticipated) and those which are considered
active. The fiscal files contain: 1) a recap sheet of dollar activity; 2) the yellow duplicate of all fiscal activity
document input sheets which have been batched and posted, along with any attached documentation; 3) the
contract, purchase order, or other authorizing documents and any modifications; and 4) any related
correspondence, reports, comments logged by staff members. These files are maintained by the Finance
personnel.
As vouchers are filed weekly after the payment batch, and as necessary in the daily work of recording
transactions and responding to inquiries, the Accounting Technician and the Financial Officer verify that the
totals obligated, paid and liquidated on the fiscal file recap sheets agree with the information on the document
Master on the computer. Discrepancies are investigated and corrected, and the file is not re-filed until all
discrepancies are corrected. The individual performing the audit notes the date and his or her initials on the
recap sheet. Fiscal files must be audited prior to being labeled "complete".
The various financial reports are maintained along with the related worksheets in the Financial
Officer's office, as are the payroll work papers.
All financial documents and fiscal files which are rotated out of the main office area are placed in file
boxes, labeled and filed in the Finance Office storage room.
MM#2100 ISSUED 09/01/1989;REVISED/ REISSUED
10 3/13/92; July 3, 2010.
MANAGEMENT SECTION 2000 ACCOUNTING PROCEDURES
MANUAL SUBJECT 2200 Disbursing
_/s/CJB__
APPROVED
SECTION 2000 ACCOUNTING PROCEDURES
SUBJECT 2200 Disbursing
AUTHORITY
POLICY.
The generation of vouchers which request the preparation and distribution of government payments to
vendors, clients and contractors is the top priority function of the Finance Section. This activity, though
automated, relies on the completion of a variety of tasks, as outlined in this section.
2210 CHECK ISSUE PROCEDURES - PAYMENT BATCHING.
Information which is processed to maintain the general ledger and accounting code balances is also
used to create the files needed to produce vouchers. The input documents are prepared prior to the actual
disbursement except in the case of certain payments, such as the IMPAC payment and the payment for Office
travel tickets. The processing of these exception batches is addressed in Section 2210.7 "Variations From
Normal Processing of Payments".
Preparation of input documents prior to the actual disbursement is more efficient and less subject to
error because information is handled and entered only once.
1. Preparation of the Fiscal Activity Document Input Form.
The Fiscal Activity Document Input Form is the primary vehicle used to enter obligation, payment
and deposit information into the computerized accounting system. These forms are prepared by the Voucher
Examiner and the Finance Officer as is outlined in the following procedures, and are processed in batches.
a. Vendor and Document Number Input.
Before an obligation or payment can be made for an expenditure that is not already represented by an
existing document number, a document number must be assigned and a new record created on the Document
Master File. The Finance Officer has the primary responsibility for assigning new document and vendor
numbers.
Each document number represents a distinct and separate accounting event and these numbers are
assigned sequentially with the first three digits representing the fiscal year of the obligation. Also see Section
2620 "Obligations and Obligating Documents".
Vendor numbers may be assigned independently of document numbers, but each document number
must refer to a valid vendor number.
MM#2200 ISSUED 09/01/89; REVISED/REISSUED
1 03/13/92; July 3, 2010
MANAGEMENT SECTION 2000 ACCOUNTING PROCEDURES
MANUAL SUBJECT 2200 Disbursing
_/s/CJB__
APPROVED
The following steps are taken in the assignment of a new document number:
- Secure vendor information to include name, bank payment information, and mailing address in the
case of a business entity or name and case number in the case of a relocation client.
-Determine, through the use of the Alpha Search on Menu B7, “Inquiry” if the vendor/payee number
has been assigned. If so, ensure that the record to be used contains the proper bank information and mailing
address as well as the vendor name.
-In the case of a new vendor/payee number for a client, the Vendor Master by Client Case number on
Menu B7 must be consulted to avoid duplicate numbers for the same clients. Due to name changes,
inconsistencies in spelling, and similar difficulties, an Alpha Search alone does not always prevent the
issuance of duplicate numbers.
-If the desired vendor/payee record already exists, enter the number and name, only one to the new
Vendor/Document Input Sheet. Only the new document number record will be created when the maintenance
is entered.
-If the desired vendor/payee record does not exist, a sequential vendor number is assigned and logged
into the list of vendor number assignments kept by the Finance Officer. The vendor name, case file number if
applicable, and address are entered into the New Vendor/Document Input Sheet.
-The Document Number Assignment Log shows the next available document number for the current
year. A current year number is used.
-The document number assigned is entered to the right of the pertinent vendor information on the New
Vendor/Document Input Sheet. The accounting code is entered after being determined by reference to the
obligating documents or the Descriptive Chart of Accounting Codes. A brief description of the type of
obligation is also entered into the input sheet. An entry is made to the Document Number Assignment Log.
The completed input sheets are entered by the Finance Officer. When the maintenance is entered, the
input sheets are stamped “data entered” and filed in the yearly Maintenance file.
The vendor/payee and document number information is used to identify the transaction being
processed whenever a Fiscal Activity Document Input Sheet is completed.
b. General Ledger Account Number.
The computerized general ledger system is updated during the batching process. Standard
entries are booked as follows in order for the Document Master to correspond with the general ledger:
- Option A (increase obligation)
Debit 4610
Credit 4800
MM#2200 ISSUED 09/01/89; REVISED/REISSUED
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MANAGEMENT SECTION 2000 ACCOUNTING PROCEDURES
MANUAL SUBJECT 2200 Disbursing
_/s/CJB__
APPROVED
- Option B (decrease obligation)
Debit 4800
Credit 4610
- Option C (increase payment)
Debit 6100
Credit 1013
-Option D (decrease payment)
Debit 1013
Credit 6100
Credits to the 1013 account create an automatic entry which debits 4800 and credits 4900.
These accounting entries are routinely made by the Voucher Examiner and Finance Officer. For
information on accounting entries to correspond with Option D see Section 2240 "Cancellation of Checks".
c. Batch Identification.
Batch numbers consist of four digits, the first two of which correspond to the accounting month. A
new fiscal year begins with batch 1001 (month 10, or October, begins the fiscal year). The last two digits in
the batch number progress by the number of batches each month.
All batch numbers are assigned by the Finance Officer, most recurring batch numbers are assigned
prior to the beginning of the month. A batch total log is maintained by the Finance Officer which contains a
running total of debit and credit entries into the system by the fund and voucher identification numbers used
in each batch. The first five batch numbers each month are reserved for payment batches due to edits that are
keyed to those numbers.
The batch total log is used to ensure that no entries are booked without the approval and knowledge of
the Finance Officer. The Finance Officer compares the total debits and credits per the log to the system totals
on the Summary Trial Balance report prior to closing each month and any discrepancies are researched and
corrected immediately.
When assigning numbers for regular payment batches it is important to anticipate which month the
payments will be processed by Treasury and properly reflect this in the batch number. This is because the
batch identification is used within the system to post the batch to the accounting period indicated.
d. Payee Number.
The payee number entered onto the Fiscal Activity Document Input form, when accompanied by the
choice of option "C" and a voucher identification number, serves to create a Check Master record. This
record will cause a payment to be requested from the Treasury Disbursing Office and the resulting EFT
payment, or check to those without bank information, will be made to the name indicated by the payee
number.
Careful selection of the payee number will ensure that it is correct. In some instances, the
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MANUAL SUBJECT 2200 Disbursing
_/s/CJB__
APPROVED
Vendor/Payee Master contains several records under the same name, all with different addresses. Any valid
payee number may be used, regardless of the vendor number. For instance, although the relocation client is
the vendor, the payee might be a building contractor, title company, or insurance agent.
Control totals of the payee numbers in each batch are calculated by hand and compared with a system
generated total which appears on the edit list. Errors are investigated and corrected before the batch is posted.
If, despite the edit list safeguard, an incorrect payee number is spotted during voucher printing or signing, it
may be corrected through Check Master Maintenance by the Finance Officer, or the Chief Information Officer
in her absence.
e. Voucher Identification.
The voucher identification number is determined by the Voucher Examiner or Finance Officer. A
maximum of six payments per voucher is allowed in the Check Master. A log is maintained by the Voucher
Examiner for voucher identification numbers in the E & M series and by the Finance Officer for voucher
identification numbers in the A & S series. Voucher numbers are assigned sequentially.
Manually prepared vouchers are used to make payments to a payee when the payment will be to
several documents. A separate batch is prepared for those vouchers. Examples are payments for the IMPAC
cards and payment for Office travel tickets.
f. Face-Of-Check Comment.
The face-of-check comment is a notation entered by the preparer of the Fiscal Activity Document
Input form, and this information resides in the Check Master and is part of the information which is forwarded
to the Treasury Disbursing Office for payment. This comment will be inserted onto the EFT document or
check, and is valuable in the communication of identifying numbers and instructions to the recipient of the
payment.
The Check Master allows for two lines of 40 characters each for this comment. The space is most
frequently used to describe what the payment is for, to indicate invoice numbers and dates, or to state on
whose behalf the payment is made.
There is a specific format that must be used for EFT payments, while checks may use any numeric or
alpha characters within the comment.
It is useful to refer to prior Fiscal Activity Document Input forms in the vendor files to determine the
type of face-of-check comment to use. In the case of housing payments, the case file number and reason for
payment is always included in the comment. If the payment is made to a payee other than the client, the
client's name will also be included.
The face-of-check comment is sometimes used in-house, when payment is not being generated, to
note the justification for an entry. The Finance Officer frequently uses this comment to note the reason for
adjusting and correcting entries, and to record the pay period of payroll entries.
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2. Batch Scheduling.
Each week a payment batch is processed by the Finance Branch. In general, the schedule for
processing a single payment batch is as follows:
Monday: Client claims for travel reimbursement are reviewed and approved by the Voucher
Examiner, Finance Officer, and the Executive Director.
Tuesday: The Voucher Examiner and the Finance Officer continue to prepare batch entries.
Wednesday: The Relocation Operations Manager requests for benefit, bonus, and incidental
payments to the Finance Officer by 10:00 a.m. The Finance Officer prepares these
entries in batch form after they have been thoroughly reviewed.
The Voucher Examiner completes the batch, computes the batch total and forwards
the batch to the Finance Officer along with the Document Input Sheets.
The Finance Officer enters the maintenance, reviews the batch, and forwards it to the
Voucher Examiner for data entry.
Thursday: The Voucher Examiner keys in the batch, reviews edit lists, and makes all corrections
indicated. The final edit list is returned to the Finance Officer along with the
vouchers. The Finance Officer reviews the batch, posts it, and reviews the final
payment printout. The Finance Officer copies the payment information to a USB
key, and gives it to the Voucher Examiner who enters it in the SPS System. The
Certifying Officer checks the information on his computer and certifies the batch.
This action sends the payment batch to Treasury.
Friday: The Voucher Examiner separates the vouchers, date stamps both the white and yellow
copies and all supporting information compares to the computerized accounting
system.
At the end of each month, the Finance Officer uses the GWA link with Treasury to print a listing of
the check numbers issued by Treasury. This list is forwarded to the Voucher Examiner who enters the
information onto the computerized accounting system.
One payment batch is scheduled each week, which means there will be four or five payment batches
processed each month. The first month-end report is due on the third working day following the end of the
month and the non-payment batches such as payroll, IMPAC, deposits, etc. must be processed in order for the
Finance Officer to have the information needed to prepare this report. These non-payment batches are
submitted for keying by the Finance Officer as they are completed, and so batching activity is especially heavy
during the last few days of the month.
The Finance Officer must also consider the effects of staff absences for vacations and training when
arrangements must be made for a suitable substitute to complete the tasks required for the processing of
batches. Holidays cause the normal schedule to be compressed, and this situation must also be monitored by
the Finance Officer to ensure that the processing goes smoothly.
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3. Closing Out the Batch.
After all the entries have been consolidated, the control total of debits and credits is calculated by the
Voucher Examiner. The control total is the total of all debit or credit entries on the Fiscal Activity Document
Input forms. Batch total debits must equal batch total credits. The control total of debits or credits is written
on the first page of the batch. As a double check, the total of the "detail" entry is also calculated by adding the
amount of each option selected on the Fiscal Activity Document Input forms. For regular payment batches,
this detail total must equal the batch total. The batch and detail totals will be compared to machine-generated
totals prior to batch posting as a safeguard against error.
A scratch total of all the payee numbers used is also calculated for all payment batches, and this total
will be compared with a machine-generated total of the payee numbers data entered as a guard against keying
errors.
Errors in the batch total or detail total create work for the data entry staff and delays in the processing
of the batches, and so must be avoided.
The batch is subject to a final review by the Finance Officer before keying to ensure that:
- All vendor and document numbers are valid and reasonable.
- The accounting codes are valid and reasonable.
- The proper account numbers have been used.
- A payee and voucher number are given if a payment is to be generated.
- Backup documentation shows that the proper approving signatures have been obtained.
- Sufficient obligations exist from which to disburse.
When the Finance Officer is satisfied that the batch has been properly prepared it is forwarded to the
Voucher Examiner who performs the data entry.
4. Data Entry of Batch.
Under most circumstances the Voucher Examiner will perform the batch entry through use of the Data
Entry Menu. However, the Finance Officer may perform this task as required.
Only one batch of each type, Fiscal Activity or Allotment, can be entered or stored on the computer at
one time. If an attempt is made to enter a second batch before the first is posted, a screen will appear which
states that "a current batch of data resides on the disk" and offers options to either delete the current batch or
return to the Data Entry Menu and continue processing the current batch.
To enter a normal batch, choose the menu item required and enter the batch total according to the
screen prompts which appear. Continue following the screen prompts to enter account number information and
detail information. Use the command keys as needed. When all the information has been entered, command 7
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will end the data entry portion and cause the system batch total to be computed. A message will appear if the
total of all debit or credit entries keyed is not equal to the control total entered at the start of the keying
process. The review command is used to view each entry to determine the source of any discrepancies. Errors
which cannot be corrected through review should be referred to the Finance Officer.
Error messages also appear on the screen if account numbers, document numbers, or vendors entered
are invalid. If an error message appears check to be certain that the information entered on the screen is
identical to the information on the source document (the Input Sheet). If the source of the error is not obvious
at this point, the problem is referred to the Finance Officer.
If no message appears after "Command 7" is used, then the batch total is correct, and an edit list will
automatically print. Retrieve the list from the printer and review for keying accuracy. Be sure the detail total,
as the line is labeled on the edit list, agrees with the detail activity total noted on the first page of the batch.
Errors here usually mean that an error in the detail amount entered has occurred. Correct any keying errors
identified through the correction menu selection on the Data Entry Menu.
When correction is completed, a new edit list will be generated. Review this list and make any
corrections still required. Then discard the prior edit list. The final edit list is then returned to the Finance
Officer for final review and posting.
5. Posting the Batch.
After the batch is data entered and before posting is the time in which a final review is performed by
the Finance Officer. Any error messages which appear on the edit list must be cleared before the batch can be
posted. These include:
a. Invalid Payee.
The payee number is not in the Vendor/ Payee file. Usually caused by a keying error. First check the
edit list to the input sheet. If the problem is not apparent at that point, review the Vendor Master on the
inquiry menu for the number in question.
b. Invalid Document.
The document number is not in the Document Master or is not active. Usually caused by a failure to
enter the document number during keying of new document numbers. First check the edit list to the input
sheet. If the problem is not evident at that point, review the new vendor/document input sheets for omissions.
c. Invalid Account.
The account number is not found in the General Ledger Summary. Usually caused by a keying error.
Check the edit list to the input sheet.
d. Invalid Accounting Code.
The accounting code is not found in the Account Summary File or the accounting code entered does
not match the accounting code information in the Document Master. This could be caused by a keying error
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during entry of new document numbers or during data entry of batch. Check the edit list to the input sheet. If
the problem is not apparent at that point, review the new vendor/document input sheets.
e. Invalid Batch Number.
The batch number entered for that record does not match the control record created at the start of the
data entry process. Usually caused by a keying error in correcting or adding a record after the initial batch
entry is done.
f. Vendor Number Not the Same as Document Record.
The vendor number keyed is not the same as the number in the Document Master. Usually caused by
a keying error or a mistake in filling out the Fiscal Activity Document Input Form. Check the source
documents.
g. Vendor Not on Vendor File.
The vendor number is not found in the Vendor/Payee file or is inactive. May be caused by a keying
error during entry of new vendor/payee numbers or during batch entry. Check source documents.
h. Vendor/Payee Has a Non-Zero Date Closed.
The vendor or payee is a client (record contains a case number reference) whose record on the client
data base contains a closure date, indicating that a payment for other than the warranty holdback should not be
made. First check keying and source documents to ensure that a keying or number assignment error was not
made in the Finance Branch. Then refer the problem to the staff member who originally requested the
payment. The entry should not be processed until the closure date issue is resolved to the satisfaction of the
Finance Officer.
I. Vendor/Payee Mail Return Code is Not Blank.
The vendor or payee is a client (record contains a case number reference) whose record on the client
data base contains a mail return code indicating that the last mailing address recorded by the Office is no
longer valid. First check keying and source documents to ensure that a keying or number assignment error was
not made in the Accounting Branch. Then refer the problem to the staff member who originally requested the
payment. The Relocation Operations Branch Administrative Assistant should be informed of this code. She
will check the address and inform the Relocation Specialist of the problem. The specialist can then verify a
new address.
j. Vendor/Payee is a Deceased Client.
The vendor or payee is a client (record contains a case number reference) whose record on the client
data base contains a code indicating that the client is deceased. First check keying and source documents to
ensure that a keying or number assignment error was not made in the Accounting Branch. Then refer the
problem to the staff member who originally requested the payment. The entry should not be processed until
the validity of the client payment is proven to the satisfaction of the Finance Officer.
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k. Vendor/Payee is an Uncertified Client.
The vendor or payee is a client (record contains a case number reference) whose record on the client
data base does not indicate that the client has been certified. First check keying and source documents to
ensure that a keying or number assignment error was not made in the Finance Branch. Then refer the problem
to the staff member who originally requested the payment. Legitimate reasons for such a payment, such as
settlement payments for individuals who do not qualify as residents of the joint use area, must be documented
to the satisfaction of the Finance Officer before payment is made.
l. Vendor/Payee Status Requires Review Prior to Payment.
The vendor or payee is a client (record contains a case number reference) whose record on the client
data base contains a status code of IN, PC, CL, or IT. Client documentation contains an explanation of these
codes, all of which indicate that payment should not be made. First check keying and source documents to
ensure that a keying or number assignment error was not made in the Finance Branch. Then refer the problem
to the staff member who requested the payment.
m. Vendor/Payee Has a Case on Appeal.
The vendor or payee is a client (record contains a case number reference) whose record on the client
data base indicates that the case is in appeal of a determination of ineligibility. A valid payment under these
circumstances is very unusual. First check keying and source documents to ensure that a keying or number
assignment error was not made in the Accounting Branch, then refer the problem to the Executive Director.
n. The Funds Don't Match.
The first two digits of the fund account number do not match the third and fourth digits of the
accounting code. This error message was designed to alert the Finance Officer that an entry has been made in
which the appropriation type and fund account year is inconsistent. Usually caused by an error in completing
the fiscal activity document input sheet.
o. Voucher Already Exists in Check Master.
Indicates a duplication of voucher numbers. Usually caused by an error in voucher number
assignment. Check source documents for this and prior batches, and any voucher numbers which originated
from Check Master maintenance for duplication.
p. Too Many Lines.
More than six payments have been assigned the same voucher number. Usually caused by an error in
assigning voucher numbers. Check other voucher numbers to see if one has too few entries.
q. Invalid Combination.
Combination of options chosen is "A" and "B" or "C" and "D", or a character other than X is used to
indicate an option. Check source documents and if the error is not apparent, refer back to the preparer of the
entry.
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r. See Additional Edits.
It should be noted that a checklist appears on the last page of the edit list on the right-hand side. This
is not an indication of a properly entered batch, but rather a reminder of items to check for during batch
review. These include:
-The detail total must agree with the detail total noted on the first page of the batch. Errors here
indicate that the total of all options are not in agreement with the journal; commonly caused by an error keying
a detail amount or by an option not coded.
-The debit and credit amounts at the end of the edit list should be reviewed for erroneous entries and
amounts which do not balance. Keying errors usually account for problems here.
-The payee number scratch total should agree with the total calculated manually. Errors here indicate
a keying error in the entry of the payee numbers.
Corrections are made from the Data Entry Menu. When all corrections have been made, as shown on
the most recent edit list, the batch may be posted from the Post Daily Batches Menu. Any error in the post
procedure should be referred to the Chief Information Officer.
If this is a payment batch the post will automatically generate a draft print of the vouchers. This print
should be reviewed for error messages, and for reasonableness of payee and amount, and any errors corrected
through maintenance of the Check Master performed by the Finance Officer of Chief Information Officer.
The total debits and credits by fund are entered into the Finance Officer's Batch Total Log from the
final edit list.
6. Payment Requests from Other Departments.
The Disbursement Voucher Request Form is prepared by the Relocation Specialist to request the
processing of payments for housing benefits, bonuses, and incidental/search expenses incurred by clients. The
Specialist completes all form items, initials and forwards it to another Relocation Specialist. This second
Specialist compares the amounts to the housing contract documents, and checks the vendor number, document
number and payee number. If all is in order, the Manager initials the form and forwards the forms to the
Finance Officer for processing. Requests for warranty refunds are initiated by the Relocation Operations
Branch and approved by the Inspections Supervisor.
Several departments submit a version of the "Claim for Reimbursement of Client Travel" forms for
payment processing (refer to the chapter covering Search Expense in the Management Manual for more
information on allowable trips, etc.). The Certification form is submitted with an approving signature
provided by the designated staff member of the Relocation Operations Branch or the Manager. The form is
carefully reviewed in the Finance Branch for compliance, completeness and reasonableness. A review of the
payee history is also done to ensure that no prior reimbursement has been made for travel on the dates
submitted.
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The Relocation Operations Manager submits the Homesite Lease Travel Form. This form is also
reviewed as above.
After the Voucher Examiner has signed off on the forms, they are forwarded to a Certifying Officer
(usually the Executive Director)for approval before being included in the payment batch. Any errors or
omissions detected in the Claim for Reimbursement of Client Travel Forms during the review and approval
process are referred to the department approving officer for correction.
7. Variations From Normal Processing of Payments.
Entries to record IMPAC card payments, payments for agency travel, and payroll are handled
separately from normal payment batching due to different processing requirements. Correcting entries usually
fall into this category of variations from normal processing as well.
a. Agency Travel.
Normally, the Office's travel costs are billed once each month for all airline tickets purchased less
credit received. Because it is more efficient to make only one payment, as opposed to the several which would
otherwise be necessary in order to record each amount to the appropriate document number, the voucher
requesting payment is manually entered onto RC.0089 "Check Master" by the Finance Officer.
The Finance Officer prepares a worksheet of each item by traveler's vendor and document number,
and uses this worksheet to prepare the fiscal activity document input sheets to record the account number
affected and the increase/decrease to payment in each document master record. Because the voucher record is
created independently of the batch, no payee or voucher I.D. numbers are entered on the input sheets. The
batch must be assigned a batch number which corresponds to the month in which the payment will actually be
issued by the disbursing office.
The Finance Officer then enters the voucher information (payee number, amount, comment and
pending code) onto RC.0089 Check Master. This payment voucher is ready to be added to the next payment
batch sent to Treasury.
b. Payroll.
Also see Section 2400 "Payroll".
The ONHIR is serviced by the Department of Interior’s Business Center in Denver,
Colorado, where timecard information is processed and payroll payments are prepared. The Financial Officer
receives documentation on payroll disbursements and prepares the payroll batches to record this activity.
The payroll recap worksheet is prepared by the Finance Officer and the payroll costs are organized for
the batch entry by accounting code (the print-out supplied by the Payroll Center may be used or if the print-out
requires several adjustments due to accounting code assignment problems an additional worksheet by
accounting code may be prepared). One batch is used to record combined payroll activities each month.
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Fiscal activity document input sheets are prepared in advance for the year with document number and
accounting code information. The accounting codes on these forms are matched with the information
provided by the Payroll Center. The detail accounting distribution print-out shows the organization in the
rows and the object class by either number or description in the columns. The Finance Officer enters the
amount for each payroll and any supplemental payroll amounts on the detail lines of the form and calculates
the total obligations and payments for the accounting entry. For this portion of the payroll batch, in which the
actual paid amounts are recorded, the detail total (option A+B+C+D), the total debits, and the total credits
must each be equal to twice the grand total for the pay periods per the payroll recap worksheets.
The payroll accrual is calculated by dividing the number of unpaid work days in the month by 10 (the
number of work days in a pay period) and multiplying that result by the payroll costs for the most recent pay
period. The first input sheet of the accrual portion of the batch is used to record this calculation. To save
processing time, the accrual for employer contributions are all booked to object class 126. The new accrual is
recorded as an obligation while the accrual being reversed from the prior month is a deobligation. The net
amount is debited or credited to the appropriate account number. At the beginning of the new fiscal year the
new document numbers are used to record the accrual, while the prior accrual is reversed from the old
document numbers.
A math check is done to ensure that the total accruals are correct. The control and detail totals are
then carefully calculated and the batch forwarded for data entry. Because photocopies of the input sheets are
used, no yellow carbons are made and no fiscal filing is needed.
2230 ACCOMPLISHED VOUCHERS.
Vouchers are "accomplished" when the payments have been issued by Treasury. The Office is
notified of this via the U.S. Treasury - Agency Confirmation Report on the GWA (Government Wide
Accounting) system. This report shows the voucher number, payment amount and date of issue. The
Financial Officer prints the confirmation report monthly.
The Finance Officer reviews the confirmation report for reasonableness and forwards it to the
Voucher Examiner who is responsible for entering the warrant numbers into the Check Master. Using the
Check Number Maintenance menu option, the beginning voucher number is entered. The screen will display
the voucher items in numerical order. The corresponding warrant numbers and dates are then entered for each
payment. While entering this data, the Voucher Examiner compares the confirmation report information to the
information on the Check Master to detect any possible alteration of the voucher or Check Master.
Additionally, any unexplained disruption in the voucher number sequence is reported to the Financial Officer
for research and correction as necessary.
The Voucher Examiner receives all the Treasury checks which are addressed to P.O. Box KK, and she
makes a photocopy of each check. The recipient signs and dates the copy when the check is picked up. This
copy is then filed in date order by the Voucher Examiner.
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2240 CANCELLATION OF CHECKS.
If an error is made in issuing a check, cancellation must be initiated immediately. Checks returned to
Treasury by the United States Postal Service as undeliverable are also canceled and the issuing agency notified
of this action after the fact.
More detailed and specific information on this subject can be found in 1 TFRM 4-7000 "Canceling,
Depositing, and Claims for Checks Drawn on the United States Treasury".
1. Cancellation of Available Checks.
An available check is one which is in the possession of either the agency or the disbursing office and
has not been mutilated (large portions missing).
Reasons for canceling available checks might be incorrect payee, incorrect amount, or duplication of a
previously processed payment. If the proper care is taken in preparing and reviewing the disbursement batch
the need for cancellation will be minimal. The Cancellation Report is prepared by the Kansas City Financial
Center as a service to the Office. When an available check is to be canceled the Finance Officer voids the
check, makes a copy for the Cancelled Check file, and mails it to the Treasury.
The Cancellation Report is computer generated by the Financial Center as part of the pay.gov system.
ONHIR is notified by automatic email whenever this report is processed. This form shows the amount of the
check and the date the credit was processed, the attachment shows the payee name and exact cancellation date.
Treasury forwards this form via email to the Finance Officer who uses Check Master maintenance to change
the status from I for issued to V for void. A note of the cancellation date is also made under "face-of-check"
comment. The Finance Officer then prepares the batch entry to reverse the payment and to reestablish the
proper level of obligation for the document number involved. The Finance Officer notes on the copy of this
report the action taken and files it in the cancelled check file by date received. In compliance with GAO
requirements, the reason for the cancellation is noted in the fiscal file.
The credit for the cancellation will appear on the Financial Management Service Agency
Confirmation Report(RFP)which is available through the GWA system. Because check cancellations are a
frequent source of differences in reporting between the agency and Treasury, care should be taken in
processing and tracking these cancellation documents. Batch number 07 is reserved each month for check
cancellation entries. Before this batch is submitted for keying, the RFP report should be obtained and a review
performed to ensure that all canceled checks for the month have been included in the batch.
Checks returned to Treasury as undeliverable by the U.S.P.S. are automatically canceled. EFT
payments returned by a financial institution to Treasury are also automatically cancelled.
Corrected replacement payments are processed when needed through the regular disbursement batch.
A new voucher number is assigned, and on the comment the word “reissued” will appear after the explanation.
2. Cancellation of Unavailable Checks.
An unavailable check is one which is not in the possession of the agency or the disbursing office and
cannot be obtained from the payee, usually due to misdirection or loss or mutilation of the check. When a
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payee notifies the Office that a check was not received, and the issuance of the check has been verified, the
Finance Officer will prepare an SF-1184 "Unavailable Check Cancellation" online through the Treasury Pacer
system. Under no circumstances may a replacement payment be prepared until a response is received from
Treasury stating that a stop payment has been processed.
In Kansas City the disbursing office information is added to the form and it is sent to the Treasury
Bureau of Government Financial Operations where a photocopy of the check is made or a stop payment
transaction processed if the check has not been paid.
Pay.Gov notifies the Office via the internet identifying the check and listing the status; whether the
check was cancelled and the Office credit is being processed or the check was paid and a photocopy is being
forwarded to the agency. If the check has been paid and the endorsement matches that of the payee, no further
action is taken except to inform the payee of the findings. If the check has been cancelled, a replacement may
be processed in the next payment batch if appropriate, and the Finance Officer will use Check Master
maintenance to change the status of the record from I for issued to V for void. A note of the cancellation date
is made under "face-of-check" comment. The Financial Officer notes on the Daily Advice of Status the action
taken and retains the form in the unavailable check cancellations file.
3. Where the Possibility of Fraud Exists.
Section 7040.30b of the Treasury Fiscal Requirements Manual provides the procedure to be followed
by the agency in processing claims on non-receipt of checks.
When it is suspected that a check has been fraudulently cashed, or that the payee is not entitled to the
proceeds of the check, the agency should take immediate action to stop payment by means of an SF-1184
"Unavailable Check Cancellation" (see the previous section for information on processing this form).
Additionally, the agency should issue a warning to the payee that if the check is in his possession it should not
be negotiated but should be returned to the agency for disposition.
The BGFO Daily Advice of Status returned to the agency may state that payment on the check has
been stopped, in which case no further action need be taken except to reissue the payment if appropriate. If
the check has been cashed, a photocopy of both sides will be provided along with the Daily Advice of Status.
The endorsement should then be compared to the known signature of the payee. If the agency concludes that
the signature is not that of the proper payee, all available evidence, including the payee's signature, should be
forwarded to the BGFO, Division of Check Claims. A cover letter explaining the situation should be prepared
by the Financial Officer to accompany the documentation.
Treasury requires that no further effort be made by the agency to conduct its own investigation of the
incident.
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Note: Sections MM#2220, “Preparation and Routing of Vouchers;” and MM#2250, “Imprest Fund,”
along with the attendant forms were eliminated in the 2010 revision of these procedures.
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M A N U A L S U B J E C T 2 3 0 0 D e p o s i t s APPROVED
SECTION 2000 ACCOUNTING PROCEDURES
SUBJECT 2300 Deposits
AUTHORITY
POLICY.
Checks or cash received for deposit are forwarded to the Finance Branch for safekeeping. Deposits to
the Federal Reserve System via the designated financial institution are made and the proper entries are booked
to reflect the deposits on the Financial records.
2305 SETTING UP DOCUMENTS FOR RECEIPT OF REVENUE
Certain types of agreements result in the receipt of revenue by ONHIR, or the payment of
reimbursements to ONHIR. Reimbursement may include reimbursement of the costs of services or materials,
or rental of ONHIR facilities to other governmental entities, companies, or individuals. Cross reference
MM#4500.
The Contracting Officer shall prepare the contract documents for such agreements upon receipt of a
procurement request from the responsible program manager. In preparing the contract documents, the
Contracting Officer will request a vendor number and a document number from the Finance Branch for the
revenue portion of the agreement. The fiscal document number will be shown in the section of the contract
which provides instructions for payment to ONHIR.
After the contract has been signed by all parties, the Contracting Officer will forward the original
contract to the Finance Branch. The contract will be filed in the Revenue Document file. In the event that the
contract also provides for expenditures by ONHIR, the original will be maintained in the Disbursement
Document file and a copy filed in the Revenue Document file.
2310 HANDLING OF RECEIPTS.
Receipts may arrive in check or cash form and usually represent reimbursement of amounts
previously paid to individuals or vendors. Additionally, rental revenues from the "New Lands" are received
and deposited by the ONHIR.
Checks Received by Mail. Envelopes containing checks received by mail will be opened by the mail
clerk. The clerk will date stamp the documentation accompanying the check and forward the mail to the
Finance Officer.
Hand-Delivered Checks. A person who comes to the Office with a check or cash for payment will be
referred by the receptionist to the Finance Officer. The Officer will receive the check or cash and
accompanying documentation, and give the person a receipt specifying the amount received, date of receipt,
and nature of the payment.
MM#2300 ISSUED 09/01/89; REVISED/REISSUED
1 3/13/92; July 3, 2010.
MANAGEMENT SECTION 2000 ACCOUNTING PROCEDURES ___/s/CJB_
M A N U A L S U B J E C T 2 3 0 0 D e p o s i t s APPROVED
Action of the Finance Branch. On the day of receipt, the Finance Office will prepare the batch entry
to book the receipt (refer to Section 2320.3 "Preparation of Entry to Book Deposits" for more information),
and will photocopy both the check and the input sheet. The check will be forwarded along with a copy of the
input sheet to the Voucher Examiner , who will store both in the safe until the deposit is made.
The Financial Officer will keep the original input sheets until the end of the month when the deposit
batch is prepared.
When the time comes to take the deposit to the bank, the Voucher Examiner will remove the cash and
checks from the safe and perform a count. The "Deposit Ticket" will be prepared via the OTCNET system
by the Voucher Examiner. The Finance Officer will go to the OTCNET system and submit this deposit via
the Internet. The Voucher Examiner will be the staff person to remove the receipts from the safe, as the
Financial Officer is not privy to the safe's combination, and physically take the deposit to the bank. The
Chase Bank Flagstaff, Arizona, Downtown Branch is used for deposits to the Federal Reserve System.
2320 MAKING DEPOSITS.
1. Timing.
The Voucher Examiner prepares one deposit per week unless receipts total a material amount (over
$1,000), then deposit activity is increased accordingly. While daily deposits are the standard according to the
U.S. Treasury, they are not necessary or desirable for the ONHIR in light of the processing time involved.
The weekly deposit is timed to avoid the last few days of the month, so that the ONHIR deposit
records will be in agreement with Treasury records when the SF-224 is submitted. Because the deposit is
transmitted from the local bank to a Treasury depository, the time needed for Treasury to receive the funds
must be taken into consideration. (See section 2530 for more information on the preparation and submission
of the SF-224, which is similar to a bank statement.)
2. Preparation of the Deposit Slip.
The Voucher Examiner removes all deposit items from the safe. On the TGAnet website, there is a
form to be filled out with all the deposit details. This form will be filled out by the Voucher Examiner and
then forwarded to the Finance Officer for submission to OTCNET. The Voucher Examiner then fills out the
2-part deposit slip and hand-carries the items to the bank.
3. Preparation of the Entry to Book Deposits.
As each receipt arrives, the Financial Officer prepares the batch entry to book the receipt to the
account number, detail accounting codes, and document numbers.
Some rents are collected in association with the Office's administration of the "New Lands". These
items have all been assigned the vendor number 1980 "New Lands Revenues" in order to maintain the funds
under one easily researched vendor number regardless of changes in the tenants. These receipts must be
accounted for in such a way as to enable the ONHIR to provide full information on income and expenses to
the Navajo Nation when the time comes to turn the administration of the New Lands over to the Nation.
MM#2300 ISSUED 09/01/89; REVISED/REISSUED
2 3/13/92; July 3, 2010.
MANAGEMENT SECTION 2000 ACCOUNTING PROCEDURES ___/s/CJB_
M A N U A L S U B J E C T 2 3 0 0 D e p o s i t s APPROVED
Treatment of common deposit items is as follows:
a. New Lands Revenues.
As mentioned above, the vendor number is 1980. The Document Master by Vendor Number
inquiry on the computer is used to determine the document number and accounting code. The descriptions
contained in these documents numbers represent the property names. Option "D" is used to record the receipt
or reduce the paid-to-date balance. Obligations are not usually recorded except to offset the cost of
maintaining the property, because these amounts should not be considered a part of ONHIR's regular funds.
b. Telephone Reimbursements.
Office cell phone users must sometimes reimburse ONHIR for calls in excess of their allowed
minutes. These receipts are used to reduce the paid-to-date total, but not the obligated total, for the cell phone
document number.
c. Other Deposits.
Other items must be researched as they arise. Frequently, records of prior month's deposits
are helpful as a source of information. Batch number 06 is used each month to record the deposit activity.
The inquiry menu on the computer can be used to determine the vendor/document number involved, and a
review of the fiscal file can also be helpful.
Account number 1014 "Deposits" is used to record deposit activity, and the net balance of
that account should reflect total deposit activity for the fiscal year. Care must be taken to ensure that accounts
4800/4900 are properly affected when an entry to book deposits is made. Because of the automatic entry to
liquidate obligations (see Section 2210.1(b), a choice must be made between two account entries according to
the circumstances involved. Entries of this nature will cause the batch total to differ from the activity total.
To close out the batch at month's end, a manual check of total net entries to account 1014 is
performed to ensure agreement with the total net deposits for the month. The control total (total of all debits
or total of all credits) is calculated as usual. The detail total is calculated by totaling options A+B+C+D and
the amount is noted on the first page of the batch. The batch is forwarded for data entry.
4. Treasury Verification of Deposits Received.
The day after each deposit, the Finance Officer goes into the OTCNET system on the Internet and
prints out the deposit information, which is filed in front of each deposit.
Each month the total deposits are reported in the Treasury "Statement of Difference" module. The total
deposits are compared to the Monthly Account balance prepared by ONHIR. Any differences will be
reconciled by the Finance Officer.
MM#2300 ISSUED 09/01/89; REVISED/REISSUED
3 3/13/92; July 3, 2010.
MANAGEMENT SECTION 2000 ACCOUNTING PROCEDURES
MANUAL SUBJECT 2400 Payroll ___/s/CJB__
APPROVED
SECTION 2000 ACCOUNTING PROCEDURES
SUBJECT 2400 Payroll
AUTHORITY
POLICY.
The ONHIR is serviced by the Department of Interior’s Business Center (IBC) in Denver,
Colorado. Time keeping is accomplished in-house by the Payroll Clerk with leave information forwarded to
NBC bi-weekly. There the information is processed and payroll documentation prepared.
Items received by ONHIR from IBC include the SF113A statistics for Personnel as well as the
individual payroll costs and government benefits paid for each person.
These items are downloaded by the Financial Officer who maintains files by pay period. Although
the IBC calculates the payroll and arranges for disbursement of salary and related payments, these
expenditures are booked to the proper account numbers and accounting codes, and payment is accomplished
on the monthly IPAC billing.
The Finance Officer prepares a worksheet for each pay period which details the types of charges
involved, culminating in the calculation of the total payroll expenditure for the period. The batch is prepared
and entered and the proper reporting completed. See Section 2210.7(d) for an explanation of how the payroll
batch is prepared.
The Finance Officer prepares a Payroll Recap for each pay period which summarizes all the various
payroll charges. The total of this worksheet should match the gross pay reported on the Gross Payroll
Spreadsheet and the total recap received from IBC.
2445 PREPARATION OF BI-WEEKLY PAYROLL.
Leave Slips.
An employee requesting approved leave shall submit a completed leave slip to the branch supervisor
or Executive Director for approval. After the request has been approved, the leave slip shall be routed to the
Payroll Clerk.
Payroll Approval.
After the Payroll Clerk has prepared the payroll, the Finance Officer (or Personnel Officer in her
absence) will approve and submit the payroll via the internet. The Finance Officer’s personal payroll will be
approved and submitted by the Personnel Officer.
MM#2400 ISSUED 09/11/89; REVISED/REISSUED
1 3/13/92; July 3, 2010.
MANAGEMENT SECTION 2000 ACCOUNTING PROCEDURES
MANUAL SUBJECT 2400 Payroll ___/s/CJB__
APPROVED
Distribution of Pay and Leave Statements.
The Pay and Leave statements are mailed directly to employees. If an employee has a question on
their statement, the Payroll Clerk or Finance Officer will research the problem and deal with IBC directly.
MM#2400 ISSUED 09/11/89; REVISED/REISSUED
2 3/13/92; July 3, 2010.
MANAGEMENT SECTION 2000 ACCOUNTING PROCEDURES
MANUAL SUBJECT 2400 Payroll ___/s/CJB__
APPROVED
Note: Sections MM#2410, “Payroll Vouchers;” MM#2420, “Payroll Withholding;” MM#2430,
“Electronic Funds Transfer;” MM#2440, “Other Payroll Issues;” and MM#2450, “Distribution of
Payroll Checks;” and the attendant forms, were eliminated by the 2010 revision of these procedures.
MM#2400 ISSUED 09/11/89; REVISED/REISSUED
3 3/13/92; July 3, 2010.
MANAGEMENT SECTION 2000 ACCOUNTING PROCEDURES
MANUAL SUBJECT 2500 Reporting the Results of Accounting Activities _/s/CJB__
APPROVED
SECTION 2000 ACCOUNTING PROCEDURES
SUBJECT 2500 Reporting the Results of Accounting Activities
AUTHORITY
POLICY.
The Department of the Treasury is required to furnish overall Government financial reports for the
use of the President, Congress and the public. The Office prepares internal financial statements monthly,
submits the GTAS monthly, and the FACTS I and NOTES yearly to Treasury, so that our information can be
integrated into the financial reports of the USA. In addition, the SF-132 "Apportionment and Reapportionment
Schedule" is used in communicating our status to the Office of Management and Budget Examiner.
This system of reports is based on the premise that control over receipt and payment of public funds
depends upon the ability of Federal Agencies to properly process and report financial transactions.
2510 FUND ACCOUNTS.
All governmental transactions are identified with applicable fund groups and classified within fund
groups through assignment of alphanumeric account symbols by the Department of the Treasury. The symbol
assigned reflects the source of the receipt and availability of the fund for expenditure.
1. One Year Appropriations.
Funds assigned one-year status are only available for obligation during the year so designated, and
any unobligated balances remaining at year-end must be returned to the Department of the Treasury. A single
digit (0 - 9) is used within the account symbol to indicate the year of availability of the funds. An "M" is used
in place of this digit to indicate the consolidation of all one-year appropriation accounts for which the year of
availability has ended over two years prior.
2. No Year Appropriations.
Funds which are not limited to obligation during a specific fiscal year are referred to as "no-year"
appropriations. An "X" is assigned to the account symbol by Treasury to designate this type of appropriation.
Account 48X1100 is in use by ONHIR.
3. Budget Clearing Accounts.
Clearing accounts are established to temporarily maintain collections or disbursements pending
clearance to the appropriate account symbol. These accounts have been designated by Treasury as identified
by an "F" preceding the last four digits of the account symbol. Account 48F3875.11 is used by ONHIR for
this purpose. Amounts booked to 48F3875.11 by Treasury will remain in that account until the Financial
Officer takes action to transfer them out via the SF-224 reporting.
MM#2500 ISSUED 09/01/89; REVISED/
1 REISSUED 03/13/92;
July 3, 2010.
MANAGEMENT SECTION 2000 ACCOUNTING PROCEDURES
MANUAL SUBJECT 2500 Reporting the Results of Accounting Activities _/s/CJB__
APPROVED
2520 RESERVED.
2530 RECONCILIATION OF OFFICE REPORTS TO THE ACCOUNT STATEMENT
PREPARED BY GWA.
1. Basis of Monthly Reports.
ONHIR must reconcile our monthly reports to the Account Statement generated by GWA.
Expenditures and deposits booked by ONHIR must be reported in the appropriate period to correspond with
Treasury records.
The sources for this reconciliation include:
Computer-generated reports for the month.
- Consolidated Summary Trial Balance (Menu ACTMAS #10, Menu ACTDEP #23, Menu B2 #15).
- Allotment Status Summary (Menu ACTMAS #10, Menu ACTDEP #23, Menu B2 #6).
- Batch Detail Listing (Menu ACTMAS #11, Menu B5 #18).
- GWA TDO payments (on the Internet).
Files from the Financial Officer's desk.
- Account Statement internal folder containing the reports submitted in prior months.
- Batch Total Log.
The resources listed above are used to prepare several spreadsheets consolidating information for
internal reports. Several worksheets are prepared each month to reconcile internal numbers to the GWA
report.
a. Disbursements.
This worksheet illustrates all disbursement activity for the month. The columns reflect the
type of activity, whether payments made by the Kanasas City Treasury Center, payroll disbursements from
IBC in Denver, IPAC, and a final column for deposits. The rows show the batch amounts.
The total of account #1013 and #1014 is calculated for each batch entry, using the Batch Detail
Listing for the month. These totals are entered onto this spreadsheet by batch number, and by type of activity
(the various columns). The total of the first column should agree to the total on the RFC Report. The total of
the second column should agree to the payroll information submitted to us by Denver (filed every pay period
in the Account Statement folder). The total of the third column should agree with the IPAC total statement.
The total of the last column should equal the monthly deposit report from the TGAnet system. Any items that
do not agree with their control total should be researched prior to reconciling with the Account Statement.
(The typical problem would arise from an item being entered into ONHIR’s accounts in one month, and the
Treasury accounts in another.)
MM#2500 ISSUED 09/01/89; REVISED/
2 REISSUED 03/13/92;
July 3, 2010.
MANAGEMENT SECTION 2000 ACCOUNTING PROCEDURES
MANUAL SUBJECT 2500 Reporting the Results of Accounting Activities _/s/CJB__
APPROVED
The monthly disbursement total will be the total of columns 1, 2, & 3 added together, with column 4
being subtracted from this total.
b. Deposits.
At the end of each month, the Finance Officer takes the monthly deposit folder and enters all
information onto this spreadsheet.
Column #1 is the OTCNET deposit voucher number.
Column #2 is the deposit date.
Column #3 is the deposit total.
Column #4 is the total of “A” deposits, those deposits that are netted against disbursements of
the period, per Treasury regulations.
Column #5 is the total of “B” deposits, those deposits that are not netted against
disbursements.
The total of columns 4 and 5 should equal column 3, as well as the Batch total for deposits.
2540 VERIFICATION AND INTEGRATION OF ACCOUNTING RESULTS
There are several reconciliations to be performed by the Finance Officer monthly.
1. Reconciliation of the Account Statement.
The Account Statement is generated by Treasury monthly. This statement indicates the balance of
funds available per Treasury as of the end of each month. This statement will include the beginning year
balance, any authority given (allotment), any transfer in or out, gross disbursements, offsetting collections,
and the balance at the end of the month. The Finance Officer creates a worksheet monthly called the “Year-
End Closing Statement” that includes all accounts on the general ledger, with a total equaling the ending
balance on the Account Statement of Treasury. Any differences between these two totals must be reconciled.
Again, the most common difference would be an item being included in one period by ONHIR and another
period by the Treasury.
There are actually three statement generated by Treasury: a Year-to-date Statement, a Monthly
Expenditure Statement, and a Monthly Transactions Statement indicating where the various funds have come
from.
2. Verification of Computerized Reporting.
Because accounting activity is recorded in both the general ledger and the document number files, the
computerized reporting must be reviewed for consistency between these two files. A cross check of reports is
performed by the Finance Officer at least once each month. To ensure that all entries have been documented
and processed properly, a verification of the total debits and credits in the system is also performed by the
Finance Officer on a monthly basis. The cross check of reports is done using the Summary Trial Balance and
the Allotment Status Summary. The comparison of selected items on these reports is also a comparison of
MM#2500 ISSUED 09/01/89; REVISED/
3 REISSUED 03/13/92;
July 3, 2010.
MANAGEMENT SECTION 2000 ACCOUNTING PROCEDURES
MANUAL SUBJECT 2500 Reporting the Results of Accounting Activities _/s/CJB__
APPROVED
account balances (Summary Trial Balance) to the accounting code balances (Allotment Status Report). The
following comparisons are made for each appropriation and year:
Consolidated Summary Trial Balance Allotment Status Report
4119 + 4190 = To Date Allotment
4610 = Unobligated Balance
6101 = Prior Year Payments
6100 = Year To Date Payments
4800 - 2210 = Unliquidated Balance
As each batch is posted on the computerized accounting system, the Finance Officer records the total
debits and credits by appropriation and year, as recapped on the edit list, onto the ONHIR Batch Total Log.
This log is separated by batch month (the first two digits of the batch number) and contains an area at the
bottom of the page for a total by appropriation and year to be entered.
When reports are run for the monthly closing, the current total of debits and credits is compared to the
totals appearing on the Summary Trial Balance. The Finance Officer notes and initials the successful
completion of this cross-check in the log. In this way she can be sure that she had control over all entries
made to the system.
2550 GTAS Report
The GTAS Report is prepared monthly. Treasury notifies all agencies when the GTAS window
will be opened and when it will close. Information must be transmitted to Treasury during this time
frame.
After reconciling the Account Statement at the end of each month, the Finance Officer will prepare the
GTAS spreadsheet in her computer under “Federal Forms.” This spreadsheet is made up of four parts: the
first part is the account statement information; the second part deals with the total
resources available and the status of those resources as of that date (the old SF133); the third part is made up
of the fund balance and its offsetting liabilities (the old SF2108); and the fourth part is a reconciliation of the
Outlays.
1. Account Statement Information
This part of the spreadsheet is a duplicate of the Account Statement information prepared above.
2. Resources and Status of Resources (SF133)
This part of the spreadsheet is prepared automatically from the Account Statement information in #1.
This part takes the information from the GL accounts of ONHIR and spreads it to the FMS accounts for this
statement. The preparer must be aware of prior year-end balances for account #1012 (Fund Balance), #4800
(Obligations unpaid), and the accounts payable per the Account Statement. In addition, the preparer must
calculate the recoveries as of the end of that time period (another spreadsheet in the Federal Forms folder).
These items will be the only items necessary to insert in this spreadsheet.
MM#2500 ISSUED 09/01/89; REVISED/
4 REISSUED 03/13/92;
July 3, 2010.
MANAGEMENT SECTION 2000 ACCOUNTING PROCEDURES
MANUAL SUBJECT 2500 Reporting the Results of Accounting Activities _/s/CJB__
APPROVED
3. Fund Balance (SF2108)
This part of the spreadsheet will automatically be prepared, except for the recoveries that were
calculated in step #2 above.
4. Outlays
The Outlays total equals the #6100 (Current year expenditures) ending balance less the #2210
(Accrued Payroll) ending balance, plus the #2210 beginning balance. The Finance Officer will need to know
the #2210 beginning balance. The other numbers will come right off the information in Step #1.
The verify the Outlay total, the Finance Officer will add together all years in the #6100 account,
except the current year, plus the current year #4900 (Obligations Paid) balance. This total should be the same
as the one arrived at via the preceding paragraph, and will automatically be entered in the Status of Resources
part of the spreadsheet.
Once this spreadsheet is prepared, the Finance Officer goes into the AS400 ACTMAS Menu #6, then
#20, and updates all the accounts, this information is then transmitted to the GTAS website, which ultimately
produces the "ATB By G/L" statement.
2560 FACTS I AND NOTES REPORTING
ONHIR is a non-verifying agency, per Treasury, and these reports are due on November 15.
FACTS I
Once the yearly financial statements have been audited, the FACTS I report can be prepared. This
statement will use the FACTS II end-of-year calculations, fixed asset and depreciation yearly calculations, and
the separation of outlays to other governmental agencies from the total outlays.
Each month, interagency payments will be recorded on spreadsheets kept by the Finance Officer for
IMPAC and IPAC payments. At the end of the year, the Document Master for the current year must be
MM#2500 ISSUED 09/01/89; REVISED/
5 REISSUED 03/13/92;
July 3, 2010.
MANAGEMENT SECTION 2000 ACCOUNTING PROCEDURES
MANUAL SUBJECT 2500 Reporting the Results of Accounting Activities _/s/CJB__
APPROVED
checked to see that all interagency payments are on one of these spreadsheets. Inside the FACTS I file is a
listing of the reporting numbers used for each agency. The difference between the total outlays and the
interagency payments is outlays to the general public.
The fixed asset note to the financial statements will be used to capture the amounts of gross fixed
assets, accumulated depreciation, and the yearly depreciation charged.
To prepare this report, first copy last year’s FACTS I report and change all numbers to the current
year totals. Next, go to the Internet, select FMS Applications, give user id and passwords, then select FACTS
I. Enter the numbers on the adjusted trial balance. Once the report balances, print out final copies in detail
and summary.
You must wait one day before preparing the Notes information.
NOTES
After waiting one day, go back into GWA/Reports/Support Listing, select GOALS II, select GFRS
Production. (If you need to change the password, the first screen has a place to do that on the left side.)
The connection to ORACLE takes a little time. Double click on the Government wide Financial
Report System, then double click on FR Notes, Module 6. This will bring up approximately 26 notes.
Highlight the first note and hit open. If you have dollars to enter, there should be an item in
previously entered column. Also, you will see the amount at the top of the entry area that was put into the
ATB. You have to enter both the current year and prior year numbers.
After entering dollars on the first screen, select “Other Notes” tab. Go through all the sections for this
note (there could be sections A-H behind the first note). There is a small scroll bar on the right side of the
section information that will let you go to all the sections. If there is no info to enter, select the “no data” box
at the bottom left hand corner. All sections will have to have either an entry or a no-data box entry.
Next, select the tab that says “Text.” If there is no item to be entered, select the “no data” box. After
everything is entered, go to the “Change Status” box near the top of the current page and move it from “in
process” to “complete.” If you have any errors, or have not gone to each page within this note, it will not let
you select “complete.”
If you get an error message indicating a “Threshold” problem, you will see that the current number is
greyed out. Click on the greyed out number, and the 4 tab labeled “Threshold” will activate. You will then
th
list why the current year is 10% more or less than the prior year.
Once you finish each note, click on the FR Report on the bottom of the screen. This will get the note
ready for printing. After this, hit Submit. This will send you back to the first screen showing all the notes.
The current one should show “submitted.” You can then go to the next note showing “in process.”
If you have problems during any of this, go back to the GFRS home screen and hit the “logon” yellow
button on the top left. This will make you re-sign on may fix whatever problem is bothering you.
MM#2500 ISSUED 09/01/89; REVISED/
6 REISSUED 03/13/92;
July 3, 2010.
MANAGEMENT SECTION 2000 ACCOUNTING PROCEDURES
MANUAL SUBJECT 2500 Reporting the Results of Accounting Activities _/s/CJB__
APPROVED
When you have filled out all the notes, go to the message screen (indicated by 2 pieces of paper offset
from each other), click on it, and it will bring up all the items for you to print. Click on “View,” then print,
then File/Close—which will send you back to the message screen to print the next note.
After completing Module 6, do the exact same thing for Module 7. After this go to the Balance Sheet,
click on view, and then print it out like above.
2590 INTERNAL REPORTING.
Several internal reports are prepared and used within the agency - each was added as dictated by need.
The accounting function must remain flexible enough to provide additional reports as new requests are
received.
1. Financial Statement.
Each month a simple financial statement is prepared. The source for the Financial Statement is
directly from the Allotment Summary report for that month and year. This spreadsheet is found in the Misc
Monthly Statements folder, labeled as Financial Statements 1.
2. Prior Year’s Comparative Statement.
This statement is in the same folder indicated above and labeled as Financial Statements 2. The same
information from the Allotment Summary report is entered into the current year column.
3. Various Miscellaneous Statements.
There are various other statements that are of interest to management found in this same folder. These
statements track current projects, letting management know what costs have been incurred to date. These
statement change as the projects of the Office change. For an example of these, check items within this folder.
MM#2500 ISSUED 09/01/89; REVISED/
7 REISSUED 03/13/92;
July 3, 2010.
MANAGEMENT SECTION 2000 ACCOUNTING PROCEDURES
MANUAL SUBJECT 2500 Reporting the Results of Accounting Activities _/s/CJB__
APPROVED
Note: Sections MM#2570, “Report on Unexpended Balances - TFS-2108,” and Section MM#2580
“Business Type Financial Statements - TFS-220 and Related Schedules, also TFS-221, 222, and 223, and
attendant forms were eliminated by the 2010 revision of these procedures.
MM#2500 ISSUED 09/01/89; REVISED/
8 REISSUED 03/13/92;
July 3, 2010.
MANAGEMENT SECTION 2000 ACCOUNTING PROCEDURES
MANUAL SUBJECT 2600 Voucher Examination and Obligation ___/s/CJB___
APPROVED
SECTION 2000 ACCOUNTING PROCEDURES
SUBJECT 2600 Voucher Examination and Obligation
AUTHORITY
POLICY.
The processing of obligation and payment documents is the primary function of the Office's Finance
Branch. Although staff positions are limited, ideally the voucher examination and obligation operations
should be segregated from:
- Purchasing
- Recording the receipt of goods and services
- Authorizing the hiring of employees
- Keeping time records
- Preparing payrolls
Treasury requires that the Office’s system of internal control over, and procedures for, obligations and
disbursements be based on the operating needs of the Office and the principles and standards prescribed by
GAO. GAO requires the pre-audit and approval of vouchers before they are certified for payment as a means
of providing effective control over disbursements.
Pre-audit will assure that:
- Approvals for the procurement and payment are in writing and on file.
- Goods and services are received according to the purchase agreement.
- The amount of the payment and the name and address of the payee are correct.
- Payments are not duplicated.
- Payments are appropriate under the legal constraints of the Federal government.
- Quantities, prices and amounts are accurate.
- Discounts are taken or reason why not recorded.
- Any applicable deductions are credited.
- Appropriations are available.
MM#2600 ISSUED 09/01/89; REVISED/REISSUED
1 03/13/92; July 3, 2010.
MANAGEMENT SECTION 2000 ACCOUNTING PROCEDURES
MANUAL SUBJECT 2600 Voucher Examination and Obligation ___/s/CJB___
APPROVED
- Special certificates, if needed, are properly furnished.
2610 VOUCHER EXAMINATION.
One goal of all Federal agencies is to assure that accurate, timely, and legally appropriate payments
are made to vendors, contractors and others. The Office’s Financial Branch is responsible for the processing
of these payments, including the systematic review of payment documents to assure that:
- Goods and services billed have been received.
- Pricing is correct according to the procurement documents provided.
- Payments are timely and reach their proper destination.
- Accounting classifications are accurate and payments are properly recorded in the computerized
accounting system.
- Payments are properly documented in the finance files.
The Voucher Examiner serves as the primary voucher examiner for the Office, however the Finance
Officer may serve in that capacity if the Voucher Examiner is absent or the workload requires additional
manpower. The Finance Officer should also assist the Voucher Examiner in especially sensitive or
complicated voucher examinations. The Executive Director must authorize, in writing, the employee to
certify vouchers - the Authorized Certifying Officer. The ACO has official responsibility for the correctness
of the payment being made but the level of responsibility of the Agency's three ACO's requires them to
depend on the competency and honesty of the Voucher Examiner.
The basic duties of the Voucher Examiner are to examine vouchers, invoices, claims and other
requests for payment for appropriateness as outlined in these procedures and to forward them for payment
processing. In most cases, the Voucher Examiner also prepares the disbursement documents.
Review by Certifying Officers. Certifying officers will review the supporting documentation behind
vouchers to verify the accuracy and authenticity of payment by examining the backup information along with
the voucher for signature.
MM#2600 ISSUED 09/01/89; REVISED/REISSUED
2 03/13/92; July 3, 2010.
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MANUAL SUBJECT 2600 Voucher Examination and Obligation ___/s/CJB___
APPROVED
A. INVOICES:
General. The mail room will open and date stamp all invoices and forward them to the Finance
Branch, which will determine the disposition of all documents relating to disbursements. If any invoices
reach the Finance Branch without a date stamp, they will be stamped at that time.
Payment should only be made from the original vendor invoice, or a faxed copy. If the original is lost
or destroyed, a duplicate must be used and should be clearly marked as such and the circumstances
documented in the finance file. It is never correct to pay a vendor from an account statement without the
supporting invoice. If a duplicate invoice is used, care should be taken to avoid double payment. All invoices
must be marked "paid" when processed, also to avoid double payment.
1. Paying Invoices. The Voucher Examiner will match the invoices received to the receiving reports
submitted by the authorized receivers, and will process payment vouchers. After determining that the
merchandise or service has been received, the Voucher Examiner will verify that the invoice is
mathematically correct and that it complies with the terms of the purchase order relating to unit price, tax, and
freight. The Voucher Examiner will make sure the Office has the necessary EFT information or, in the case
of checks, compare the remittance address to the PO address, to avoid payment delays from checks being
issued to the wrong address.
The Voucher Examiner will verify that an obligation has been recorded on the books, and will then
prepare the Fiscal Activity Document input form to order payment, complying with the requirements of the
prompt payment act. Any invoices for which prompt payment interest is due will be sent to the Finance
Officer who will calculate the interest and maintain a log of this interest for each fiscal year.
Specific payments to be issued by the Financial Branch will include the following actions.
a. Post Office boxes will be paid in advance upon an invoice from the Postmaster.
b. Payment pursuant to recurring maintenance contracts will be handled by the Financial
Branch.
c. Utilities invoices will be checked by the Financial Branch for correct meter numbers and
reasonable usage, based on averages.
2. Invoice Approval by Other Offices. When the Voucher Examiner cannot vouch an invoice
according to the procedures described in #1 above, the invoice will be routed to the individual identified as the
authorized receiver for verification that the receipt of goods or services has been accomplished in a
satisfactory manner, and that the invoice is proper for payment.
B. IN-HOUSE REQUESTS FOR PAYMENT.
In-house requests for payment are usually received on one of these internal forms:
- "Disbursement Voucher Request" originating in the Relocation Operations Branch.
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- "Claim for Reimbursement of Client Travel" originating in the Relocation Operations Branch.
- The IMPAC billing mailed to the Finance Department from the card-issuing bank.
Any other properly executed document may be used to request payment, so care should be taken to
review documents received in the Finance Branch for action to be taken.
Before payment is made, the payment request form must be mathematically correct as verified by the
Voucher Examiner. In the case of client payments, the client name and case number must be correct.
The "Disbursement Voucher Request" is used to order payments to the client or on the client's behalf
for housing, bonuses and incidental expenses. The Finance Officer should review this form for proper
vendor and document number, proper payee number and approval from the Relocation Specialist and the
Relocation Operations Branch or his alternate. A check of the document master or a review of the other batch
items should be made to ensure that sufficient obligation exists or is to be processed concurrently to cover the
payment requested. Lastly, the payment itself should be compared to the client’s payment contract for
individual payments kept in the computer. The Financial Officer performs this voucher examination and
refers any questions or problems back to the Relocation Operations Manager or to the Executive Director.
The "Claim for Reimbursement of Client Travel" has two different forms; Homesite Lease Travel, and
Housing Related Travel. Each form is pre-printed with the approved number of trips for each activity and
areas for other trips or expense claims which may be approved by the staff member assigned to work with the
client. The Voucher Examiner is responsible for reviewing the number of trips and checking them to
reimbursed dates of travel on the check master to ensure that no duplicate payments are made to any client.
The payee history is used for this purpose, so the Voucher Examiner must have the vendor/payee number of
the client available. The miles claimed must be reasonable and in accordance with the odometer reading or
standard mileage chart, and any lodging claims must have a lodging receipt attached. The form must have the
proper claimant, preparer and approving officer signatures. Any errors or omissions on these forms should be
referred back to the preparer or to the approving officer. After completing the examination the examiner signs
the form and forwards it to the Executive Director for final approval before payment is processed.
For the monthly IMPAC payment, each IMPAC cardholder receives a statement listing the various
charges for that month. The cardholder then matches up their supporting documents with the various charges,
and forwards this paperwork to the Finance Branch. The total monthly billing is reviewed by the Finance
Officer, compared to the total billing sent from the bank and the various charges distributed to the appropriate
accounts via a spreadsheet. All the IMPAC supporting documents are sent to the Contracting Officer for
review and approval of the payment. Once this approval is obtained, the Finance Officer prepares the IMPAC
batch for entry by the Voucher Examiner.
In all voucher examinations timeliness is important and the batch schedule discussed in Section
2210.2 should be followed so that payments are received by clients, vendors and contractors as scheduled.
C. CERTIFICATION OF TRAINING - SF-182.
Payment for employee training may be made as an educational advance to the employee, as a
reimbursement to the employee, or, most usually, as a direct payment to the training vendor. In all cases, the
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SF-182 "Request, Authorization, Agreement and Certification of Training" form is used to document the
obligation.
For educational advances or reimbursements for college level courses, the SF-182 must be prepared
with trainee information thru block 20. The approval lines 26, 27 and 28 must be complete before the form is
processed for payment. In the case of a reimbursement, block 30 and a copy of the SF-182 "Agency
Evaluation Form" must also be completed and a grade report indicating a passing grade and expense receipts
must be attached. If text books are being paid for by the Office they must be stamped as Office property by the
Procurement Assistant and inventoried, as they become the property of the Office. The Voucher Examiner
may ask to inspect a copy of the course syllabus if there is any question about the legitimacy of a claim for
reimbursement of textbook costs. In the case of an advance, the employee shall sign an in-house agreement to
reimburse the advance if the course is not completed satisfactorily. Advance activity should be coordinated
with the Finance Officer to ensure that the proper journals are affected and the subsidiary ledger for advances
is properly maintained. For more information on the processing of educational advances, see Section 2810.1.
Most training vouchers will be for employee's attendance at courses sponsored by various contractors.
The billing for the class fees will usually be paid via the IMPAC card. While the obligation is booked from
the SF-182, the billing document examined for payment is the IMPAC billing. Some bills for federal training
may be processed on the IPAC system (see Section 2540.1).
The Human Resources Officer maintains a suspense file and ensures that each employee receiving
training and his or her supervisor completes a copy of the SF-182 "Agency Evaluation Form" which is sent to
the employee's personnel file when completed.
D. TRAVEL VOUCHER - SF-1012.
Requests for reimbursement of travel expenses should be submitted on SF-1012 "Travel Voucher".
The Finance Officer and the Voucher Examiner serve as the Office's travel experts and have a working
knowledge of the travel regulations set forth in the Federal Property Management Regulations section A-40
which apply to the Office, and the related decisions of the Controller General. The Travel Regulation Branch
of the General Services Administration in Washington D.C. can assist if needed.
When a completed SF-1012 is received, it must be compared to the information on the GSA form 87
"Official Travel Authorization" for the traveler, which is in the document file. Any discrepancies between the
approved travel dates, destinations, authorized accommodations, etc. must be explained and documented. The
traveler is not reimbursed for expenditures which are not authorized in advance unless a new GSA Form-87 is
prepared (if justified). Areas such as vehicle rental, mileage rate, and other mode of transportation should be
carefully checked for proper prior approval. Some travelers have blanket travel authorizations which cover all
their trips for the fiscal year, and the limitations on these blanket authorizations apply to every trip unless
additional approval in writing is secured for exceptions.
The SF-1012 is approved by the Voucher Examiner, reviewed by the Finance Officer, and
then routed to the Executive Director for final approval before payment is processed.
E. MISCELLANEOUS.
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Billings processed through the IPAC (Inter-governmental Purchases and Collection) system are paid
from the Office’s account with Treasury automatically and so the payment is made before the billing
document is received and examined. If there are any errors, the Finance Officer will contact the agency
involved to settle the dispute. Items such as the GSA Motorpool billing, Government Printing Office charges,
and training charges from the Office of Personnel Management are billed through the IPAC system. These
bills and their attachments should be carefully reviewed. They should be reviewed by the Finance Officer for
the proper customer agency information and agency location code, and a purchase agreement must be on file
to support the charge.
Regardless of the form of the billing document, the Finance Officer will obtain from the Contracting
Specialist or Procurement Assistant support for motorpool, printing, and GSA furniture and equipment
purchase charges to ensure that items billed have been received and credits are properly processed.
2620 OBLIGATIONS AND OBLIGATING DOCUMENTS.
An obligation is a binding commitment to disburse funds for products or services at some point in the
future. The Office's funding is generally through "no-year" appropriations so funds are not limited to
obligation during a specific fiscal year. However, for accounting purposes it is important to book obligations
to the proper journal and accounting code for the year the commitment was made.
Only the Contracting Officer, Contracting Specialist, and the Relocation Operations Manager,
(housing contracts only) may obligate the ONHIR and any obligation must be properly executed in writing to
comply with Federal requirements. These designations are on file and may be revoked and reassigned by the
Executive Director.
The individuals mentioned above also have sole authority to approve change orders, task orders, and
amendments to obligating documents. Only the Contracting Officer and the Executive Director may terminate
a contract.
1. Standard Obligating Documents.
Frequently used obligating documents take a variety of forms. The housing contract is an in-house
form which outlines the housing benefit, bonus, and infrastructure amounts to be paid to the vendor and
client(s) named in the contract. This form is routed to the Finance Officer from the Relocation Operations
Manager after it has been executed. The Finance Officer checks the contract for the client's name and case
number, the amount of total housing benefit, bonus, and infrastructure, and the approving signatures of the
Relocations Operations Manager and the client before processing the obligation. If any errors or omissions
are found, the contract is referred back to Relocation Operations Manager.
Contracts for services are also drawn on in-house forms with an SF-26 "Award/Contract" as the cover
page. The completed contract is routed to the Finance Officer who checks for the amount to obligate, the
accounting code information, the date of signature, and the contractor and Contracting Officer signatures.
Questions, errors and omissions are referred to the Contracting Specialist.
Grants are awarded on contractual documents and an SF-26 "Award/Contract" and SF-424 "Federal
Assistance" are included in the package of obligating documents. The Finance Officer checks the SF-26 for
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the amount to obligate, the accounting code information, the date of signature, and the applicant and
Contracting Officer signatures. A check is made to ensure that a completed SF-424 with the applicant's
signature and section 31.a marked (to indicate that the grant was awarded) is attached. Questions, errors and
omissions are referred to the Contracting Specialist.
Changes to grants and contracts are accomplished on SF-30 "Amendment of Solicitation/Modification
of Contract" which must be signed by the Contracting Officer. The Finance Officer studies the amendment to
determine if a change in the level of obligation should be booked, referring questions to the Contracting
Specialist.
Purchases are obligated from purchase order forms "Optional Form"-347. The completed form is
routed to the Finance Officer or Voucher Examiner who obligates the amount in block 17(l) "Grand Total".
The form must be properly completed with the contractor name and address, appropriate supplies or services
information, subtotals and total, and the signature of an authorized official. Addendums are frequently
attached to purchase orders; if the Form-347 calls for an addendum, these reviewers ensure that it is attached
in its entirety and is routed to the fiscal file after processing along with the purchase order.
Travelers have blanket travel authorizations which cover normal travel for the fiscal year. For training
travel, a specific travel authorization will be prepared for each such event. Obligation is made when the SF-
1012 “Travel Voucher” is submitted by the employee and/or when charges on the Office’s travel card for
airline transportation are received from the applicable travel vendor.
Employee training is obligated from the SF-182 "Request, Authorization, Agreement and Certification
of Training" which is completed by the employee thru block 20 and by the employee with help from the
Finance Officer thru line 22. The approval lines must be complete before the obligation can be processed.
Section 2810.1 contains detailed information on educational advances.
The cost of salaries and benefits are obligated from the biweekly payroll report from IBC in Denver
and the Payroll Recap. The Finance Officer receives the payroll documents and organizes the information
onto the Payroll Recap. See Section 2400 "Payroll" for more on this subject. The obligation is booked as
payroll costs are computed and charged each month, with an accrual recorded for the unpaid work days in the
month. At fiscal year end a special print-out is prepared by the Payroll Center with actual amounts to accrue.
Other obligating documents may be received which must be processed and it is not a requirement that
obligations be recorded only on standard forms. Any document which states the name and address of the
vendor, the purpose of the expenditure, and the time period of the obligation and is properly signed by an
authorized individual and the vendor may be used to record an obligation.
2. Vendor and Document Number Assignments.
Vendor numbers continue in use unless a new number is needed due to changes in vendor information
which cannot be incorporated into the existing vendor/payee record, but a new document number is assigned
to each obligating event. The Finance Officer assigns the vendor and document numbers. The document
number and the related accounting code must reflect the fiscal year of the commitment.
When an obligating document is received, a check is made of the vendor master through inquiry on the
computer to determine if the vendor number already exists. If not, a number is assigned in accordance with
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the instructions in Section 2210.1(a) "Vendor and Document Number". The Federal income tax identifying
number should also be entered at this time for all vendors, and the EFT bank information must be entered prior
to the first payment.
A new document number is assigned unless the obligating document reflects an addition or change to
an obligation already recorded in the current year. The first three digits of the document number and the fiscal
year digit of the accounting code must correspond with the fiscal year of the commitment. The nature of the
obligation determines the accounting code assigned. For further information on the assignment of document
numbers refer to Section 2210.1(a).
A pending file is used by the Contracting Specialist for all contracts, and he/she requests pre-
assignment of the vendor and document numbers for the pending file. The documents are then returned to the
Contracting Specialist instead of being processed; the obligation will be recorded when the contract is
finalized and the documents routed back to the Finance Branch.
3. Preparation of Fiscal Activity Document Input Form.
The fiscal activity document input form to record obligations is routinely prepared by the Finance
Officer and Voucher Examiner from original obligating documents and processed in batch form on the
computer. To complete the form, the vendor and document numbers are entered in the spaces provided. The
current date (the date the entry is prepared, not the date the batch is entered) and the batch number from the
batch log are entered. The account numbers used to increase an obligation are:
Debit 4610
Credit 4800
The detail entry to increase obligation is option A. The accounting code is entered which corresponds
with the document master information. No payee number or voucher identification is used on an entry to
record only obligation activity (no payment being processed).
To decrease an obligation, the account numbers are reversed, and option B is used.
The obligation is entered on the sheet in the front of the fiscal file and the total obligation is
calculated.
A copy of the obligating document is attached to the fiscal activity document input form and will be
filed along with the yellow copy of the input form in the second partition of the fiscal file, after the batch is
processed. The original obligating document is placed in the third partition of the fiscal file.
4. Batching Obligating Entries.
The completed fiscal activity document input forms are batched for processing, organized by the batch
number assigned by the Finance Officer. Entries which increase or decrease obligations receive special
treatment so that they will be included in the financial reports for the month the commitment was made,
altered, or reversed. This is especially important at year end.
Usually the Finance Officer assigns a batch number specifically for these entries near the end of each
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accounting period, informing the Voucher Examiner of the number to be used, and does not prepare final
reports until that batch has been processed. For instructions on batch scheduling and closing out the batch, see
Sections 2210.2 and 2210.3.
5. Continuing Resolution.
A continuing resolution is legislation that allows a Federal agency to continue spending funds when its
regular appropriation bill is not approved in time. Section 2710 "The Budget Process From the Financial
Viewpoint" explains in detail how appropriations are approved by Congress. However, for purposes of
voucher examination and obligation, it is sufficient to understand that continuing resolutions are usually
awarded as a percentage of the prior year's appropriation. Therefore, only a portion of the contracts, purchase
orders, etc. can be obligated; enough to keep the agency running until either the continuing resolution runs out
or the new appropriation is passed. In the case of no-year funds, any carryover can also be used during this
period.
The Executive Director and the Financial Officer discuss the amount of continuing resolution and
priorities in spending, and the volume of the carryover for the new year. Equally important is the review and
entry work done by the Financial Officer after the annual appropriation is received to set up yearly spending
levels in agreement with the approved budget plus any carryover.
6. Quarterly Review of Open Items.
The Open Item Report, prepared at each monthly closing, shows the obligation amount,
liquidation amount and unliquidated obligations (obligation less liquidation) for each document number which
is not fully liquidated (in which obligations do not equal liquidations). The report is based on document
master information and so only to-date information is presented, as the document master does not contain
historic information. It is organized by accounting code with the appropriation portion of the code (first four
digits) separating the document numbers by fiscal year and fund type. See Section 2130.3 for the Descriptive
Chart of Accounting Codes.
The Financial Officer reviews the open items monthly to ensure that obligations which will not be
liquidated are removed from the Office's financial records on a regular and timely basis. This review and the
resulting entry of de-obligations serves to remove restrictions on funds and make them available for other uses.
The report is reviewed for such items as:
- Warranty payments which have been unreasonably delayed. The warranty is an amount of client
housing benefit which is withheld from the home seller or builder for two (2) years to be used to
correct any problems that might arise with the structure. The Relocation Operations Manager is
responsible for ordering the disbursement of these funds, each usually in the amount of $1,000.
- Over-liquidations occurring in any area, shown on the report as negative unliquidated obligations.
First, the processing of the obligations and payments is reviewed to determine if fiscal section error
is the cause of over-liquidation. The Finance Officer should not process payments in excess of
obligations. Entries to correct errors should be made as soon as possible after research is completed,
and the fiscal file recap sheet must also be adjusted to reflect proper levels of obligation and
liquidation.
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- Regular purchase order or contract items which remain unliquidated long after a reasonable time has
passed. While this time period will vary according to the type of obligation, generally an inquiry
should be made on any item remaining on the books two years after the original obligation (this is
determined by fiscal year of the document number. For instance, for document number 0840998,
originating in FY1984, inquiry should be made in FY 1986).
Questionable items are researched and corrected by the Finance Officer. Other problems, such as the
failure to provide contract amendments as promised, should be referred to the individual responsible
for approving the payments, such as the Contracting Officer, the Contracting Specialist ,or the
Relocation Operations Manager. The Finance Officer should follow up on the items referred within a
reasonable time, usually two weeks is appropriate. If a refund is to be requested from a vendor, the
Finance Officer should prepare the request and deal with the vendor.
2630 ACCRUAL BASIS.
Under the accrual accounting concept, an expenditure exists at the time goods and services are received,
regardless of when actual payment is made or the resources purchased are used. While the Agency's
computerized accounting system has been designed to track all obligations item by item, it does not have the
capability to record accounts payable and receivable except as total amounts calculated by the Finance
Officer. ONHIR is therefore said to operate on a modified accrual basis.
Because the Office’s computerized accounting system is an encumbrance system, accruals are not as
important to total reporting as they would be in a for-profit organization.
Accounts receivable and payable are reported to the Office of Management and Budget on the GTAS
report. At the end of the fiscal year, the Finance Officer reviews accounting records manually to determine
the items which are included in the category of receivables/payables for reporting purposes.
1. Payroll Accruals.
Because payroll costs are obligated one payroll at a time, rather than for the full fiscal year as are most other
large dollar items, the payroll accrual is important to the proper reporting of the Office's financial standing.
The entry to obligate the accrued payroll (salaries and benefits earned by ONHIR employees in the current
period but not yet paid) is made as a part of the regular monthly payroll batch. See Section 2400 "Payroll" for
general information on payroll documents and their treatment.
At year end the IBC provides a print out of the exact amounts to be accrued for the year end. At the end of
the other months, the Finance Officer calculates the accrual using the most recent payroll paid, the total of
which is located on the Payroll Recap worksheet for the pay period. Each pay period is made up of ten
working days, so the total accrual is calculated on the percentage of unpaid working days in the month times
the amount paid for the last payroll. For example, if there are five unpaid days at the end of the month, 5/10
days in the prior pay period = 50% of that pay period to be accrued. So if the prior pay period cost a total of
$72,750.00, 50% or $36,375.00 will be accrued in total. Using the entries already prepared on the fiscal
activity document input sheet for the month's payroll, these calculations are summarized and booked to a
representative salary and benefit object class for each organization and the total is noted on the batch for easy
reference. At the same time, the prior accrual is reversed (de-obligated). The net effect of the accrual entries
is reflected in the journal entries for a total obligation or de-obligation.
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2. Accounts Payable.
Accounts Payable are those amounts owed on the basis of evidence of receipt of goods and services. The only
item included in this category is accrued payroll, as mentioned in the prior section. At year end, there will also
be an item for Accrued Annual Leave included in the financial statements. This is not an entry that is booked
into the general ledger as future funds will be used to disburse the item.
3. Accounts Receivable.
There are normally no accounts receivable entered on the books of the Office. At the end of the year, the
Finance Officer will review all files and see if there should be any items set up as accounts receivable. If so,
there will be an entry to reverse the items in the new fiscal year.
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SECTION 2000 ACCOUNTING PROCEDURES
SUBJECT 2700 Budgeting Cycle - Financial Issues
AUTHORITY
POLICY.
Two events must take place before the Federal Government can spend money on any program or
activity; an authorization and a separate appropriation must be passed by Congress. In general, the budgeting
cycle proceeds as follows:
Early September The OMB budget is submitted to OMB for their review.
November OMB will send a “passback” to the Office which indicates the amount that
the Office will be allowed to request from Congress.
December The President’s Budget will be prepared from the passback amount and
entered into the OMB MAX system on the computer.
February The Congressional Budget will be prepared and sent to both houses of
Congress.
Prior to Oct Congress should pass a budget for ONHIR. If Congress fails to do this, a
Continuing Resolution will be in place until the actual ONHIR budget is
passed.
The ONHIR is involved in the preparation of the President’s Budget through interaction with and
reporting to the Office of Management and Budget, the division of the Executive Office of the President
which assists the President in the discharge of budgetary duties. The following sections will outline the
detailed Office deadlines and reporting requirements as they relate to the accounting function, and the request
and receipt of apportionments and reapportionments and the booking of budgetary activity on the
computerized accounting system.
2710 THE BUDGET PROCESS FROM THE FINANCIAL VIEWPOINT.
The Finance Officer coordinates all budget submissions in cooperation with the Executive Director
and the Examiner, Office of Management and Budget. The Finance Officer prepares a working budget for
discussion with the Executive Director. Once this working budget has been approved by management, the
Finance Officer will prepare the actual budget to be sent to OMB.
Proper maintenance of accounting records is required so accurate information regarding actual
performance is available as needed for budget submission documents.
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1. OMB Budget Submission.
Each July and August the Office of Management and Budget provides the agencies with policy
guidance from the President to be used in upcoming budget preparations. The initial budget request materials
are usually due at OMB in early September. This is the first step in the preparation of the President’s Budget
Proposal which will be submitted to Congress the following January.
OMB reviews the internal proposed budgets from each agency and holds hearings and discussions.
The Director of OMB reviews the recommended budgets compiled by the Budget Examiners and
Representatives and makes decisions on budget requests. This information is “passed back” to the agencies.
After appeal (if any), the final numbers are printed and transmitted to the Congress in the President’s Budget.
The President’s Budget Proposal represents spending priorities and economic programs created
through a lengthy process of consideration of White House policy, OMB recommendations and agency
needs. This proposal is the starting point for debate by Congress and is reviewed by all congressional
committees, although most of the decisions made in the compilation of the President’s budget are not
reviewed by Congress because they are too insignificant or routine.
The Executive Budget process changes from year to year and so an OMB Circular A-11, “Preparation
and Submission of Budget Estimates” is updated and reissued each year. This circular contains detailed
instructions on the preparation of annual budgets and is kept on file and followed by the Finance Officer in
the preparation of the yearly budget.
Once the President’s Budget is submitted to OMB via the MAX system on the internet, the “galleys”
(reprints of the prior year’s Appendix to the President’s Budget) are sent to the Finance Officer who reviews
them and returns them to OMB. From there they are routed for final printing. A multi-year system is used
to forecast the current budget year and the following years, and actual financial information is also presented.
Designations of budget year titles are as follows
PY-1 Fiscal Year preceding the past year
PY The last completed fiscal year
CY Fiscal year immediately preceding the BY
BY Fiscal year for which budgets are submitted
BY_1,2,3,4, Fiscal Years following the budget year.
The documents usually required from the ONHIR are:
-Narrative Statements of Program and Performance
-The Appropriation Language Sheet
-The Program and Financial Schedule
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-Schedule of Object Classifications
-Personnel Summary
The data presented on the Program and Financial Schedule and the Schedule of Object Classification
is provided by the Finance Officer from data in the Allotment Status Summary, the Summary Trial Balance,
Treasury and OMB Reports, and a combination of actual and estimated CY figures.
The Program and Financial Schedule shows the actual results of PY, estimated CY, and Projections
for BY. The Program by Activities section shows obligations by specific activities or projects. The
Financial section shows dollar resources available to satisfy obligations by subtracting the unobligated
balance available at the beginning of the year from total obligations and adding the unobligated balance
available at the end of the year to compute Budget Authority. The difference between obligations and
outlays is shown in the Relation of Obligations to Outlays section.
The Schedule of Object Classification is used to report obligations according to the nature of the
good and services procured. Standard titles as outlined in the A-11 are used.
PY information is to be reported in conformance with related reports to Treasury and OMB.
Therefore, the FACTS II statement for the year-end, and the Account Balance statement are the sources for
this information. The FACTS II current year statement is the starting point for CY information, adjusted by
estimates for activity in the remainder of the year. Information from the current year Allotment Status
summary is used as follows:
a. Personnel Compensation.
To project obligations for the remainder of the fiscal year, salaries drawn by current employees
are taken from the Organization Staffing Report available from NBC and maintained by the Personnel
Officer.
b. Travel and Transportation.
Further obligations in object Class 211 and 221 are estimated on an historical basis by computing
obligations per month to date and projecting this monthly amount for the remainder of the fiscal year.
c. Rents, Utilities, and Communications.
These full-year obligations are reviewed for validity and increased or decreased as necessary.
d. Printing and Supplies.
Full-year obligations in these categories are estimated as for Travel and Transportation.
e. Other Services.
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APPROVED
The Finance Officer’s role is to prepare detailed worksheets of material obligations and liquidations
which show the percent accomplished through month billed and paid. This is done as within the working
budget.
f. Equipment Acquisition.
Any additional equipment acquisitions are estimated.
g. Relocation Costs.
The Relocation Operations Manager will provide an estimate of relocation contracts to be
signed before September 30.
h. Incentive Bonuses.
The Finance Officer estimates these bonuses based on prior years.
I. Discretionary Funds.
The Finance Officer estimates these items after discussions with the Contracting Officer
and the Relocation Operations Manager.
BY figures are then estimated by the Finance Officer.
2. Congressional Budget Submission.
Congress is required by law to pass a budget resolution by April 15 of each year. This
th
resolution is a public statement of Congressional spending priorities and economic policy, and is the
Congressional alternative to the President’s Budget Proposal. It provides spending guidance to the
committees and consists of recommended levels for total budget authority, total outlays, total revenues, total
loans, level of debt and deficit or surplus by functional areas of the Government (Department of Defense,
Department of Agriculture, etc.). The resolution makes no line-by-line or program decisions, details are left
to the discretion of the Budget Committees.
3. Authorizing Legislation.
An authorization must be passed before the Federal Government can spend money on an activity,
the authorization is the legislation that establishes the purpose and guidelines for an activity although it does
not provide the actual dollars for the program or enable an agency to commit funds; that is accomplished by
appropriation.
The authorizing legislation usually does describe an activity in financial terms, setting an upper limit
on what can be appropriated.
4. Appropriation.
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APPROVED
The Appropriation enables an agency to make commitments of funds and spend money, but cannot
be made unless the authorizing legislation is passed, and it cannot exceed the amount of authorization. The
annual appropriations bill is passed by Congress and signed into law by the President.
Sequestration and rescissions are methods of withholding or deferring funds according to Presidential
order.
Supplemental appropriations are additional funds enacted when the need is too urgent to be
postponed until the next regular appropriation is considered. In years past, salary cost-of-living increased
were funded by supplemental appropriation.
5. Agency Appropriation.
When a budget has been passed by Congress, the Agency's appropriation will show up as a deposit
to that month's Treasury Account Statement. The appropriations are booked to the computerized
accounting system by the Finance Officer when this happens.
6. Apportionment.
The apportionment is made by OMB after the authorization and appropriation are enacted. Through
apportionment the available budgetary resources are applied to specific time periods, or as in the case with
ONHIR funding, specific functional categories. This is accomplished on an SF-132 “Apportionment
Schedule” as detailed in Section 2720.
7. Allotment.
Allotments, which are booked by the Finance Officer onto the computerized accounting system by
summary accounting codes, are the in-house application of the apportionment. The numbers for this
allotment come from the final approved Congressional Budget.
These allotments are used extensively to compare actual with budgeted results, and appear on the
Allotment Status and Summary Reports and the Financial Statement prepared for management each month.
The Finance Officer examines these statements and prepares allotment entries to deal with any underages
by transferring funds from another category that has excess amounts.
8. Obligation.
Obligations are spending commitments made by the Federal Government that will require outlays
either immediately or at some point in the future. Generally obligations can be made only for the funds
which have been appropriated to the agency. An agency’s obligational authority is the amount of funds
available in a given fiscal year, including new appropriations, authority remaining unobligated from prior
years, and any amounts authorized to be credited, such as transfers.
For more detailed information on the handling of obligations see section 1620 “Obligations and
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APPROVED
Obligating Documents.”
9. Outlay.
Outlays are the actual dollars that have been (or are projected to be) spent on Government activities
as a result of budget authority and apportionment. The budgeted level of outlays for a fiscal year is a
combination of the budget authority granted this year and projected to be spent plus the funds granted in
previous years less any offsetting collections. The ONHIR books outlays as they are requested of Treasury
onto the computerized accounting system. The Finance Officer supervises this activity. For more
information on the processing of outlays, see Section 2200, “Disbursing.”
Note: Sections MM#2720, “Apportionment Schedule SF132;” MM#2730, “Supplemental
Appropriations;” and MM#2740, “Preparation of the Allotment Detail Input Document,” and the
attendant forms were eliminated by the 2010 revision of these procedures.
MM#2700 ISSUED 09/01/89; REVISED
6 AND REISSUED 03/01/93;
July 3, 2010.
MANAGEMENT SECTION 2000 ACCOUNTING PROCEDURES
MANUAL SUBJECT 2800 Other Financial Matters
__/s/CJB___
APPROVED
SECTION 2000 ACCOUNTING PROCEDURES
SUBJECT 2800 Other Financial matters
POLICY. This chapter discusses the advances of cash to employees, the IPAC system, and the
management of cash and other assets.
2810 CASH ADVANCE - EMPLOYEES
1. Employees - Educational Advances.
Educational advances are provided for ONHIR staff members who are approved for college or
university attendance. The Finance Branch keeps track of these payments to employees for education and
requires a grade report with a passing grade to close the employee file. If an employee does not pass the
class, or drops the class, that employee must reimburse the Office for the funds spent. Educational advances
are a privilege, not a right, and may be recalled by the Executive Director at any time.
a. Approval for Disbursement.
In order to initiate the processing of an educational advance, the employee must submit a completed
college or university attendance package to the Human Resources Officer. This package must include:
-A completed in-house “Training Request Form” which lists the courses for which
approval is requested, justification for training, and noting that an advance will be
requested. This form must be approved by the employee’s supervisor, the
Executive Director and the Human Resources Officer.
-An SF-182 “Request, Authorization, and Agreement and Certification of Training”
which is fully completed, including approving signatures, with the exception of
blocks for the appropriation/fund information, the certification of training
completion (Section F), and the approval of the budget (Section E). (See Section
2610.3 for more information.)
-A completed College Training Course Reimbursement Form.
-A Continued Service Agreement
The Human Resources Officer forwards a copy of the SF-182 and the original advance agreement
are then forwarded to the Finance Officer for preparation of a fiscal activity document input sheet to record
the expenditure for the advance and to request payment.
The Human Resources Officer maintains a file containing the SF-182 and the original in-house
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APPROVED
“Training Request Form.”
b. Repayments and Retirements.
Educational advances can either be retired through application or repaid by cash or check submitted
for deposit to the Finance Officer. For the advance to be applied, it must apply to documented educational
costs associated with approved courses which have been satisfactorily completed by the employee.
The Human Resources Officer requests completion of the evaluation on a copy of the SF-182 by
the employee receiving training and his supervisor within 60 days of the course completion date stated on
the SF-182. If, for any reason, the course has not been satisfactorily completed at this point, the employee
will so indicate on this copy and return it to the Human Resources Officer, who will provide a photocopy
of this form to the Finance Officer for follow-up action. If 90 days past the course completion date pass
without receipt by the Human Resources Officer of the completed copy, a photocopy of the SF-182,
containing a note with pertinent information will be forwarded to the Finance Officer for follow-up action.
If the employee has failed or dropped the course, the Finance Officer will make arrangements for
the employee to repay the funds.
The completed copy of the SF-182 is forwarded by the Human Resources Officer to the employee’s
personnel file. Any tuition or textbook receipts, grade reports, or documents of a similar nature are
forwarded to the Finance Officer for processing. To retire an education advance, the advance holder must
provide the Finance Officer with the proper documentation of costs incurred. This includes:
-Tuition. A copy of the document provided by the institution which shows courses in which
the employee is enrolled, the amount of tuition and fees paid. A canceled check made
payable to the institution by the employee for a substantiated amount is also acceptable.
-Textbooks - Reimbursed textbooks become the property of ONHIR and as such may be
removed from the possession of the employee when deemed appropriate by the Human
Resources Officer. Bookstore receipts or photographs of textbook price tags, when the book
is submitted for retention by the Office, are acceptable. Only books required or
recommended, as stated in the course syllabus are reimbursable.
-Parking- Reasonable and necessary parking fees are also reimbursable when a receipt or
canceled check is submitted for this expense.
Failure to provide adequate cost documentation will not only result in the advance remaining
outstanding, but will endanger the employee’s eligibility for future advances.
The other documentation required for educational advance retirement is the grade report from the
institution demonstrating satisfactory (grade of “D” or better) completion of the course. Transcripts may be
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APPROVED
provided, a the employee’s expense, in lieu of the grade report.
If ordinary requests, verbal and written, do not result in the retirement of educational advances due
ONHIR, payroll deduction may be utilized to collect the amounts due, upon approval of the Executive
Director.
2. Contractor/Grantee Advances.
Advances to contractors and grantees may be provided to meet the cash needs of small organizations
which provide services and products to the Office but are unable to operate on credit alone, or would directly
pass the costs of a line of credit on to the Office.
An advance is usually given at the start of the contract and carried forward until the project is
completed and has been closed. The contractor/grantee must include advance information on the monthly
expenditure statement prepared to accompany billings.
a. Request for Advance and Approval.
Advances are requested in letter form, with details as to how much is required and for what reason.
The Contract Specialist reviews each case and refers legitimate requests to the Contracting Officer for final
approval of the advance. Usually not more than one month’s operating expenses are advanced.
b. Processing of Disbursement.
After the advance has been approved by the Contract Specialist and the Contracting Officer, they
initial their approval on the letter which requested the advance and the letter is forwarded to the Finance
Officer for processing. The Finance Officer reviews the amount requested in light of the budget for the
contract/grant and if appropriate, prepares the entry to disburse the funds, attaching the letter so it will be
routed to the fiscal file. Potential problems such as failure of the contractor or grantee to promptly retire
previous advances or to follow budget guidelines are discussed with the Contract Specialist.
The entry to disburse contractor/grantee advances is prepared as any other request for disbursement
(see Section 2200) except that notes are made both on the obligation and payment record recap sheet and in
the comment section of the fiscal file indicating that an advance was made. These notes serve to remind the
Finance Officer of the advance when the contract/grant is closed out later.
c. Retirements.
Contractor/Grantee advances can either be repaid by check submitted for deposit to the Finance
Officer, or retired through application of the advance to operating costs which are approved for payment by
the Contract Specialist. Frequently a combination of these approaches is used whereby the advance is
applied against the final month’s expenditures with any balance repaid to the ONHIR.
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APPROVED
The Contract Specialist and the Finance Officer must be alert to the status of these advances when
the final billing period arrives to ensure that overpayment does not occur due to failure to apply the advance.
d. Final Settlement.
Final settlement is the process of determining that the work ordered in the contract/grant has been
properly completed and that all payments have been made. Usually this process does not include the direct
participation of the fiscal section, except for the physical closure of the fiscal file, unless an advance has been
made.
To close out an advance, the Finance Officer reviews the fiscal file, where the Officer finds notes
to indicate that an advance was made. The obligation and payment history is reviewed to ensure that all
reported figures are accurate. Final month’s expenditures under the contract/grant are applied against the
advance after the regular approval of the Contract Specialist. A balance due the contractor/grantee is
processed as any disbursement, and any remaining unliquidated obligation is reversed. If a balance is due
the ONHIR, a letter requesting payment is prepared by the Contract Specialist, with a copy to the fiscal file.
The contract/grant is not closed out until repayment has been received.
The Finance Officer reviews open items on a monthly basis and refers to any unliquidated
contract/grant items to the attention of the Contract Specialist. Contract/grant fiscal files are never marked
complete until final settlement has taken place, even if they are fully liquidated.
MM#2800 ISSUED 09/01/89; REVISED/
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MANUAL SUBJECT 2800 Other Financial Matters
__/s/CJB___
APPROVED
Note: Sections MM#2820, “OPAC System;” MM#2830, “Cash Management;” MM##2840, “New
Lands Revenues and Disbursements,” and the attendant forms, were eliminated by the 2010 revision
of these procedures.
MM#2800 ISSUED 09/01/89; REVISED/
5 REISSUED 03/01/93;
July 3, 2010.
MANAGEMENT SECTION 3000 HUMAN RESOURCES BRANCH
MANUAL Subject 3000 Introduction __/s/CJB___
APPROVED
SECTION 3000 HUMAN RESOURCES BRANCH
SUBJECT 3000 Introduction
AUTHORITY
POLICY
1. Purpose
This section of the Management Manual has been developed to provide Human Resources
policy guidance and regulations for the employees of the Office Navajo and Hopi Indian Relocation. Public
Law 93-531, which established the Navajo and Hopi Indian Relocation Commission, now the Office of
Navajo and Hopi Indian Relocation (the Office), also authorized the ONHIR to hire staff to achieve the
purposes of the act.
2. Scope
The content of the Human Resources system is governed by the Office’s status as an of
independent entity within the Executive Branch of the Federal Government. Public Law 99-190, also
authorizes the competitive appointment of staff in the civil service with regard to sections of the U.S.Code
relating to classification and general pay rates. The Office has utilized this authority to develop a
classification and pay system in accordance with 5 CFR §s 511 and 530 which are applicable to civil service.
3. Applicability
The regulations contained in this section apply to all employees, both managers and line
employees. Any exceptions are noted in the coverage paragraph of each chapter.
4. Authority
Human Resources policy is approved by the Commissioner. The provisions of this section
are effective as of the date printed in the lower right hand corner of each page and supersedes policy
directives issued in the form of Management Memoranda.
At the time of this revision of Section 3000 of the Human Resources Branch procedures of
the ONHIR Management Manual, the Office of Commissioner position is vacant. The previous
Commissioner has delegated full operational authority to the ONHIR Executive Director for the Relocation
Program via an official directive dated April 8, 1994.
The Executive Director issues interpretive guidance and may issue interim policy.
5. Distribution and Use of the Manual
This section is available for reference purposes to all ONHIR Offices and employees on the
ONHIR website. Additions and changes will be made to the electronic version of the Management Manual
MM#3000 Issued 11/20/89; Revised
and Reissued 7/6/11.
1
MANAGEMENT SECTION 3000 HUMAN RESOURCES BRANCH
MANUAL Subject 3000 Introduction __/s/CJB___
APPROVED
and posted on the ONHIR website.
Forms developed for internal Office use in connection with these procedures are located at
the end of each chapter.
Any questions about the contents of this manual, and any suggestions for additions, changes,
typing corrections and so forth, should be submitted to the Office’s Human Resource Officer.
MM#3000 Issued 11/20/89; Revised
and Reissued 7/6/11.
2
MANAGEMENT SECTION 3000 HUMAN RESOURCES BRANCH
MANUAL Subject 3312 Position Management __/s/CJB__
APPROVED
SECTION 3000 HUMAN RESOURCES BRANCH
SUBJECT 3312 Position Management
AUTHORITY P.L. 93-531, OMB Circular #A-64
POLICY
It is the policy of the Office of Navajo and Hopi Indian Relocation that work will be
organized and assigned in a manner that will make the optimum use of its manpower resources. The Office
of Navajo and Hopi Indian Relocation will ensure strict observance of employment ceilings and will
rigorously pursue a position management program that provides a proper balance among mission needs,
efficiency of operations, and effective employee utilization. The Office’s position management program will
support its Affirmative Action and equal opportunity programs.
These procedures document this Office’s position management plan and assign
responsibilities for the structuring of positions, functions, and units in a manner that optimizes efficiency,
productivity, and organizational effectiveness.
The primary objectives of position management in this Office are to:
Establish an organizational structure that will facilitate mission accomplishment.
Identify, prevent, and eliminate such common faults as unnecessary organizational
fragmentation, excessive organizational levels, improper job design, outmoded work
methods, and inappropriate spans of control.
Evaluate the need for positions and whether their grades are fully supportable;
whether their duties can be eliminated, assigned to other positions, or modified to
permit performance at a lower grade.
Establish realistic ratios between (1) managerial, supervisory and staff positions
and, (2) non-supervisory line positions.
Properly classify positions in accordance with policies and procedures approved by
the Office pursuant to authorities vested by 5 CFR §511.
Establish well-defined career ladders for development and progression to the extent
feasible concerning the temporary nature of the Office.
Make maximum utilization of employee skills, design positions to promote job
interest, and improve morale and motivation.
Perform work, or contract it out, based on quantifiable concerns for missions, costs,
benefits, and the Office of Management and Budget policy.
MM#3312 Issued 11/20/89; Revised
and Reissued 7/6/11.
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MANAGEMENT SECTION 3000 HUMAN RESOURCES BRANCH
MANUAL Subject 3312 Position Management __/s/CJB__
APPROVED
1. Actions and Responsibilities
a. Commissioner
The Commissioner has final accountability for the position management program for the
Office. [Note: See §3000, pg. l, “Authority.”]
b. Executive Director The Executive Director will:
Exercise oversight of the position management program, delegating responsibility for specific
actions required for effective position management to the lowest possible managerial level, consistent with
good management practices.
Maintain compatibility with and support Affirmative Action and equal opportunity programs
while administering the position management program.
Review for the Commissioner’s approval proposed internal reorganizations or position
structure changes from the standpoint of the feasibility of work design, occupational distribution, grade
distribution, manpower requirements, and costs to assure that good position management principles are
applied.
Approve the creation, abolishment and restructuring of Office positions.
Assure annual assessment of the position management program and conduct regular overall
position management assessments as described in No. 2 below.
c. Managers and Supervisors The Managers and Supervisors will:
Review a vacant position, before asking to fill a vacancy, to determine whether the duties
of the position are fully supportable, can be eliminated, assigned to other positions, or modified to permit
performance at a lower grade. Analyze full-time vacant positions into part-time positions.
Review the organizational work pattern thoroughly before proposing to upgrade a position
or in order to ascertain the necessity for assigning responsibilities as high as the grade being proposed.
Prepare and revise position descriptions timely to accurately reflect the responsibilities and
duties required.
d. Human Resources Officer The Human Resources Officer will:
Upon delegation by the Executive Director, develop and administer the position management
program, coordinate necessary staff work, ensure that managers and supervisors receive necessary assistance,
review position management aspects of proposed personnel actions, bring unsound practices to the attention
of the Executive Director or Commissioner as appropriate, and recommend corrective action.
MM#3312 Issued 11/20/89; Revised
and Reissued 7/6/11.
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MANAGEMENT SECTION 3000 HUMAN RESOURCES BRANCH
MANUAL Subject 3312 Position Management __/s/CJB__
APPROVED
In conjunction with the Finance Officer, develop an internal Office position authorization and
employment control procedure to assure that (a) approved ceilings are not exceeded, (b) employment
requirements are continuously reviewed, ( c) positions authorized are limited to those that can be financed
within available funds, and (d) employment is maintained throughout the year at levels that will preclude the
need for reductions-in-force or other disruptive or uneconomical actions to remain within the approved
ceiling.
The internal procedure must provide complete, accurate, and timely information on work-year
requirements and utilization as well as on numbers of employees, to meet both Office management needs and
the central reporting requirements of OPM and OMB. Utilization of ceiling full-time equivalent work-years
will be reported electronically through the SF 113-A and 113-G reports.
Provide internal staff capacity or arrange for consultation and assistance from other sources
when necessary to assure proper classification of positions and good position management practices
throughout this Office.
Facilitate, through the procurement process, external contracts with agencies and individuals
to perform specialized and non-recurring services when such contracts represent the most efficient means of
achieving Office objectives.
2. Position Management Evaluation
At least annually during the process of budget formulation the Executive Director will
formally review the position management program with responsible officials, identify weaknesses, problems,
etc., and give direction for change which will correct same.
MM#3312 Issued 11/20/89; Revised
and Reissued 7/6/11.
3
MANAGEMENT SECTION 3000 HUMAN RESOURCES BRANCH
MANUAL Subject 3335 Promotion
SECTION 3000 HUMAN RESOURCES BRANCH
SUBJECT 3335 PROMOTION
THE OFFICE OF NAVAJO AND HOPI INDIAN RELOCATION
MERIT PROMOTION PLAN
is attached hereto and by this reference made a part hereof.
MM#3335
1
1
OFFICE OF NAVAJO AND HOPI INDIAN RELOCATION
MERIT PROMOTION PLAN
Purpose. This Plan establishes the procedures and requirements for a systematic means
of recruitment and selection for promotion according to merit.
Scope. This Plan applies only to positions in the competitive service and does not apply
to positions in the excepted service, including attorney positions, or to positions within
the Senior Executive Service.
References. This Plan implements the provisions of Chapter 33 of Title 5 of the United
States Code and Parts 330 and 335 of Title 5 of the Code of Federal Regulations.
Policy. ONHIR will recruit, select, and place employees on the basis of merit without
regard to race, color, gender, religion, national origin, age, disability, sexual orientation,
marital status, or political or labor organization affiliation, in accordance with federal law
and OPM delegated regulations.
Responsibilities.
A. Executive Director – Oversees the Human Resources Officer in administering the
Merit Promotion Plan, reviewing individual promotion actions for conformance
with merit principles and Plan procedures.
B. Human Resources Officer – Responsible for day-to-day administration of the
merit selection process. Ensures that technical guidance and assistance are
provided to managers and employees regarding the Plan. Performs other specific
duties as outlined in this Plan and other duties required to ensure fair and
equitable administration of the merit selection process. Evaluates the
effectiveness of the Plan
C. Supervisors and Managers – Give fair consideration to all candidates referred.
Make selections following merit principles. Preserve the confidentiality of
candidates’ records and qualifications. Participate with Human Resources Office
in developing job analysis and evaluation methods. Provide Human Resources
Office with advance information on projected staffing requirements, anticipated
losses, changes in duties, or other information that could lead to personnel actions.
D. Employees – Apply for any announced vacancy for which they are interested and
qualified by submitting application materials, following instructions specified in
the vacancy announcement. Participate in interviews or other processes used to
evaluate applicants’ knowledge, skills, and abilities.
Actions Covered By This Plan.
A. Temporary promotion for more than 120 days in a 12 month period to a position
at a higher pay grade. A temporary promotion may be made permanent without
further competition provided the temporary promotion was originally made under
2
competitive procedures and the fact that it might lead to a permanent promotion
was made known to all potential applicants. A promotion means the change of an
employee to a position with a higher pay grade.
B. Details for more than 120 days in a 12 month period to a position at a higher pay
grade or with higher promotion potential. A detail is a temporary assignment
without change in salary to a different position.
C. Selection for training which is part of a promotion program, or required before an
employee may be considered for a promotion.
D. Reassignment or demotion to a position with greater promotion potential than a
position previously held on a permanent basis in the competitive service. A
reassignment means the change of an employee from one position to another
position in the same agency without promotion or demotion. A demotion is the
change of an employee to another position at a lower pay grade.
E. Reinstatement to a permanent or temporary position at a pay grade with greater
promotion potential than a position previously held on a permanent basis in the
competitive service. Reinstatement means the reemployment of a person
formerly employed in the competitive service who had competitive status when
he or she was separated from the service.
F. Transfer to a position at a higher pay grade or with greater promotion potential
than a position previously held on a permanent basis in the competitive service.
A transfer means a change of an employee, without a break in service of one full
workday from a position in one agency to a position in another agency.
Exceptions To The Plan. This Plan does not apply to the following actions:
A. Promotion of an incumbent when a position is reclassified to a higher grade when:
the reclassification is the result of either the issuance of a new classification
standard or the correction of a classification error; there are no significant changes
in duties and responsibilities; and the incumbent meets the legal and qualification
requirements of the higher grade.
B. Position change permitted by reduction-in-force regulations.
C. Promotion without current competition of an employee within a career ladder
when: the original selection was made in accordance with competitive promotion
procedures; the original selection was intended to prepare the employee for the
position being filled; and the position’s promotion potential was documented.
D. Promotion of an incumbent when a position is reclassified to a higher grade due to
assignment of additional duties and responsibilities when: the incumbent assumed
the higher level duties and responsibilities over a reasonable period of time; the
incumbent performs the basic functions of the position at the former grade level
as well as the higher level duties; and the employee has clearly demonstrated the
ability to perform the duties at the higher level and satisfactorily performed the
additional duties over a reasonable period of time.
E. Temporary promotion of 120 days or less (all service during the preceding 12
months under non-competitive temporary promotion or detail to a higher grade
counts toward the 120 days).
F. Selection as a result of priority consideration (e.g., Reemployment Priority List).
3
G. Re-promotion, reinstatement, or transfer of an employee to a grade previously
held on a permanent appointment in the competitive service. A prior change to
lower grade must have been for other that deficiencies in performance or conduct
reasons.
H. Appointment, conversion, selection, or promotion made under special authorities
or Office of Personnel Management (OPM) approved programs; e.g., VRA
appointments, selections from re-employment priority lists, appointments of
disabled individuals, etc.
I. Promotion, reassignment, demotion, transfer, reinstatement or detail to a position
having no greater promotion potential than the employee’s current position.
Posting Of Vacancy Announcements.
A. After approval by the Executive Director, the Human Resources Office will
prepare and distribute a vacancy announcement that meets federal law and OPM
requirements. A copy of the announcement will be posted on ONHIR bulletin
boards and e-mailed to internal staff. If the vacancy is open to applicants outside
the ONHIR workforce, the vacancy announcement will be posted on ONHIR’s
web site and on OPM’s Federal Jobs Information website at www.usajobs.gov. In
this instance, OPM will be the responsible party for collecting applications and
performing delegated examining.
B. Vacancies that are open to status applicants must be open a minimum of 5
business days. Applications for vacancy announcements must be postmarked by
the closing date of the announcement.
C. Supervisors are responsible for ensuring that employees, who may be interested in
applying for a vacancy but are absent during the open period, are notified of the
vacancy.
Basic Eligibility Review Of Applicants.
A. The Human Resources Office will determine whether applicants meet citizenship
and the general competency requirements. Applicants who do not meet the
requirements will be removed from further consideration. Applicants who meet
the requirements will be reviewed for priority consideration and selection and
forwarded to the rating panel (see next section, except as provided in paragraph
B).
B. If there are five or fewer status candidates who meet the general competency
requirements, all of them may be referred on a qualified list to the selecting
official for consideration without being rated.
C. The criteria used to rate candidates, when necessary, will be based on a thorough
job analysis by subject matter experts resulting in identification of job-related
ranking factors. The ranking factors are documented and must provide the basis
for considering and comparing candidates based on the knowledge, skills, and
abilities needed to be successful in the position. Level definitions are assigned for
each ranking factor identified and the resulting crediting plan becomes a means to
evaluate the candidate’s training, education, and experience.
4
Rating By A Panel.
A. The panel will consist of at least three members. The selecting official may not
be a participating member of the panel. Each rater should be familiar with the
requirements of the position to be filled and be of a grade equal to or above that
of the position being rated. Each panel will have a representative from the
Human Resources Office as a facilitator to ensure compliance with procedural
requirements and merit principles. The Executive Director will reserve the right
to make the final decision on panel membership.
B. Each panel member will review each application and use the rating guide
provided by the Human Resources Office to rate each applicant. The panel will
use an Applicant Rating Sheet to document the ratings for each applicant and
provide the completed forms to the Human Resources Office.
Best Qualified Lists.
A. After the panel has completed the evaluation of all candidates, the Human
Resources Office will calculate the rating points based on the level assigned to
each rating factor.
B. A list of the best qualified will be established based on the final rating points and
submitted to the selecting official in alphabetical order. Normally no less than
three and no more than ten candidates may be certified to the selecting official
for each vacancy.
C. If the applicants were not rated, as permitted by this Plan, the applicants will be
listed in alphabetical order.
Interviews and Selection.
A. The Human Resources Office will advise the selecting official of any priority
selection considerations. If there are none, any of the listed applicants may be
selected. If one applicant is interviewed all applicants for promotion must be
interviewed. Interviews should consist of questions that are designed to elicit
information regarding the competencies of the position and to clarify any
questions about the application. The same questions should be asked of each
applicant being interviewed. Due weight should be given to performance
appraisals and incentive awards in the process.
B. A selecting official has the right to select or not select from among a group of best
qualified candidates. Management also has the right to select from any other
appropriate source, such as reemployment priority list, reinstatement,
reassignment, transfer, disabled, or VRA eligibles or those within reach on an
appropriate certificate of eligibles. The selecting official may return the best
qualified list of candidates without selection if he or she decides not to fill the
vacancy or to alter the requirements of the position.
5
C. The selecting official is required to make appropriate reference checks which
should consist of questions posed to former supervisors that pertain to the
candidate’s work performance and conduct. The selecting official will inform
the Human Resources Officer and Executive Director of the selection, with the
Executive Director making final approval. The Human Resources Officer will
then make the formal position offer.
D. After the formal offer has been accepted, the Human Resources Office will notify
all applicants in writing of results of the competition.
Disclosure of Information.
A. The following information is releasable to applicants; individual qualification
determinations, information regarding rating/ranking that doesn’t compromise the
privacy of other applicants, and any information that pertains to their specific
application or status.
B. The following information is NOT releasable to applicants; job analysis, crediting
plans, rating panel membership, and all competency-based information.
Recordkeeping. Documentation supporting selection actions will be maintained in
accordance with federal law and OPM guidance. Records created and maintained in
connection with this guideline are part of the OPM government-wide systems of records.
Resolution of Employee Complaints.
A. Every effort will be made to be responsive to employee inquiries concerning the
Merit Promotion Plan. Resolution of complaints by informal discussions between
an employee and selecting official is encouraged. While the procedures used to
identify and rank qualified candidates may be proper subjects for complaints
under the ONHIR Grievance Procedure, non-selection from among a group of
properly ranked and certified candidates is not a basis for such a complaint.
B. All applicants have the right to contact an Equal Employment Opportunity
counselor if they believe they were not selected because of their race, color, sex,
age, nationality, religion, genetic information or disability. All applicants have
the right to file a complaint with the Office of Special Counsel if they believe that
they were not selected because of their marital status, political and labor
organization affiliation, status as a parent, or sexual orientation.
MANAGEMENT SECTION 3000 HUMAN RESOURCES BRANCH
MANUAL Subject 3410 Training ___/s/CJB__
APPROVED
SECTION 3000 HUMAN RESOURCES BRANCH
SUBJECT 3410 Training
AUTHORITY 5 CFR Part 410
INTRODUCTION
This Chapter of the Human Resources Branch Procedures of the Management Manual has
been adopted to implement the provisions of 5 CFR Part 410. This chapter contains the procedures
established by the ONHIR for the administration of the internal Office training program. For additional
information about regulations applicable to federal agencies in general, please consult 5 CFR Part 410.
POLICY
Consistent with federal law it is the policy of the Office of Navajo and Hopi Indian
Relocation to support training for employees in the performance of currently assigned duties and the
development of skills, knowledge and abilities which will best qualify employees for the performance of
official duties which they could reasonably be expected to assume in the near future.
The Office adopts the concept of training and professional enhancement as an effective
means of stimulating efficient management and operation of the Office. In addition, training and
professional enhancement will prepare Office staff to seek employment opportunities elsewhere in the federal
community.
Training opportunities shall be available to all employees without regard to race, color, age
religion, sex, national origin, physical or mental disability, or genetic information. (Refer to ONHIR Training
Policy at the end of this Chapter.)
Responsibilities
1. Executive Director The Executive Director is responsible for establishing an
employee development and training program as an integral part of the Office’s Human Resources
management program. Specific duties required to carry out the program shall be delegated to the most
appropriate level.
2. The Supervisor The immediate Supervisor is the first level of review for any
training requested by the employee. The immediate supervisor is responsible for:
a. Assisting the employee in analyzing the knowledge, skills and abilities required
to perform the duties of his or her position and those areas in which the employee’s performance can be
improved through training.
b. Allowing the employee reasonable time in duty status to attend appropriate courses
or to work on training materials in the Office, consistent with the work load.
MM#3410 Revised and Reissued 9/18/92;
7/6/11.
1
MANAGEMENT SECTION 3000 HUMAN RESOURCES BRANCH
MANUAL Subject 3410 Training ___/s/CJB__
APPROVED
c. Evaluating changes in employee performance following the successful completion
of training.
3. The Employee The employee is responsible for identifying his or her career goals
and education/training objectives. Within the context of the ONHIR training program the employee is
responsible for:
a. Discussing areas of performance strength and weakness and training needs with the
immediate supervisor.
b. Keeping informed of changes within their field of technical or managerial
competence which may require formal training.
c. Identifying suitable training sources, identifying the costs and other requirements
for participating in training and making timely arrangements to participate in training.
d. Giving their best effort to successful completion of training for which they are
selected. The employee shall be expected to complete course assignments and related course activities on
their own time to the maximum extent possible to avoid the appearance of abuse of privilege of training and
educational leave.
e. Applying knowledge and skills acquired through agency-sponsored training to their
job performance.
4. The Training Officer The Training Officer will review each request for training
and prior to approving any request will:
a. Verify the training is appropriate for the employee, considering the employee’s
current and future job duties; course content, level of difficulty or complexity of the subject matter.
b. Analyze course content and explore alternative sources, dates, locations, for cost
comparability, assuring the most economical and effective training is obtained.
c. Assist the employee and supervisor to analyze the employee’s current skills in
relation to job duties and recommend training to enhance or improve skills.
d. Recommend on-site training for groups of employees when such training is indicated
due to mission change, new work processes, or legislation affecting the Office.
e. Present on-site training for employees in a variety of human resources management
areas.
f. Consult with the Executive Director to assure the annual budget allocates an
adequate portion (up to 1%) of salary costs for employee training.
MM#3410 Revised and Reissued 9/18/92;
7/6/11.
2
MANAGEMENT SECTION 3000 HUMAN RESOURCES BRANCH
MANUAL Subject 3410 Training ___/s/CJB__
APPROVED
5. The Human Resources Office The Human Resources Office is the point of contact for
training inquiries. The Human Resources staff will:
a. Receive, review and disseminate information about federal and other training
courses and assist the employee in finding an appropriate source of training.
b. Provide offices with copies of forms referenced by these procedures.
c. Maintain complete and accurate training files on employees.
d. Submit a Monthly Training Report electronically as required by the Office of
Personnel Management.
PROCEDURES
3410 General Requirements
1. Definition of Training The term “training” encompasses the full range of employee
development opportunities generally understood by this term, including: government courses, courses
available from private organizations, college courses, seminars, conferences, technical or vocational training
courses, on-the-job training, correspondence courses, etc.
2. Amount of Training Because training needs are unique to the individual and
training courses vary greatly in length and type of schedule it is not appropriate to quantify the number of
hours or number of courses which will be approved by the Office. Requests for training will be considered
on a case-by-case basis.
3. Employees Eligible for Training Permanent full-time and part-time employees,
temporary employees, and federal employees detailed from other agencies (with the concurrence of their
employer agency) shall be eligible for ONHIR sponsored training.
4. Training Positions A position designated as a “training position” with specific
promotional opportunities will be fully described as such in the position description. Such positions will be
advertised for competitive selection.
5. Release Time College courses and other courses which are repetitive over a period
of time may require release time from work for class attendance. The Office may authorize a change in the
employee’s duty hours, or may require release time from work, in order to allow an employee to attend
approved classes or to complete class or lab assignments which take place during the employee’s usual tour
of duty. Release time may include reasonable time for travel to and from the class location.
As a general rule, no more than one course requiring release time will be approved
per semester for the employee and release time will not be approved for classes which the employee may take
outside of regular work hours.
MM#3410 Revised and Reissued 9/18/92;
7/6/11.
3
MANAGEMENT SECTION 3000 HUMAN RESOURCES BRANCH
MANUAL Subject 3410 Training ___/s/CJB__
APPROVED
6. Commitment of Time in Return for Training An employee who requests and is
approved for training, must sign the College/Training Course Reimbursement Form, Form MM#3410.4,to
continue government service for a time period equal to three times the length of the training, unless:
a. If there is no expense to the Office other than the employee’s pay while in training
status the continued service agreement requirement may be waived.
b. If the training is of less than 80 hours in duration, the continued service agreement
period may be shortened to one month.
If an employee fails to fulfill the agreement to remain in service, the employee must
repay the training expense beyond his or her salary for the time spent in training on a pro-rata basis, i.e., the
percentage of expense to be repaid may not exceed the proportion of the agreement not completed.
Employees may appeal the repayment as specified in 31 U.S.C. 3711.
7. Grievances Related to Training Requests An employee whose request for training
or request for cancellation of training is disapproved, and who disagrees with the decision, may submit a
grievance in accordance with the Office grievance procedures, (Management Manual Vol. 6, Human
Resource Branch procedures, Subject 3771.)
3410.2 Requests for Training
1. Training Requests Training Request forms are required for all training which
involves the employee enrolling in a course, class, conference, or similar training activity which is conducted
away from the Office premises and/or involves a cost which will be paid by the Office. Training request
forms are not usually required for training which is conducted on office premises for groups of employees
but may be required depending upon the circumstances.
2. Internal Training Request Form An employee will initiate a request for training by
filling out an Internal Training Request Form, Form MM#3410.1, and discussing the request with their
immediate supervisor. The internal request form will be routed, upon approval by the supervisor, along with
the SF-182 Form (Authorization, Agreement, and Certification of Training) Form MM#3410.2;the
Continued Service Agreement form, Form MM#3410.2 ; the College/Training Course Reimbursement form,
Form MM#3410.4; and when applicable the Request for College Class Attendance Form, Form
MM#3410.3. These forms will be routed for signature approval together as a training packet to assure
training is approved and to obligate funds. The Internal Training Request form is maintained electronically
on the ONHIR computer information system.
The Internal Training form, along with the other training forms referenced in this
section, should be initiated at least six (6) weeks before the desired training in order to allow sufficient time
for review by management officials and the Office. (Refer to copy of Internal Training Request Form at the
end of this chapter.)
3. SF-182-Authorization, Agreement, and Certification of Training Form. The SF-182
Form, Authorization, Agreement and Certification of Training Form, Form MM#3410.2, is to be routed with
the Internal Training Request Form for signature approval. This form is maintained electronically on the
MM#3410 Revised and Reissued 9/18/92;
7/6/11.
4
MANAGEMENT SECTION 3000 HUMAN RESOURCES BRANCH
MANUAL Subject 3410 Training ___/s/CJB__
APPROVED
ONHIR computer information system. In addition to obtaining the supervisor’s approval and signature, this
form will be routed for higher level approval as part of the training packet. (Refer to copy of SF-182 Form
at the end of this chapter.)
4. Request for College Attendance Form- College Courses An employee who requests
approval to attend a college course(s) must submit a completed Request for College Attendance Form, Form
MM#3410.3. In addition to obtaining the supervisor’s approval and signature this form will be routed for
higher level approval as part of the training packet. This form is maintained electronically on the ONHIR
computer information system. (Refer to copy of the Request for College Attendance Form at the end of this
chapter.)
5. College/Training Reimbursement Form An employee who requests approval to
to attend any training, whether it is a college course or a non college course, is required to submit a
completed College/Training Reimbursement Form, Form MM#3410.4. In addition to obtaining the
supervisor’s approval and signature, this form will be routed for higher level approval as part of the training
packet. This form is maintained electronically on the ONHIR computer information system. (Refer to copy
of the Request for College Attendance form at the end of this chapter.)
6. Required Approvals After the employee’s supervisor has approved all of the
training request forms in the training packet, the employee will route and circulate these forms to the
following offices for review and approval:
a. Human Resources Officer/Training Officer
b. Executive Director
7. Basis for Approval/Disapproval The employee’s supervisor and other reviewing
officials shall base approval or disapproval of the employee’s training request upon the following factors:
a. The relationship which the proposed training bears to the duties which the employee
is currently performing or will be assuming in the near future.
b. The employee’s workload, as well as the workload of the Office.
c.` Anticipated benefits to the Office as well as to the employee.
d. The cost of the training and the availability of funds for training and related travel
and expenses.
8. Training Not Approved If the training is not approved by the employee’s
supervisor, the Internal Training Request Form shall not be processed through higher levels of review. If the
training request is disapproved at one of the higher levels of management review, the Human Resources
Officer shall return the disapproved form to the employee with an explanation of the reasons for disapproval.
MM#3410 Revised and Reissued 9/18/92;
7/6/11.
5
MANAGEMENT SECTION 3000 HUMAN RESOURCES BRANCH
MANUAL Subject 3410 Training ___/s/CJB__
APPROVED
9. Course Payment Cross reference Management Manual, Volume 5, Finance
Branch Procedures, Subject 2600, page 4; Certification of Training and Subject 2800, page 1,
Educational Advances. The Finance Branch will obligate funds for training and will issue payment
according to internal procedures.
10. Travel Arrangements If the employee requires travel arrangements, he or she shall
fill out a Travel Request Form entitled, “Request for Travel Authorization and Bookings.” As a general rule
the Travel Coordinator will make travel arrangements for employees attending government training courses
upon confirmation of enrollment.
3410.3 Cancellation of Training
1. Timely Notification If an employee is unable to attend a training course after it has
been approved by ONHIR officials, the employee must request approval for withdrawing from the course
and cancelling the arrangements which have been made. The employee must initiate the cancellation as soon
as he or she knows they will not be able to participate in the training.
2. Preparing and routing a Cancellation of Training Request An employee who wants
to cancel an approved training request will initiate the request for cancellation by filling out the top portion
of Cancellation of Training Request, Form MM#3410.5. The employee must attach copies of the approved
Internal Training Request Form and SF-182. The employee should discuss the cancellation with their
supervisor as soon as possible and explain the reason for the cancellation or withdrawal.
3. Review by Finance Before circulating the cancellation for approval, the employee
shall obtain a review by the Finance Branch to determine if funds have been expended on the approved
training. The employee may be required to reimburse the ONHIR any funds which have been expended for
their course enrollment and/or travel arrangements which cannot be cancelled without penalty to the Office.
4. Required Approvals After the employee’s supervisor has approved the request to
cancel the training, the employee will circulate the request to the following offices for review and approval:
a. Human Resources Office
b. Finance Office
c. Executive Direction
5. Follow-up Actions The Cancellation of Training Request form, after completion by
the employee, will be routed to the Supervisor, the Finance Officer, and the Executive Director for signature
approval. The employee will be responsible for cancelling all training arrangements with the training vendor
when the approval of the Cancellation of Training Request form has been obtained. The employee will route
the original form to the Finance Branch for deobligation of funds. The original copy of the form will then
be routed to the Human Resources Branch to be maintained in the training records. (Refer to copy of
Cancellation of Training Request form at the end of this chapter.)
MM#3410 Revised and Reissued 9/18/92;
7/6/11.
6
MANAGEMENT SECTION 3000 HUMAN RESOURCES BRANCH
MANUAL Subject 3410 Training ___/s/CJB__
APPROVED
6. Cancellation Not Approved If the request to cancel the training is not approved by
the employee’s supervisor, the request shall not be processed through higher levels of review. If the
cancellation is disapproved at one of the higher levels of management review, the Training Officer shall
return the disapproved form to the employee with an explanation of the reasons for disapproval.
An employee who fails to attend approved training without obtaining approval for
the cancellation will be considered absent from the approved duty station and may be subject to disciplinary
action.
MM#3410 Revised and Reissued 9/18/92;
7/6/11.
7
UNITED STATES GOVERNMENT
OFFICE
OF
NAVAJO
AND
HOPI
INDIAN
RELOCATION
DATE:
November 24, 2009
FROM:
All
Staff
J.
, .
Exec~
MEMORANDUM
TO:
SUBJECT:
Training Policy
Christopher
J.
Bavasi
Executive
Director
Periodically, we review
our
various policies and procedures for applicability due to changing needs
and priorities
of
the agency. The training policy
has
been updated and future training requests will
be evaluated based on the following criteria.
I
am
inclined to approve training requests designed to improve performance, prepare for career
advancement in this
or
other Federal agencies, and pursue degrees to enhance qualifications for
advancement. Generally, training requests, university/community college course requests and
conference/seminar attendance should meet one
or
more
of
the following:
• Training is required to correct an identified performance deficiency (there is documented
unacceptable performance and corrective action is required by 5 CFR).
• Training is mandated by law
or
regulation,
or
is required to meet a condition imposed by
law
or
regulation.
• Training is required to prepare an employee/team to use
new
equipment
or
technology.
• Training can be immediately used to improve agency operations.
• Training to prepare an individual for placement pursuant to an anticipated reduction in
force.
Training requests will also be evaluated on the basis
of
acquiring the most cost effective means for
the agency, including but not limited to, on line
or
web based training courses offered by training
vendors.
Requests to continue college degree course work will
be
considered on a case by case basis. While
I may approve attendance at more
than
one course per semester, I will not approve release time
without charge to annual leave for more
than
one course
per
semester. Courses should meet the
criteria above,
or
courses should be clearly designated as required for the award
of
a degree.
If
you have questions,
or
want to discuss the training policy, please contact me.
P.O.
Box KK • 201
E.
Birch • Flagstaff, Arizona 86002 • (928) 779-2721 •
Fax
(928) 774-1977
MANAGEMENT SECTION 3000 HUMAN RESOURCES BRANCH
MANUAL Subject 3430 Performance Appraisal __/s/CJB__
APPROVED
SECTION 3000 HUMAN RESOURCES BRANCH
SUBJECT 3430 Performance Appraisal
AUTHORITY 5 CFR §430
POLICY
It is the policy of this Office that the performance of each employee will be appraised
accurately and timely and shall be recorded in writing. Performance appraisals shall be tailored to the job
and shall encourage improved communication about work between supervisors and employees.
The objectives for appraising employee performance are to provide the information
necessary to accomplish the following:
* Specify Office goals and objectives as they relate to the individual and determine
whether these have been met;
* Improve employee, program, and Office performance;
* Enhance career development and professional growth; and
* Use the work performance information as a basis for training, rewarding,
reassigning, promoting, reducing in grade, retaining, and removing employees.
The above objectives cannot be met through once-a-year appraisal and discussion of
employee performance. Rather, appraisal must be a continuing process.
An integral part of the ongoing, informal process is the periodic review of the previously
communicated performance standards and critical job elements to ensure that they are mutually understood.
Effective appraisal requires frequent communication between the supervisor and the employee regarding the
quality and effectiveness of the employee’s performance and ways it can be improved.
This section contains the performance appraisal policies and procedures of the Office of
Navajo and Hopi Indian Relocation. It is intended to serve as a guide to supervisors in carrying out their
performance appraisal responsibilities and as a source of information to employees concerning performance
appraisal.
This Office recognizes performance appraisal as a key to effective personnel management
because it:
* Helps supervisors and managers to plan and assign work and make the most
efficient use of their staff resources;
* Provides supervisors a documented and supportable basis for making work-related
personnel decisions;
MM#3430 Issued 11/20/89; Revised
and Reissued 7/6/11.
1
MANAGEMENT SECTION 3000 HUMAN RESOURCES BRANCH
MANUAL Subject 3430 Performance Appraisal __/s/CJB__
APPROVED
* Provides employees the opportunity to actively participate in setting standards
against which their performance will be appraised; and
* Provides supervisors a mechanism for giving meaningful feedback to employees
about performance.
The provisions of ONHIR’s performance appraisal system apply to all employees except the
following:
* Members of the Senior Executive Service who are covered by a separate
performance appraisal system which is described in 5 U.S.C, Chapter 43,
Subchapter II.
* Intermittent employees and temporary employees appointed for periods of less than
six (6) months.
Definitions
1. Performance
An employee’s accomplishment of assigned duties and responsibilities.
2. Performance Appraisal
A multi-step process of observing and appraising an employee’s performance in relation to
preset job related performance standards.
3. Performance Standards
The level of performance an employee is expected to achieve for each critical job element.
Performance standards address such criteria as quality, quantity, and timeliness. Performance standards in
the Office shall describe a fully acceptable/successful level of performance.
4. Critical Job Element
A required element of the job that is sufficiently important to overall success in the job that
performance below the minimum standard established by management results in unacceptable overall
performance and requires some remedial action and denial of a salary increment. Failure to meet the
standard in a critical element of the job may be the basis for demotion or removal; such action may be taken
without regard to performance on other elements of the job.
5. Appraisal Period
The appraisal period is the period of time during which the employee’s performance is
observed for the purpose of making a formal appraisal. The appraisal period is established as follows:
MM#3430 Issued 11/20/89; Revised
and Reissued 7/6/11.
2
MANAGEMENT SECTION 3000 HUMAN RESOURCES BRANCH
MANUAL Subject 3430 Performance Appraisal __/s/CJB__
APPROVED
a. New Employees
New employees hired for a regular appointment or temporary appointment of six (6) months
or more shall receive a copy of the critical elements and performance standards for the job within thirty (30)
days of being hired. The employee must be performing at the fully acceptable level in order to continue
employment with the Office.
b. Permanent Employees
Permanent employees shall be appraised during the mid-year review and a formal rating will
be provided at the end of the calendar year. Completed appraisals for the year shall be submitted to the
Human Resources Office by the end of the current calendar year.
Appraisal forms for the coming year, setting forth updated critical elements and standards,
shall be prepared for all employees by January 30th. The appraisals shall incorporate goals, objectives, and
special projects and programs identified by the Commissioner for action during the new calendar year.
c. Temporary Employees
Temporary employees shall be appraised at the end of their appointment. For employees
appointed for less than six (6) months, use of the ONHIR Performance Appraisal Form (critical elements and
standards) is optional. However, use of this form is mandatory for temporary appointments of six (6) months
or more.
Supervisors who leave their position during the year must complete appraisals of
subordinates performance to date.
6. Responsibility for Appraising and Reviewing Performance
The immediate supervisor is responsible for developing critical elements and performance
standards and involving the employee in the process. The immediate supervisor is also the official
responsible for conducting performance appraisal of subordinates.
The second level supervisor will indicate his/her concurrence of the overall appraisal or, in
the event of a disagreement about the overall appraisal, meet with the immediate supervisor to resolve any
conflicting issues.
7. Appraising Performance While on Detail
When an employee has been officially detailed to another position, either to the same or a
different supervisor, for a period longer than sixty (60) days, the employee’s performance on the detail will
be appraised by a supplemental appraisal so that the employee’s records reflect this performance and it can
be given appropriate consideration in personnel decisions.
MM#3430 Issued 11/20/89; Revised
and Reissued 7/6/11.
3
MANAGEMENT SECTION 3000 HUMAN RESOURCES BRANCH
MANUAL Subject 3430 Performance Appraisal __/s/CJB__
APPROVED
8. Development of Critical Job Elements and Performance Standards
The development of critical job elements and performance standards requires participation
by the supervisor and the employee. Elements and standards are recorded in writing on the Performance
Appraisal Form.
The process begins with a discussion between the supervisor and employee about the
employee’s job, the purpose for the standards and the approach to be used in setting the standards.
Meaningful two way communication about the job before the appraisal period begins can provide an
opportunity to identify problems and avoid later misunderstandings. The supervisor, however, has the final
responsibility for determining critical job elements and establishing performance standards. Written
standards need to be kept as simple, objective, and precise as possible.
The supervisor and the employee discuss the major components of the employee’s job and
record them in the “Elements to be Performed” section of the Performance Appraisal Form. (Refer to the
PAF Form at the end of this Chapter.) Components of a job include major tasks, duties and responsibilities
contained in the position description. A good position description, i.e., one that is complete, accurate, and
current, will contain the critical job elements as well as other significant, but perhaps less essential
requirements of the position. The position description, therefore, is a good place to begin the process of
identifying the job components.
Once the major job duties are identified the next step is to determine which are “critical job
elements.” Critical job elements are those which are of primary importance, or critical, such that success in
the position would normally require that they be performed acceptably. Critical job elements will frequently
reflect time spent in performing a particular aspect of a job. However, they may also reflect that a duty or
responsibility is critical to overall performance, even though relatively little total time is spent on it. This
might be the case, for example, where there are serious organizational consequences when the task is not
performed acceptably, even though the task is not time consuming or is only performed periodically (e.g.
annual budget preparation.)
The supervisor may also identify non-critical elements, i.e., a component of the job which
is significant but not essential in determining whether or not an employee’s performance is rated at the fully
met level. Critical job elements are distinguished by placing an “X” next to the critical element.
Performance standards are stated generally in terms of quality, quantity, timeliness and
creditable measures, and should answer the question: “How do you know if the employee performed this job
element acceptably?” Written standards are prepared for critical elements. It is the performance of the
critical elements which are the basis of subsequent personnel actions.
After all sections of the PAF Form have been completed, the supervisor and employee will
sign the form and retain copies for reference during the year.
9. Reviewing and Updating the Form During the Performance Appraisal Period
During the year changes in the work program or the employee’s assignments may necessitate
updating the elements or standards recorded on the performance appraisal form. The supervisor and
employee shall meet as needed to discuss changes, which must be properly documented.
MM#3430 Issued 11/20/89; Revised
and Reissued 7/6/11.
4
MANAGEMENT SECTION 3000 HUMAN RESOURCES BRANCH
MANUAL Subject 3430 Performance Appraisal __/s/CJB__
APPROVED
10. Standards for ONHIR Employees
The Performance Appraisal establishes an additional dimension which must be reflected by
critical job elements and standards established. These include certain duties and responsibilities that reflect
the performance of the Office for which the individual is responsible and the degree to which the
organizational objectives are met.
11. Standards for Supervisors and Managers
Supervisors and management officials shall have their performance appraised on their
“organizational” as well as their “individual” performance, when these employees have organizational
responsibilities.
The following organizational factors will be considered in establishing performance
standards for and assessing the performance of supervisors and management officials.
* Accomplishment of Office goals, objectives, special projects and programs.
* Improvement in quality, efficiency, and productivity of work or service, including
any significant reduction in paperwork.
* Cost efficiency.
* Timeliness of performance.
* Other indications of the effectiveness, productivity, and performance quality of the
employees for whom the management official is responsible.
* Application of merit principles in accomplishing Human Resources management,
including recommending or taking personnel actions, developing subordinates,
appraising employee performance and attainment of Equal Opportunity/Affirmative
Action goals.
12. Written Performance Appraisal
The supervisor shall record narrative statements of actual performance compared against
each performance standard in the Performance Appraisal Form. The supervisor shall also record a summary
rating of the employee’s overall performance. Each employee must be given a copy of his or her
performance appraisal. (Refer to Summary Rating Sheet at the end of this Chapter.)
13. Use of Appraisals
Performance appraisals are to be used as a basis for rewarding, reassigning, promoting,
reducing in grade, retaining and removing employees. Appropriate action shall be taken to reward good
performance and correct inadequate performance.
MM#3430 Issued 11/20/89; Revised
and Reissued 7/6/11.
5
MANAGEMENT SECTION 3000 HUMAN RESOURCES BRANCH
MANUAL Subject 3430 Performance Appraisal __/s/CJB__
APPROVED
14. The Appraisal Interview
The appraisal interview affords an opportunity for the rating official and employee to review
the employee’s accomplishments during the appraisal period and for the rating official to discuss the element
and summary ratings he/she has assigned. During the interview the rating official and employee should
review together the employee’s performance in each critical element on the job.
The appraisal review should be a two way exchange between the rating official and the
employee. The rating official should involve the employee in the performance appraisal by taking into
account results, accomplishments and how performance issues should be resolved.
The rating official should explain the summary ratings assigned that are derived from the
critical job elements and that only performance on the critical elements shall be used as a basis for making
personnel decisions.
The rating official should cite specific areas of commendable or unacceptable performance,
drawing on specific incidents recorded during the appraisal period, rather than stating unsupported
conclusions. Citing specific incidents shows a verifiable basis for the evaluation and allows the rating
official to give specific suggestions for improvement.
a. Acceptable Level of Competence Determinations
In order to receive a Wage Grade Increase an employee must be performing at an “acceptable
level of competence.” The employee’s performance must be at the “Fully Sucessful” level on all critical
elements.
b. Quality Step Increase
An employee may be considered to a quality step increase for performance which
substantially exceeds an acceptable level of competence. A quality step increase may be awarded based on
documented sustained high level performance that exceeds the standard of a critical element.
c. Performance Awards
(See ONHIR Awards Policy at the end of this Chapter.)
d. Promotion
In considering an employee for promotion under competitive promotion procedures, due
weight may be given to supervisory appraisals of the employee’s performance on his/her present job to the
extent that the employee’s performance on his/her present job and the job for which he/she is applying
having common elements. In considering an employee for a non-competitive, career promotion a
performance appraisal in the present position is an indispensable tool in determining whether the employee
is ready for promotion. (Refer to Section 3335 of these procedures on Promotion.)
e. Reduction in Force
Refer to 5 CFR Section 351.701.
MM#3430 Issued 11/20/89; Revised
and Reissued 7/6/11.
6
MANAGEMENT SECTION 3000 HUMAN RESOURCES BRANCH
MANUAL Subject 3430 Performance Appraisal __/s/CJB__
APPROVED
15. Assisting Employees in Improving Performance
Performance appraisals provide supervisors with information about the employee’s
performance to be used to plan and assign work and make personnel decisions based on performance; provide
employees with feedback on their strengths and weaknesses in performing their jobs, to indicate how they
can improve their performance and what they can do to enhance their careers. It is extremely important that
deficiencies, along with efforts to help the employee improve, be documented as early as possible.
An employee whose performance is “Not Acceptable” on any critical job element shall be
entitled to a reasonable opportunity to improve performance. Supervisors must make every effort to motivate
employees and provide on-the-job training and direction in order to bring performance to an acceptable level.
The employee, on the other hand, must make every effort to achieve the required standards of performance.
The supervisor shall establish a conditional performance period of reasonable length (but
no less than thirty (30) days) and specify the standards of improvement required during this period. At the
end of the time period, a follow-up appraisal shall gauge the extent to which the employee’s performance
has improved.
16. Actions Based on Unacceptable Performance
Remedial action must be taken when an employee fails to meet performance standards in
a critical element of his or her job. This remedial action may include counseling, remedial training,
reassignment, demotion, or removal. Supervisors who are considering assigning a “Not Acceptable” rating
must consult the Human Resources Officer before assigning the rating to discuss the remedial action that will
be taken.
17. Training and Information for Supervisors
The Human Resources Office will provide supervisors and employees with information and
technical assistance on the appraisal process, specifically on the development of critical elements and
performance standards and how they serve as a basis for making decisions.
18. Employee Dissatisfaction with Appraisals
An employee who disagrees with the supervisor’s appraisal of performance may grieve
according to the Office’s Grievance Procedures.
19. Records Maintenance
Official performance appraisal records are available for review by the employee. Records
will be maintained by the Human Resources Office in accordance with the directives of the National
Archives and Records Administration (NARA.)
20. Evaluation of Effectiveness of the System
The Office will evaluate effectiveness of the performance appraisal system annually to
determine whether it meets the needs of the organization, management, employees, law, and regulation.
MM#3430 Issued 11/20/89; Revised
and Reissued 7/6/11.
7
MANAGEMENT SECTION 3000 HUMAN RESOURCES BRANCH
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APPROVED
These evaluations will generally be conducted by the Human Resources Officer. Evaluation data will be
used to improve the performance appraisal system.
21. Summary Ratings
Each appraisal shall include a summary rating of the employee’s overall performance. (Refer
to Summary Rating Sheet at the end of this Chapter.) One of the two following summary ratings will be
assigned:
a. Fully Successful Performance
The employee’s overall performance has consistently met established performance standards
during the appraisal period. To receive a “Fully Successful” rating the employee must have met the standard
for all critical elements.
b. Not Acceptable Performance
The employee’s overall performance has failed to meet performance standards during the
appraisal period. In order for an employee to receive a “Not Acceptable” rating, performance of standards
in one or more critical elements must have failed.
MM#3430 Issued 11/20/89; Revised
and Reissued 7/6/11.
8
MANAGEMENT SECTION 3000 HUMAN RESOURCES BRANCH
MANUAL Subject 3500 Phased Retirement Program
_/s/CJB__
APPROVED
==========================================================================
MM#3500 Issued 7/8/2015
1
SECTION 3000 HUMAN RESOURCES BRANCH
SUBJECT 3500 Phased Retirement Program
AUTHORITY 5 U.S.C. 8336a and 5 U.S.C. 8412a
POLICY
1. Purpose
The ONHIR Phased Employment/ Retirement Program is a program developed
under 5 U.S.C. 8336a and 5 U.S.C. 8412a that allows federal employees to work part-time and
enter into partial retirement.
The program will serve as a human resource tool for agencies to encourage employees to remain
at work in a part-time capacity and mentor employees who will be filling the positions or taking
on the duties of more experienced employees. The program provides a mechanism by which an
agency can transfer, maintain or manage institutional knowledge, implement succession planning
and promote career development.
2. Scope
The Phased Employment Retirement Program is not an employee right but an
option. Participation is voluntary and requires the mutual consent of both the employee and the
employing agency. An employee may only elect phased employment/retirement status once and
if an employee who is in Phased Employment/Retirement ends their status for any reason, he or
she may not re-elect phased employment/retirement status again.
The Phased Employment/Retirement Program will be implemented by the agency through an
approval process that includes approval authority delegations, a written agreement between the
agency and the employee requesting approval, establishment of time limits to determine whether
an employee can return to regular employment after entering into the Phased
Employment/Retirement Program.
The criteria for positions to be considered within the agency for Phased Employment/Retirement
status will be determined by whether the duties of a specific position are vital to agency
operations and can be performed on a part-time basis, whether the employee has institutional
knowledge that needs to be transferred and whether the employee is able to mentor others.
MANAGEMENT SECTION 3000 HUMAN RESOURCES BRANCH
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APPROVED
===========================================================================
MM#3500 Issued 7/8/2015
2
The eligibility criteria for entry into the Phased Employment/Retirement program are:
- Employee must have been working a full time schedule for the 3 year period immediately
before the effective date of a Phased Employment/Phased Retirement election.
- Employee must qualify for immediate retirement under 5 U.S.C. Section 8336(a) or (b) or 5
U.S.C. S 8412 (a) or (b) under the Civil Service Retirement or Federal Employees Retirement
system as detailed:
• Civil Service Retirement (CSRS) age and service provisions for immediate retirement are:
o Attained age 55 with 30 years of creditable service, or
o Attained age 60 with 20 years of creditable service
• Federal Employees Retirement System (FERS) age and service provisions for immediate
retirement are:
o Attained MRA (minimum retirement age) with 30 years of creditable service, or
o Attained 60 with at least 20 years of creditable service
Work/Retirement Schedule - Upon entry into the Phased Employment/Retirement program the
employee will be required to spend twenty percent of work time in mentoring activities. The
employee will work on a part-time basis (50% of their full time work schedule) and will be
partially retired. A change in the working percentage during the Phased Employment/Retirement
status will result in termination of the Phased Employment/Retirement status. Any payments of
Phased Retirement annuity made after the change in working percentage will be considered an
overpayment and must be repaid to OPM. An employee who is separated from Phased
Employment/Retirement status for more than three days will enter full retirement status.
Pay/Benefits - An employee who is in Phased Employment/Retirement status will receive half
(50%) of their gross pay. The employee will also receive approximately fifty percent (50%) of
their full retirement annuity. The gross pay will continue to be subject to the withholding
deductions as appropriate for the following benefit programs: FEHB, FEGLI, FEDVIP,
FLTCIP, TSP, Federal and State tax, Social Security and Medicare Tax, CSRS or FERS
retirement. FEHB and FEGLI premiums will be deducted from gross pay in the same amount as
if the employee was in a full time status. Sick and annual leave accrual will be accrued on a pro-
rated basis for the part-time schedule of the employee. An employee who is in the Phased
Employment/Retirement program who is subject to wage grade/step increase (WGI) will
continue to receive this increase as well as annual pay adjustments.
Application/Annuity Computation - The Phased Retirement status election will require
completion of the “Phased Employment/Retirement Status Election” form (SF-3116). During
this election, the annuity computation for either CSRS or FERS is calculated as a full retirement
then divided in half and the employee will also receive approximately fifty percent (50%) of
MANAGEMENT SECTION 3000 HUMAN RESOURCES BRANCH
MANUAL Subject 3500 Phased Retirement Program
_/s/CJB__
APPROVED
==========================================================================
MM#3500 Issued 7/8/2015
3
their full retirement annuity. No special computations will apply during this status including no
sick leave credit, no annual leave lump sum payment, no FERS annuity supplement and no
reduction for survivor annuity. During Phased Employment/Retirement the part-time retirement
annuity is subject to increase by applicable cost of living adjustments (COLA).
Effective Date - In accordance with regulations the effective date of Phased Employment (part-
time work) will begin on the first day of pay period after phased retirement is approved by the
agency, or the first day of a later pay period specified by the employee with concurrence of the
head of the agency. The commencing date of the Phased Retirement (partial retirement) portion
is the first day of pay period after approval by head of the agency or the first day of a later pay
period specified by the employee with concurrence of head of the agency.
Ending Phased Retirement - An employee may elect to end their Phased
Employment/Retirement status and enter into full-time retirement at any time. If an employee
requests to return to work full time it will require approval by the authorized agency official.
Part Time Service Credit - The time the employee has worked under the Phased
Employment/Retirement status will be credited as part-time service for full retirement annuity
calculation purposes (composite retirement annuity).
MANAGEMENT SECTION 3000 HUMAN RESOURCES BRANCH
MANUAL SUBJECT 3600 FEDERAL CIVILIAN EMPLOYEE ___/s/CJB___
PAY AND LEAVE CLAIMS APPROVED
==========================================================================
MM#3600 Issued 3/10/16
1
SECTION 3000 HUMAN RESOURCES BRANCH
SUBJECT 3600 Federal Civilian Employee Pay and Leave Claims
AUTHORITY Title 5 CFR, Part 178
POLICY
This will summarize the process relating to claims for compensation and/or leave for the Office
of Navajo and Hopi Indian Relocation. The formal regulations pertaining to this function can be
found in Title 5 CFR, Part 178.
Procedures for submitting claims to the Office of Navajo and Hopi Indian Relocation are as
follows:
Claim Submission:
A claim shall be submitted by the claimant in writing and must be signed by the claimant or by
the claimant’s representative. A claim filed by a claimant’s representative must be supported by
a duly executed power of attorney or other documentary evidence of the representative’s right to
act for the claimant. No specific form for submission of a claim is required, however, the
following information for all claims should include the following:
describe the basis for the claim
state the amount that is being requested
Name, address, telephone number and email address, if available, of the claimant.
Name, address, telephone number and email address, if available, of the agency employee who
was denied the claim.
A copy of the denial of the claim issued by employing agency (ONHIR) and any other information
which the claimant believes should be considered.
At the discretion of the agency, the agency may forward the claim to the Office of Personnel
Management on the claimant’s behalf. The claimant is then responsible for ensuring that OPM
receives all of the information requested as listed in the Claim Submission paragraph.
Administrative Report
The Office of Personnel Management may request the agency to provide an administrative
report. The report would include:
MANAGEMENT SECTION 3000 HUMAN RESOURCES BRANCH
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PAY AND LEAVE CLAIMS APPROVED
==========================================================================
MM#3600 Issued 3/10/16
2
Agency factual findings
Agency conclusions with relevant citations of law
Agency’s recommendation for disposition of the claim
Complete copy of regulation, instruction, memorandum, or policy relied upon by the agency in
making its determination
Statement that the claimant is or is not a member of a collective bargaining unit and if so, a
statement that the claim is not covered by a negotiated grievance procedures that excludes the
claim from coverage
Any other information that the agency believes is pertinent and should be considered by OPM.
Basis of claim settlements
In accordance with 5 C.F.R., Section 178, the burden is upon the claimant to establish the
timeliness of the claim, the liability of the United States, and the claimant's right to payment. The
settlement of claims is based upon the written record only, which will include the submissions by
the claimant and the agency. ONHIR will accept the facts asserted by the agency, absent clear
and convincing evidence to the contrary.
Form of Claim Settlements
ONHIR will send a settlement to the claimant advising whether the claim may be allowed in
whole or in part. If the Office of Personnel Management requested an agency report or if the
agency forwarded the claim on behalf of the claimant, OPM also will send the agency a copy of
the settlement.
Finality of Claim Settlements
The OPM settlement is final; no further administrative review is available within OPM.
Nothing is this subpart limits the right of a claimant to bring an action in an appropriate United
States court.
Statutory Limitations Relating to Claims
Except as provided in this document or as otherwise provided by law, all claims against the
United States Government are subject to the 6-year statute of limitations contained in 31 U.S.C.
3702(b). To satisfy the statutory limitation, a claim must be received by the department or
agency out of whose activities the claim arose, or the Office of Personnel Management within 6
MANAGEMENT SECTION 3000 HUMAN RESOURCES BRANCH
MANUAL SUBJECT 3600 FEDERAL CIVILIAN EMPLOYEE ___/s/CJB___
PAY AND LEAVE CLAIMS APPROVED
==========================================================================
MM#3600 Issued 3/10/16
3
years from the date the claim accrued. The claimant is responsible for proving that the claim was
filed within the applicable statute of limitations.
Claims under the Fair Labor Standards Act.
Claims arising under the FLSA, 29 U.S.C. 207, et seq., must be received by the department or
agency out of whose activity the claim arose, within the time limitations specified in the FLSA.
Other Statutory Limitations
Statutes of limitation other than that identified in this section may apply to certain claims.
Claimants are responsible for informing themselves regarding other possible statutory
limitations.
Where to Submit Claims
Claims for pay and/or leave should be sent to the Office of Navajo and Hopi Indian Relocation,
Human Resources Office, Human Resource Manager at 201 E. Birch, Flagstaff, AZ 86001.
Telephone inquiries can be made at (928) 779-2721 or by e-mail to tslater@onhir.gov.
MANAGEMENT SECTION 3000 HUMAN RESOURCES BRANCH
MANUAL Subject 3713 Equal Employment Opportunity __/s/CJB___
APPROVED
SECTION 3000 HUMAN RESOURCES BRANCH
SUBJECT 3713 Equal Employment Opportunity
AUTHORITY 29 CFR 1614
POLICY
It is the policy of the Office of Navajo and Hopi Indian Relocation to support and ensure equal
opportunity to all employees of and applicants for employment with the Office. Further, no employee of the
ONHIR shall discriminate against any individual employed by or having dealings with the Office on the basis
of race, color, sex, age, religion, national origin, disability or genetic information.
This part sets forth policy and procedures for assuring equal opportunity to employees of and
applicants for employment with the ONHIR.
1. Definitions
a. Employee
Any person employed by the Office without regard to tenure or tour of duty.
b. Discrimination
Disparate treatment based on race, color, sex, age, religion, national origin, disability or genetic
information. Discrimination may be said to exist when employees in like circumstances receive different
treatment based on one of the eight categories above.
c. Complaint
Allegation of discrimination.
d. Counselor
Designated individual who will receive informal complaints to attempt resolution.
e. EEO Officer
Employees designated by the Commissioner who will receive, hear, and recommend decisions on
formal complaints.
2. Responsibilities
a. Commissioner
The Commissioner shall issue a policy statement setting forth a personal commitment to equal
MM#3713 Revised and Reissued 11/20/89;
7/6/11.
1
MANAGEMENT SECTION 3000 HUMAN RESOURCES BRANCH
MANUAL Subject 3713 Equal Employment Opportunity __/s/CJB___
APPROVED
opportunity. The Commissioner shall appoint an employee of the Office to act as the EEO Officer.
b. Executive Director
The Executive Director shall provide for election or designation of an EEO Counselor to receive
informal complaints of discrimination.
c. Managers
The Managers shall cooperate fully with all EEO Officials in eliminating discrimination.
d. Supervisors
The Supervisors shall communicate to employees their rights under Equal Employment Opportunity
law and regulation and shall refrain from discrimination. Supervisors shall not interfere with employees in
the exercise of their rights under this part.
e. Employees
Employees shall cooperate with management in eliminating discrimination and shall cooperate in
the investigation of complaints. Employees shall not obstruct designated officials in carrying out their
responsibilities under this section.
3. Procedures for Processing Complaints of Discrimination
When an employee believes he/she is the victim of discriminatory treatment, the procedures set forth
herein shall be adhered to in processing and resolving the complaint. (Refer to EEO Discrimination
Complaint Process Procedures and Alternative Dispute Resolution Procedures at the end of this Chapter.)
Attachments “A’ and “B.”
In the informal stage the complainant has an absolute right to anonymity. If the complaint reaches
the formal stage, the right to anonymity is set aside. Alleged Discriminating Officials (ADO) have the right
to know the identity of the complainant.
The complainant has a right to be represented throughout the complaint process by a representative
of his/her choice. The representative may be an attorney or another employee of the Office. If the
representative is an employee of the Office, he/she shall be guaranteed freedom from restraint, interference,
coercion, discrimination, or reprisal in carrying out the representative’s duties.
The Office may deny a complainant permission to have as his/her representative a particular
employee of the office when the representation would contribute appreciably to the neglect of that
employee’s regular duties. An employee may decline to serve as the representative for a complainant.
The Office may allow official time, subject to the approval of the Executive Director, to assist the
complainant in preparing the complaint, in addition to the official time granted the complainant for
MM#3713 Revised and Reissued 11/20/89;
7/6/11.
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MANAGEMENT SECTION 3000 HUMAN RESOURCES BRANCH
MANUAL Subject 3713 Equal Employment Opportunity __/s/CJB___
APPROVED
consultation. Normally said official time shall not exceed a composite of eight (8) hours per employee
involved.
Counselors and complainants shall be free from restraint, coercion, interference, discrimination or
reprisal in realizing their rights under this part.
MM#3713 Revised and Reissued 11/20/89;
7/6/11.
3
MANAGEMENT SECTION 3000 HUMAN RESOURCES BRANCH
MANUAL Subject 3713 Equal Employment Opportunity __/s/CJB___
APPROVED
MM#3713-Attachments and Forms
ATTACHMENT “A” - EEO DISCRIMINATION COMPLAINT PROCESS
(Complainant’s Processing Information)
ATTACHMENT “B” - ALTERNATIVE DISPUTE RESOLUTION PROCEDURES
ATTACHMENT “C” - NOTICE OF RIGHT TO FILE A DISCRIMINATION COMPLAINT
ATTACHMENT “D” - ROLE AND RESPONSIBILITIES OF THE EEO COUNSELOR
ATTACHMENT “E” - NOTICE OF RIGHTS AND RESPONSIBILITIES IN THE
DISCRIMINATION COMPLAINT PROCESS
ATTACHMENT “F” - ALTERNATIVE DISPUTE RESOLUTION (ADR) AND PRE-
COMPLAINT PROCESSING ELECTION
ATTACHMENT “G” - COUNSELING CHECKLIST
ATTACHMENT “H” - MEDIATION INFORMATION SHEET
ATTACHMENT “I” - INSTRUCTIONS FOR APPEALS TO MSPB
FORM MM#3713.1 - EEO INTAKE FORM
FORM MM#3713.2 - STATEMENT OF WITHDRAWAL OF PRE-COMPLAINT
FORM MM#3713.3 - FORMAL COMPLAINT OF DISCRIMINATION
FORM MM#3713.4 - COMPLAINT TRACKING LOG
FORM MM#3713.5 - LETTER TO COMPLAINANT ENCLOSING FORMS EXPLAINING
RIGHTS AND RESPONSIBILITIES
FORM MM#3713.6 - DESIGNATION OF REPRESENTATIVE
FORM MM#3713.7 - WAIVER OF ANONYMITY
FORM MM#3713.8 - EEO COUNSELOR’S REPORT
FORM MM#3713.9 - EXTENSION FORM
MM#3713 Revised and Reissued 11/20/89;
7/6/11.
4
MANAGEMENT SECTION 3000 HUMAN RESOURCES BRANCH
MANUAL Subject 3771 Administrative Grievance System
__/s/CJB__
APPROVED
SECTION 3000 HUMAN RESOURCES BRANCH
SUBJECT 3771 Administrative Grievance System
AUTHORITY 5 CFR §771
POLICY
It is the policy of the Office of Navajo and Hopi Indian Relocation that an internal
administrative grievance system shall exist to afford all employees the opportunity to receive fair and prompt
consideration of dissatisfaction related to employment conditions which affect them and which they perceive
as unjust and requiring remedy.
1. Definitions
a. Employee
Refers to current employees of the Office of Navajo and Hopi Indian Relocation regardless
of the type of appointment.
b. Grievance
A request for personal relief in a matter of dissatisfaction relating to the employment of the
individual and which is subject to the control of management.
c. Grievance File
A separate file which contains all the documents related to the grievance, including but not
limited to any statements of witnesses, records or copies thereof, the report of the hearing when one is held,
statements made by the parties to the grievance, and the decision.
d. Personal Relief
A specific remedy directly benefitting the grievant(s) and may not include a request for
disciplinary or other action affecting another employee.
e. Day
Day or days in this section refer to calendar days.
2. Coverage
a. Employees Covered
The Office’s administrative grievance system is available to all employees and former
employees regardless of the type and tenure of appointment.
MM#3771 Issued 11/20/89; Revised
and Reissued 7/6/11.
1
MANAGEMENT SECTION 3000 HUMAN RESOURCES BRANCH
MANUAL Subject 3771 Administrative Grievance System
__/s/CJB__
APPROVED
b. Exclusion
Applicants for employment with the Office do not have access to the agency grievance
system.
c. Grievance Coverage
The procedures of this section apply to any matter of concern or dissatisfaction, not excluded
by Section 2.d below, which relate to the employment of any employee which is subject to the control of
Office management, including any matter upon which an employees alleges that coercion, reprisal, or
retaliation has been practiced against him or her for using the Grievance System.
d. Matters Excluded
Grievance procedures do not apply to any of the following:
1. The content of published regulations and policy.
2. A decision appealable to the Merit Systems Protection Board, Office of Personnel
Management or Equal Opportunity Commission under law or regulation.
3. Non selection for promotion from a group of properly rated and ranked candidates.
4. Preliminary warning notice of an action covered under the Grievance System.
5. Action terminating a temporary promotion within a two (2) year period.
6. Content of critical elements/performance standards of employee’s position.
7. Non adoption of suggestion or disapproval of award nomination.
8. Termination of employee during a probationary period.
9. Separation action following expiration of term appointment or promotion.
10. Audit or investigation by the Attorney General, Department of Justice, or Office of
Special Counsel.
11. Relief specified that is not personal to the grievant or is not within the control of
management.
MM#3771 Issued 11/20/89; Revised
and Reissued 7/6/11.
2
MANAGEMENT SECTION 3000 HUMAN RESOURCES BRANCH
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__/s/CJB__
APPROVED
e. Steps and Time Frame
Steps: Time Frame
1. Initiation of written formal grievance Within seven (7) days following specific act or
anytime for continuing condition.
2. Supervisor’s Decision on informal grievance Within seven (7) days following employee’s
in writing. presentation.
3. Submission of formal grievance in writing Within seven (7) days following employee’s
when employee dissatisfied with informal decision. receipt of informal decision or seven (7) days
following expiration of the period for Supervisor’s
decision.
4. Determination by Human Resources Office of Within seven (7) days following receipt of
grievance acceptability; grievance rejected or of employee written presentation.
forwarded to deciding official.
5. Deciding official appoints fact finder if No time limit - as soon as practical.
needed, or
6. Deciding official’s decision to employee Within seven (7) days after receipt of grievance.
All time frames in the grievance procedures are expressed in calendar days and include
weekends but not holidays. When a time frame expires on a weekend, the deadline is extended to the next
regular working day.
3. Responsibilities
a. Commissioner
The head of the Office shall exercise final review within the agency’s administrative
grievance system. Authority to issue final decisions on specific cases may be delegated to the Executive
Director or other individual as provided in Number 9 of this section.
b. Executive Director
The Executive Director shall exercise general oversight of the administrative grievance
system, assuring adherence to the policies and procedures contained in this section.
c. Supervisor
Supervisors shall hear all grievances registered in good faith by employees under their
supervision, promptly and courteously and try to clarify misunderstandings and make reasonable adjustments
to any complaints that arise in day-to-day relationships.
MM#3771 Issued 11/20/89; Revised
and Reissued 7/6/11.
3
MANAGEMENT SECTION 3000 HUMAN RESOURCES BRANCH
MANUAL Subject 3771 Administrative Grievance System
__/s/CJB__
APPROVED
d. Employees
It is the responsibility of employees to take problems and complaints to their immediate
supervisor and make a sincere effort to resolve grievances through the chain of command. Employees shall
attempt to resolve problems informally at the lowest possible supervisory level before resorting to the formal
grievance procedure.
e. Human Resources Officer
The Human Resources Officer shall instruct ONHIR employees about the agency grievance
system and shall distribute written material on the procedure to be followed. The Officer shall provide staff
support during the processing of a grievance, including: research of applicable federal regulations;
independent investigation of the circumstances of the case when requested to do so by the reviewing official;
attending and recording hearings and oral arguments and preparing summaries of the statements made; and
preparation and maintenance of the grievance file.
4. General Requirements
a.. Representation
An employee may represent himself or herself or may select an individual to represent him
or her. An employee has the right to be accompanied, represented, and advised by a representative of his or
own choosing, except that the Office may disallow the choice of an individual as a representative which
would result in a conflict of interest or position, which would conflict with the priority needs of the agency
or which would give rise to unreasonable cost to the government.
b. Official Time
The grieving employee and his or her representative, if also an employee of the Office, shall
be allowed a reasonable amount of official time to present a grievance and receive fair consideration of the
matter being grieved. The amount of time allowed shall be determined by the complexity and specific
circumstances of the case. The Executive Director shall approve the request for release time based upon
calculations of reasonable time requirements submitted by the Human Resources Officer.
c. Protection
In order to assure a climate of openness in which an employee feels free to express concerns
or dissatisfaction and to use the grievance system for their resolution, the Office shall assure that a grievant
and his or her representative shall be free of restraint, coercion, discrimination or reprisal in presenting a
grievance.
d. Obligations of the Grievant
Whether during the informal or formal period of the grievance process, the grievant has the
following obligations:
MM#3771 Issued 11/20/89; Revised
and Reissued 7/6/11.
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* Compliance with time limits established for the different steps. Failure to comply
with the specified time limits may be the basis for rejecting a grievance.
* The grievant must clearly identify the matter being grieved. If not enough detail is
provided the grievance may be rejected on that basis.
* The grievant must specify the personal relief requested. A grievance which does
not request personal relief may be rejected as it does not meet the definition of a
grievance as defined by statute.
e. Time Frame
An employee may present a grievance concerning a continuing practice or condition at any
time but must present a grievance concerning a particular act or occurrence within seven (7) days of the act
or occurrence or within seven (7) days of the date he or she became aware of the act or occurrence.
The time allowance for submittal and response during the grievance process, both formal
and informal proceedings, is seven (7) calendar days.
The time limits specified above may be extended only for good reason by the agency official
receiving the grievance on the recommendation of the Human Resources Officer.
f. Termination or Withdrawal of Grievance
A grieving employee may withdraw a grievance at any time during the formal or informal
process by notifying the official who is considering the grievance. Records will be kept of the employee’s
decision.
A grievance may be rejected if the employee fails to comply with the conditions specified
in Number 4.d and 4.e of these procedures.
5. Informal Grievance Procedure
a. Presentation of Grievance to Lowest Possible Supervisory Level
An employee must first seek resolution of a grievance through informal channels before
initiating a formal grievance. Initial presentation of an informal grievance is normally made to the immediate
supervisor. When the grievance concerns relationships with, or actions taken by the immediate supervisor,
the grievance may be presented to the second level supervisor who should discuss the matter with the
immediate supervisor as part of the fact finding process.
b. Form of Presentation
The informal grievance must be presented in writing. The employee must make it clear that
he or she is presenting an informal grievance (as provided in 4.d ) and must clearly identify the matter being
grieved and specify the personal relief sought. Supervisors who receive complaints must ascertain whether
or not the complainant is actually pursuing the first step in the grievance procedure.
MM#3771 Issued 11/20/89; Revised
and Reissued 7/6/11.
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MANAGEMENT SECTION 3000 HUMAN RESOURCES BRANCH
MANUAL Subject 3771 Administrative Grievance System
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c. Disposition of Informal Grievance
The supervisor to whom a grievance has been presented for informal adjustment will attempt
to resolve it as expeditiously as possible, seeking the advice and assistance of others when necessary, and
will give the employee his/her decision on the matter not later than seven (7) days after the date of
presentation. The informal grievance may be taken to the Supervisor/Manager in order to achieve resolution
but may not go beyond this level. In an action wherein Manager is the subject of the grievance the Executive
Director may be consulted.
If the issue requires consultation with other supervisors or staff members, the employee is
informed of their participation in the decision.
If the adjustment sought by the employee cannot be granted the employee is informed, in
writing, of the reasons and of the employee’s right to request further consideration under the formal
procedures. If the employee needs assistance in filing under the formal procedures, he or she will be referred
to the Human Resources Officer.
d. Rejection of Grievance
A grievance may not be rejected in the informal procedure for any reason. If
Supervisor/Manager believes that the grievance is not timely or consists of a matter not covered under the
grievance system, the employee should be so advised but the employee must be allowed to submit the
grievance for a determination under the formal procedures if he or she insists.
6. Formal Grievance Procedure
When an employee receives a decision under the informal procedure which does not satisfy
the grievance or when the time limit for management action has expired without a decision, he or she may,
within seven (7) days, resort to the formal grievance process. The grievance must be in writing and signed
by the employee, contain sufficient detail to identify and clarify the basis of the grievance, explain the efforts
made to resolve the grievance informally and specify the relief sought by the employee.
If the employee has a representative the employee must provide the representative’s name
and how this individual can be contacted. Copies of any document related to the grievance, or to the efforts
at informal resolution, should be attached.
The grievance is submitted through the Human Resources Officer to the Executive Director.
Upon receipt of a written grievance the Human Resources Officer makes a technical review for acceptability
and within seven (7) days informs the Executive Director:
* Whether or not the grievance includes issues which are excluded from the grievance
system.
* Whether or not the grievance was filed timely and if not, whether the employee has
good cause for delay.
The Human Resources Officer shall reject a grievance which is not technically adequate.
MM#3771 Issued 11/20/89; Revised
and Reissued 7/6/11.
6
MANAGEMENT SECTION 3000 HUMAN RESOURCES BRANCH
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APPROVED
The Human Resources Officer shall verify that the employee first attempted to resolve the
grievance through the informal procedure and that the Supervisor/Manager has had an opportunity to resolve
the issue. If not, the grievance will be returned to the employee with direction to use the informal procedure.
If the grievance is acceptable, the Human Resources Office will establish a grievance file
and forward it to the Executive Director who will have seven (7) days to complete an investigation and
review of the case and issue a decision.
7. Action of the Executive Director or Commissioner
In arriving at a decision several courses of action are available to the Commissioner or
Executive Director (if so delegated) who will determine which course of action is most appropriate
dependent upon the circumstances of the case.
The information contained in the grievance file may be sufficient for the Commissioner or
Exective Director (if so delegated) to render a written decision within seven (7) days without conducting any
further investigation.
The Commissioner may appoint a “Fact Finder” with the authority to conduct an inquiry and
develop a recommendation for final action by the Commissioner or Executive Director (if so delegated).
8. Appointment of a “Fact Finder”
Fact finding may be appropriate when there is conflicting evidence causing the dispute over
the facts necessary to resolve a particular grievance or when the Office believes that a “Fact Finder” would
assist in reaching an equitable decision.
a. Qualification of a “Fact Finder”
The Commissioner or Executive Director (if so delegated) may appoint as a “Fact Finder”
an employee of the Office or an individual from outside of the Office. The individual appointed as “Fact
Finder” must not have been involved in a decision making capacity in the grievance under consideration and
may not occupy a position which is subordinate organizationally to any individual who was involved in a
decision making capacity in the particular case. In addition to the statutory requirements, the person
appointed as a “Fact Finder” should be respected for impartiality and the ability to analyze situations and
present reasonable conclusions.
b. Fact Finding Procedure
In conducting an inquiry necessary to resolve any dispute about facts and develop sufficient
basis for a recommendation the “Fact Finder” may:
* Review records and documents.
* Conduct personal interviews.
* Hold group meetings.
MM#3771 Issued 11/20/89; Revised
and Reissued 7/6/11.
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* Conduct a hearing.
While records must be kept of the information presented during group meetings or during
a hearing, verbatim transcripts are not needed. The proceedings should be kept informal and conducive to
the free disclosure of information. Both sides may call witnesses but the “Fact Finder” shall determine which
witnesses will be heard after considering the relevancy of their anticipated testimony. Witnesses shall be
permitted to express themselves freely without fear or intimidation or reprisal.
c. Grievance File
When fact finding is utilized a grievance file shall be established which is made available
to the grievant and his or her representative for review and comment. The file should contain, at a minimum,
statements of witnesses; records or copies of records; reports of personal interviews or group meetings; the
record of the hearing, if one is held; the “Fact Finder’s” Report, and the decision.
d. “Fact Finder’s” Report
The “Fact Finder” will submit a report of Findings and Recommendations as to a decision
on the grievance to the Commissioner or Executive Director (if so delegated) within seven (7) days of the
conclusion of the inquiry.
9. Final Decision
A formal grievance shall be concluded upon the issuance of a written decision by the
Commissioner or the Executive Director (if so delegated.) The written decision will include a Report of
Findings and reasons for the determination and shall be issued within seven (7) days of the completion of
the inquiry.
There is no further administrative review of a case presented under the Administrative
Grievance Procedure.
MM#3771 Issued 11/20/89; Revised
and Reissued 7/6/11.
8
MANAGEMENT SECTION 4000 CONTRACTING BRANCH - PROCUREMENT
MANUAL SUBJECT Documenting Procurements _/s/CJB___
APPROVED
SECTION 4000 CONTRACTING BRANCH - PROCUREMENT
SUBJECT Documenting Procurements
PROCEDURES
A. PROCUREMENT REQUESTS:
All requests for goods or services required for ONHIR operations will be submitted in writing to
the Contracting Branch.
1. Initiating a Procurement Request.
Requests will be submitted on a two-part Procurement Request (PR) Form. (Available in
“ONHIR Forms” on your desktop; sample attached.) With the exception of recurring requests (See No.
3) the staff member who requests the goods or services shall initiate the procurement request by filling out
the PR Form as completely as possible, depending upon the nature of the request. The PR Form must
identify the staff member who is the designated authorized receiver.
In the case of a large and/or complex procurement the requesting branch shall provide detailed
specifications and technical assistance in the form of a “Scope of Work” to the Contracting Branch. The
requesting staff member will sign the Procurement Request and obtain the necessary approvals. This may
require putting the request in the form of a Memorandum with specific details and attachments.
2. Approving a Procurement Request. The Procurement Request must be approved by the
requesting Branch Manager. In addition, the following procurements will also require the approval of the
Contracting Officer:
a. Requests for fixed assets and equipment over $1,000.00 in value,
b. Requests which will be paid from the New Lands revenues,
c. Requests which will be paid from Discretionary Funds, and
d. Requests which will be paid from Range monies. In this case, the Procurement Request
must also be approved by the New Lands Manager.
3. Recurring Requests. Requests for goods or services which are renewed annually, such as
subscriptions, maintenance contracts, utilities, advertising, blanket purchase orders, etc. will be initiated
by the Supply Management Specialist. The Specialist will develop the Procurement Request from the
Document Master List and will submit the form with a cover memo to the appropriate Branch Manager for
confirmation and approval. Renewals will be prepared annually by August first in order to be processed
by the start of the fiscal year, October first.
4. Logging the Request. After the approvals have been obtained, the requesting staff member
shall deliver the request for the Contracting Branch. Within one (1) day of receipt, the Supply
Management Specialist will log the request in the PR/PO Log and will route the request to the Contracting
Officer.
5. Review by Contracting Officer. The Contracting Officer will determine the type of
procurement action to be taken and will assign the procurement to the appropriate staff member through
MM#4000 Issued 10/3/91; Revised
and Reissued 8/8/11.
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MANAGEMENT SECTION 4000 CONTRACTING BRANCH - PROCUREMENT
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APPROVED
the Project Management Tracking System (PMTS) and assign a due date. The Officer will attach
Transmittal Form ALH7 and all related documentation to the Procurement Request. As necessary, the
Officer will enter detailed instructions in the automated PMTS System.
6. Authority to Approve Procurement. The following Contracting Branch staff members may
approve procurements up to the following limitations:
Contracting Officer - Unlimited
Contracting Specialist - $1,000,000.00
Supply Management Specialist - $3,000.00
7. Action of Finance Branch. The Finance Branch will enter the appropriate vendor and
document numbers, accounting code, and verification of funds on the transmittal form. The Finance
Branch will return the request and transmittal form to the Contracting Branch for preparation of the
appropriate procurement documents.
B. IMPAC PURCHASES:
Several members of the Office and procurement staff hold and maintain Government IMPAC (Visa)
cards. These cards may be used to make small purchases (within the individual’s limit) from local
vendors or telephone orders. All purchases are to be strictly for government uses and must be in
accordance with the Federal IMPAC regulations.
Procedure: As with any government purchase, a Procurement Request (PR) must be completed and
signed by the requesting employee. It must then be approved and forwarded to the procurement office
(Contracting Branch) via hard copy, mail, e-mail, or fax transmission for logging and final approval.
Once approved, the requesting employee will be notified and the paperwork will be returned to them for
the Impac File.
C. PURCHASE ORDERS;
General. The Supply Management Specialist will prepare a Purchase Order (PO) on Federal Form
OF 347. The following information must be included on the Purchase Order.
1. Authorized Receiver. The Purchase Order will identify the staff member who is authorized
to receive the goods or services ordered. In most or all cases the purchasing agent will be the receiver of
the goods. Other staff members will be authorized to receive and account for specific goods and services
only as specified in the original Procurement Request Form.
2. Blanket Purchase Agreements. In the case of a blanket purchase agreement, the Purchase
Order will identify the staff member (s) authorized to sign receipts. If the vendor operates more than one
outlet or location, the Purchase Order will identify the location from which the goods/services will be
obtained. The Purchase Order will be issued to the vendor with a cover letter listing staff members who
are authorized to sign receipts and the maximum amount for which they may sign.
3. Service Agreements. In the case of a Service Agreement, the Purchase Order will identify
the staff member(s) authorized to sign that service has been received.
MM#4000 Issued 10/3/91; Revised
and Reissued 8/8/11.
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MANAGEMENT SECTION 4000 CONTRACTING BRANCH - PROCUREMENT
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APPROVED
4. Amended Purchase Orders. Purchase Orders will be amended when there is a change in the
staff member authorized to receive goods or services such as a change in personnel through hiring,
transfer or resignation. Purchase Orders may also be amended when there is an approved increase in the
amount of funds obligated for the procurement.
5. Tax and Shipping Costs. The Supply Management Specialist will enter the amount of tax
and shipping costs (if applicable) on the Purchase Order if known. If unknown, the Purchase Order will
state: “Plus applicable taxes and shipping costs.”
6. Additional Information. The Supply Management Specialist will enter the vendor’s phone
number, including the area code, in the vendor address block. The Specialist will also enter any additional
necessary information including FOB origin, FOB destination, any discount terms available, etc.
Contracts and Purchase Orders for personal services will also include the or employer ID number.
The payment address should be included if it is different from the vendor’s address.
7. Utility Purchase Orders. The Supply Management Specialist will contact the appropriate
staff member to obtain meter numbers for utilities. The meter numbers will be entered on the Purchase
Order. The Specialist will prepare Purchase Order Amendments for any new meters which are added to
the system after the procurement renewal is issued. If the meter number is not known when the
amendment is prepared, a location will be used to identify the meter. When the procurement renewal is
prepared the following year, the new meter number will be added to the Purchase Order.
8. Confirmation Purchase Orders. In the event that a vendor will accept a telephone order on
the condition that it will be followed by a written Purchase Order, the Supply Management Specialist will
mark the Purchase Order “Confirmation Order - Do Not Duplicate.”
9. Approval of Purchase Orders. When the Supply Management Specialist has completed
preparing the Purchase Order it will be submitted to the appropriate Contracting Branch staff member for
review and approval. The reviewing official will verify, at a minimum, that the following information is
included and is correct:
* Purchase order number, vendor number, and document number.
* Vendor address and telephone number.
* Items or services being ordered.
* Identity of authorized receiver (s).
* Tax and shipping, if applicable.
* Period of service or latest acceptable date of delivery.
* Signature of Contracting Branch Official.
* FOB point.
* Mathematical accuracy of totals.
* “Confirming Purchase Order” if items have already been sent.
* Purchase orders for advertising will specify that tear sheets will be included with the
invoices.
10. Distribution of Purchase Order. After the appropriate Contracting Branch official has
approved the Purchase Order the Supply Management Specialist will distribute copies of the form as
follows: a. The original copies will be issued to the vendor, ordering department, and Finance Branch.
MM#4000 Issued 10/3/91; Revised
and Reissued 8/8/11.
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MANAGEMENT SECTION 4000 CONTRACTING BRANCH - PROCUREMENT
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APPROVED
D. RECEIVING REPORTS.
General. Only the employee who is the designated authorized receiver should accept delivery of an
item. The authorized receiver for the item(s) will maintain the pink copy of the Purchase Order in a
running manual file until the items ordered are received by the Office. When the Office receives delivery
of equipment and/or supplies the employee will use the back of the pink copy as the receiving report. The
employee who receives delivery will perform the following actions.
1. Accepting Delivery. The employee will examine the items delivered and/or inspect the
services performed and determine whether or not to accept delivery. If the delivery is accepted the
employee will sign the bottom of the freight bill and the back of the receiving copy. If the employee
accepts the delivery but notes damage to the items or any discrepancy with the delivery instructions set
forth in the Purchase Order the employee will describe the problem by writing on the back of the pink
copy of the Purchase Order and also on the freight bill.
2. Routing the Receiving Documents to the Finance Branch. After accepting delivery and
completing the receiving report, the employee will staple the freight bill and packing slip if any to the
copy of the Purchase Order. These documents will be routed or mailed to the Finance Branch by the close
of business on the day the item(s) are received.
3. Blanket Purchase Orders. On Blanket Purchase Orders the signature of an authorized receiver
on the vendor’s invoice will constitute the receiving report. The employee must write “Received by”
before their signature and the date. The pink copy may be retained by the branch requesting the
procurement until the fiscal year has ended or the contract is final.
MM#4000 Issued 10/3/91; Revised
and Reissued 8/8/11.
4
MANAGEMENT SECTION 4000 CONTRACTING BRANCH - PROCUREMENT
MANUAL SUBJECT 4100 Major Duties of Key Procurement __/s/CJB__
Staff APPROVED
SECTION 4000 CONTRACTING BRANCH - PROCUREMENT
SUBJECT 4100 Major Duties of Key Procurement Staff
AUTHORITY
POLICY
The purpose of this section is to describe the internal procedures by which ONHIR procures
goods and services. These procedures do NOT supplant 42 CFR and the Federal Acquisition Regulations
(FAR.) Office staff who have procurement responsibilities must familiarize themselves with all federal
laws and acquisition regulations which apply to their duties.
This section focuses on the division of responsibilities of key procurement staff, lines of authority
and communication within the Office, and how branches and specific staff interface in the procurement
process.
4110 Contracting Officer (CO.)
Unless another staff member is designated in writing by the Executive Director, the Contracting
Officer serves as the lead person on all procurements. The duties and authorities of the Contracting
Officer are set forth below:
* Has the sole responsibility among Office staff to obligate ONHIR in procurement matters.
Accordingly, the Contracting Officer signs all contracts on behalf of the Office unless the
Officer delegates authority to the Contract Specialist to sign contracts which do not exceed
a specified dollar amount.
* Approves change orders, task orders, and contract amendments which change the amount
of the contract price.
* Appoints the Contracting Officer’s representative for each contract.
* Reviews and approves periodic progress and financial reports submitted by the contractor
and Office staff.
* Is ultimately responsible for ensuring that both the Office and the contractor comply with
the provisions of the contracts and with applicable federal laws and regulations.
* Has the sole authority within the Office to terminate a contract.
* Supervises the Contract Specialist and the Supply Management Specialist in the day-to-
day administration of contracts and other acquisitions.
* Negotiates contracts as necessary and is involved in resolving problematic situations.
* Consults with and provides direction to Office staff in their respective duties in contract
administration.
MM#4100 Issued 1/16/90 Revised
and Reissued 8/8/11.
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MANAGEMENT SECTION 4000 CONTRACTING BRANCH - PROCUREMENT
MANUAL SUBJECT 4100 Major Duties of Key Procurement __/s/CJB__
Staff APPROVED
The Contracting Officer may delegate any of the above responsibilities with commensurate
authority except as prohibited by the FAR.
4120 Contract Specialist.
The Contract Specialist oversees and coordinates the daily administration and management of
contracts according to the responsibilities listed below and as delegated by the Contracting Officer.
* Writes or arranges for the writing of bid documents, contract narratives and provisions,
change orders, task orders, and amendments. Additionally, the Specialist may draft related
correspondence for signature by higher authorities.
* Compiles progress information and financial data for each contract and prepares a monthly
report for the Office.
* Maintains official contract files.
* Directly supervises the Contracting Officer’s Representatives (COR) in the performance of
the COR’s duties.
* Coordinates periodic staffings to review the status of contracts.
* Approves invoices for payment of amounts not to exceed delegated warrant levels.
Recommends action to the Contracting Officer on invoices which exceed that amount.
* Reviews reports from the CORs and the contractor and recommends appropriate action to
the Contracting Officer unless the Contract Specialist has delegated approval authority.
* Coordinates all phases of contract acquisition, including advertisement, bid opening,
negotiations, and pre and post award conferences.
* Ensures the sound management of all contracts. Immediately reports to the Contracting
Officer any serious problems which require the Contracting Officer’s attention.
4130 Supply Management Specialist.
The Supply Management Specialist is responsible for all procurements not exceeding the micro-
purchase dollar threshold. The Specialist also researches the best method of procurement, arranges for
advertisement, and prepares Purchase Orders, renewals, etc.
The Specialist assists in the review of procurements which exceed the micro-purchase dollar level
and may assist in drafting scopes of work and special conditions. The Specialist may participate in post-
award conferences, contract status reviews, and special meetings with the CORs.
4140 Contracting Officer’s Technical Representative (COR.)
The COR reports to the Contracting Officer in his/her capacity as the Contracting Officer’s
technical representative. The Contracting Officer appoints the COR from office staff unless the required
MM#4100 Issued 1/16/90 Revised
and Reissued 8/8/11.
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MANAGEMENT SECTION 4000 CONTRACTING BRANCH - PROCUREMENT
MANUAL SUBJECT 4100 Major Duties of Key Procurement __/s/CJB__
Staff APPROVED
expertise is available only from an individual from another agency, in which case the Contracting Officer
makes appropriate arrangements. The duties of the COR, as set forth below, are technical and advisory
in nature.
* Monitors the technical aspects of the contractor’s work in accordance with the
specifications.
* Informs the contractor of work which does not conform to specifications. Reports any
violations to the Contracting Officer immediately.
* Submits periodic contract status reports to the Contracting officer per a pre-determined
schedule.
* Reviews invoices for accuracy and recommends action by the Contracting Officer.
* Analyzes and interprets technical details of all contract documents, including primary
specifications, change orders, task orders, and amendments.
* Maintains detailed records of all contacts with the contractor. Records observations of
work in progress.
* Has authority to stop work only under exceptional circumstances such as matters of life or
death or where costly errors are occurring. Otherwise, the Contracting Officer or the
Contract Specialist are responsible for issuing Stop Orders.
* Participates in periodic staffings to review the status of the contract.
4150 Finance Officer.
The Finance Officer reports directly to the Contracting Officer rather than to subordinate
Contracting Branch staff. The Officer’s basic duties with respect to contracting are as follows:
* Maintains a full set of financial records according to GAAP.
* Prepares periodic financial reports on each contract and submits them to the Contracting
Officer.
* Analyzes financial reports and advises the Contracting Officer on potential budget
problems.
* Processes payments to the contractor.
* Serves as the Office consultant in the evaluation of the contractor’s accounting system.
* Participates in Contract Status Reviews as needed.
MM#4100 Issued 1/16/90 Revised
and Reissued 8/8/11.
3
MANAGEMENT SECTION 4000 CONTRACTING BRANCH - PROCUREMENT
MANUAL SUBJECT 4200 Acquisition Planning __/s/CJB__
APPROVED
SECTION 4000 CONTRACTING BRANCH - PROCUREMENT
SUBJECT 4200 Acquisition Planning
AUTHORITY
POLICY
Acquisition planning is a process by which the efforts of all personnel responsible for an
acquisition are coordinated and integrated through a comprehensive plan for fulfilling the Office’s need
in a timely manner and at a reasonable cost.
Acquisition planning may occur at any level of a procurement matter from small, simple
acquisitions to costly and complex procurement actions. For high level procurements formal written
acquisition plans may be initiated by the Contracting Officer who may designate a procurement staff
member as the acquisition planner for a specific project. The written plan should follow the elements
described in the Federal Acquisition Regulations, as applicable to the project.
Less formalized acquisition planning may be accomplished for minor procurements through
discussions between procurement staff and the requesting branch. The Contract Specialist shall meet at
least annually, preferably at the beginning of the fiscal year, with Office Branch Managers and should
discuss projected acquisition needs. The Contract Specialist should review the nature of the
procurement, the target date, approximate cost and special features or technical requirements, property or
services to be acquired. The Contract Specialist may, as needed, assist the requiring branch in
completing a requisition for the desired goods or services.
The Contract Specialist shall summarize the anticipated acquisition needs of each branch in the
form of a written report to the Contracting Officer for fiscal management purposes.
Effectively done, acquisition planning will enable the Office to:
* Acquire quality goods and services in a timely manner,
* Comply with Government procurement regulations, and
* Save agency funds.
MM#4200 Issued 1/16/90 Revised
and Reissued 8/8/11.
1
MANAGEMENT SECTION 4000 CONTRACTING BRANCH - PROCUREMENT
MANUAL SUBJECT 4300 Small Purchases _/s/CJB__
APPROVED
SECTION 4000 CONTRACTING BRANCH - PROCUREMENT
SUBJECT 4300 Micro Purchases / Small Purchases
(Less than $3,000.00)
AUTHORITY
POLICY
All requisitions, when required by the amount, cost or availability of the items to be ordered, must
be submitted first to the Supply Management Specialist who reviews the requisition for detail and
completeness. The Specialist may return the requisition to the ordering branch if more information is
required.
A requisition for supplies and/or services is required from the ordering branch for all orders
except for trivial amounts of expendable in-stock supplies, such as a few pens, pencils, pads of paper, or
staples, etc. The Supply Management Specialist has discretion as to when a requisition is required for
small orders.
The employee must sign for the receipt of all supplies and equipment even if no requisition was
submitted. An “Expendable Item Issue Form” shall be kept by the Specialist for the issuance of small
amounts of supplies. The procedure for the receipt of other types of property are described these
procedures.
Since this Office is statutorily required to adhere to the Federal Acquisitions (FAR) micro and
small purchases shall be accomplished in accordance with the procedures set forth in Part 13 of the
FAR, “Simplified Acquisition Procedures.”
4310 Estimated Cost of Less than $3,000.00.
The Supply Management Specialist routes the completed requisition, documentation or quotes
along with any other pertinent information to the Contract Specialist for approval. The Contract
Specialist may consult with the Contracting Officer if further direction is required.
Upon the approval of the Contracting Officer, and/or the Contract Specialist, the Supply
Management Specialist shall prepare a Purchase Order, GSA Requisition, or arrange for the purchase
under a blanket purchase agreement (BPA) or under the IMPAC Card Program. The ordering document
may be signed by the Contract Specialist or the Contracting Officer.
The Supply Management Specialist routes the completed requisition to the Contract Specialist
who determines if the order is adequately justified.
The Supply Management Specialist may consult with the Contract Specialist if the item in
question seems superfluous or luxurious. Otherwise, the Specialist has authority for orders within this
price range.
MM#4300 Issued 1/16/90 Revised
and Reissued 8/8/11.
1
MANAGEMENT SECTION 4000 CONTRACTING BRANCH - PROCUREMENT
MANUAL SUBJECT 4300 Small Purchases _/s/CJB__
APPROVED
The Supply Management Specialist may solicit quotes. Once the procurement process is
completed the Specialist will prepare a Purchase Order for signature by the Contract Specialist or the
Contracting Officer.
If the order is disapproved, the Supply Management Specialist will provide the ordering branch
with a detailed written explanation of the reason for the denial. The requesting branch may appeal the
denial to the Contract Specialist.
4320 Estimated Cost of More than $3,000 but less than $150,000.
The Supply Management Specialist will route the completed requisition to the Contract Specialist
who in turn will prepare a written recommendation as to disposition. The Contract Specialist shall have
authority for orders within this cost range but may consult with the Contracting Officer if further
direction is required.
Upon approval, the Contract Specialist shall route the requisition to the Supply Management
Specialist who will process the procurement up to the juncture at which the Office enters into a verbal
agreement with a vendor or issues a Purchase Order. At such time the Supply Management Specialist
will forward the completed, unsigned Purchase Order, with all quotation documentation, to the Contract
Specialist for final approval.
The Contracting Officer or the Contract Specialist will sign the Purchase Order and route it to the
Supply Management Specialist who will complete the procurement process.
4330 Budgetary Considerations.
On a monthly basis the Finance Officer shall provide the Contracting Branch with a schedule
reflecting the amount of funds available for supplies, equipment, and services. This schedule will
include the amount budgeted, expended, encumbered and forecasted for the balance of the fiscal year.
The Contracting Officer and Contract Specialist will consider this information before approving any
requisition.
At any time during the fiscal year the Contracting Officer may issue special instructions in
writing to the Contract Specialist and the Supply Management Specialist regarding the availability of
funds. Such instructions may include cost limitations on pending or future purchases, a requirement of
consultation and special approval of the Finance Officer and/or a freeze on the purchase of specific
classes of property.
MM#4300 Issued 1/16/90 Revised
and Reissued 8/8/11.
2
MANAGEMENT SECTION 4000 CONTRACTING BRANCH - PROCUREMENT
MANUAL SUBJECT 4400 Major Procurements _/s/CJB__
APPROVED
SECTION 4000 CONTRACTING BRANCH - PROCUREMENT
SUBJECT 4400 Major Procurements
AUTHORITY
POLICY
A major procurement is any ONHIR procurement for supplies and/or services that exceeds the sum
of $30,000.00 in the estimated or actual contract price. All such procurements shall be managed in
accordance with Parts 1, 14, and 15 of the Federal Acquisition Regulations (FAR.)
The FAR specifies procedures designed to maximize competition among prospective contractors
regardless of whether the procurement is performed by formal advertising or by negotiation. In the case
of a noncompetitive negotiated contract the Contracting Officer shall strictly adhere to Part 15.105 of the
FAR to enhance the possibility of the contract being let competitively in the future.
1. Selection of the Procurement Method.
The Contract Specialist shall analyze each acquisition plan or alternative procurement proposal to
determine the appropriate procurement method. The Specialist will prepare a comprehensive written
recommendation to the Contracting Officer as to the use or formal advertising or negotiation, with
applicable citations from the FAR and determinations and findings if needed.
2. Preparation of the Solicitation Documents.
The Contract Specialist will prepare, using other qualified ONHIR staff as necessary, the
“Invitation for Bid or Request for Proposals,” in accordance with Parts 5, 6, 14. 101, 14.2, and 15 of the
FAR. The Contracting Officer will have final approval authority over all solicitation documents.
The “Invitation for Bid or Request for Proposal,” will be prepared on Form SF-33 when
applicable, and shall contain a clear, concise, accurate and complete description of the supplies or
services to be procured. All pertinent clauses, certifications, and representations shall be attached or
incorporated by reference as appropriate. No solicitation document shall be written in a manner that may
unduly restrict competition.
The Contract Specialist shall synopsize the proposed contract in a form consistent with Part 5.207
of the FAR.
When in the best interests of the government and the ONHIR, the Contracting Officer may
authorize the use of newspaper advertising or other media announcements to publicize proposed
contracts.
3. Dissemination of Solicitation Documents.
The Contract Specialist shall, upon written request by an interested party, send such party a
complete solicitation. The written request and copies of the cover letter generated by the Contract
Specialist shall be placed in the solicitation file for that procurement.
MM#4400 Issued 1/16/90 Revised
and Reissued 8/8/11.
1
MANAGEMENT SECTION 4000 CONTRACTING BRANCH - PROCUREMENT
MANUAL SUBJECT 4400 Major Procurements _/s/CJB__
APPROVED
4. Receipt of Solicitation Documents.
The Contract Specialist will inform administrative support staff of the anticipated receipt of
solicitation packages. The Specialist shall also instruct staff as to the proper handling and routing of the
documents.
Despite the fact that solicitation packages should be clearly labeled per the solicitation instructions
clerical staff should be alerted to avoid the accidental opening or mis-routing of bid/proposal envelopes.
The Contract Specialist shall secure, under lock and key, all solicitation packages until the time
and date of opening. The Specialist is directly responsible for the safekeeping of all solicitation
documents.
5. Opening the Solicitation Documents.
The Contract Specialist is in charge of the Opening of offers but shall have two other ONHIR
employees, including at least one other procurement staff member, assist in the Opening.
The Opening shall conform to the requirement for sealed bids set forth in Part 14.402 of the FAR.
MM#4400 Issued 1/16/90 Revised
and Reissued 8/8/11.
2
MANAGEMENT SECTION 4000 CONTRACTING BRANCH - PROCUREMENT
MANUAL SUBJECT 4500 Contract Administration __/s/CJB__
APPROVED
SECTION 4000 CONTRACTING BRANCH - PROCUREMENT
SUBJECT 4500 Contract Administration
AUTHORITY
POLICY
The Federal Acquisition Regulations (FAR) contain explicit requirements, primarily described in
Part 42, for the efficient and effective administration of Government contracts. Since the ONHIR is
obligated to adhere to the FAR, all ONHIR employees who have contract administration responsibilities
must thoroughly familiarize themselves with and follow those pertinent sections with contract
documents.
The Contracting Officer and the Contract Specialist are the principal contracting staff persons
responsible for the day-to-day contract administration, albeit the ultimate responsibility rests with the
Contracting Officer. The Contract Specialist is provided assistance by the Contract Officer’s
Representative (COR) who is appointed by the Contract Officer on each contract.
The importance of effective contract administration cannot be over emphasized. The most well
written contract documents are rendered useless when not soundly managed.
1. Appointment of Contracting Officer’s Representative (COR.)
The Contracting Officer will appoint by letter a Contracting Officer’s Representative for each
contract. While the appointment is not official until the execution of the contract, an informal
designation may be made in anticipation of the contract award to utilize the technical expertise of the
COR during acquisition planning, bid preparation and evaluation of offer.
2. Orientation of Contracting Officer’s Representative.
The Contracting Officer and/or the Contract Specialist shall conduct, when necessary, an
orientation for the Contracting Officer’s Representative. The orientation shall consist of a
comprehensive review of all contract documents, including solicitation documents, technical
specifications, general provisions and special conditions. Knowledge of boiler-plate material should not
be taken for granted.
Essentially, the goal of the orientation is to provide the Contracting Officer’s Representative with
a complete and accurate understanding of:
* What the contractor is obligated to perform or deliver,
* When and how the tasks described in the contract are to be completed; and
*The scope of authority and the responsibility of the Contracting Officer’s Representative
in administering the contract.
MM#4500 Issued 1/16/90 Revised
and Reissued 8/8/11.
1
MANAGEMENT SECTION 4000 CONTRACTING BRANCH - PROCUREMENT
MANUAL SUBJECT 4500 Contract Administration __/s/CJB__
APPROVED
3. Post -Award Conference.
The Contracting Officer shall convene a Post-Award Conference as soon as practicable subsequent
to the award of the contract but in no case after the effective date of the contract.
The conference shall be conducted according to Part 42.5 of the FAR. Unless exceptional
circumstances prevail, the Contracting Officer shall conduct the conference with the assistance of
Contracting Branch staff and the Contracting Officer’s Representative. A formal report of the
conference proceedings shall be prepared and distributed to all interested parties and filed in the contract
file.
The Contracting Officer may waive the requirement for a Post-Award conference if the Office’s
prior experience with the contractor indicates the conference would serve no useful purpose.
4. Contract Status Review.
The Contract Specialist shall establish a schedule for periodic meetings to review the status of
each contract. These meetings shall be conducted monthly, quarterly, semi-annually, or convened as
necessary, dependent upon the anticipated or actual performance of the contractor.
The purpose of the meetings is to discuss progress, problems and issues related to the contract.
The Contract Specialist shall prepare minutes of these proceedings and distribute them to them as well as
placing a copy in the contract file.
The Contract Specialist may include in these meetings any ONHIR staff member or contractor’s
personnel whose participation would contribute to the meetings.
5. Monitoring Plan.
The Contract Specialist and the Contracting Officer’s Representative will create a Monitoring Plan
to outline a specific schedule and list of tasks to ensure that the Contracting Officer’s Representative has
a systematic approach to monitor the contractor’s performance. The contract scope of work and key
provisions shall be incorporated in the plan.
6. Contracting Officer’s Representative Reports.
The Contracting Officer’s Representative will submit a “Contract Status Report,” Form
MM#4500.1, monthly to the Contract Specialist. This report will provide the Contract Specialist with
information concerning the contractor’s progress and set forth any problems encountered. The report
will also incorporate a sign-off line for the Contracting Officer’s Representative to approve or disapprove
the contractor’s invoice, a copy of which must be attached to the report.
The Contract Specialist will review the report and invoice and route both documents to the
Contracting Officer for final approval, unless the Contracting Officer has delegated final approval
authority to the Contract Specialist.
After final approval by the Contracting Branch staff, the report and invoice shall be routed to the
Finance Officer for processing of payment.
MM#4500 Issued 1/16/90 Revised
and Reissued 8/8/11.
2
MANAGEMENT SECTION 4000 CONTRACTING BRANCH - PROCUREMENT
MANUAL SUBJECT 4500 Contract Administration __/s/CJB__
APPROVED
7. Contracting Officer’s Technical Contract Monitoring.
In accordance with the Monitoring Plan the Contracting Officer’s Representative shall monitor the
contractor’s performance to ensure the contractor’s compliance with the terms and provisions of the
contract. However, the Contracting Officer’s Representative should not hesitate to deviate from the
Monitoring Plan if unusual circumstances dictate.
The Contracting Officer’s Representative shall fully and timely inform the Contracting Officer of
any problems with the contract, either verbally or via the Contract Status Report. The Contracting
Office’s Representative should not delay reporting a serious problem until the monthly reporting cycle if
a serious problem develops but should immediately verbally inform the Contracting Officer of the
problem and follow up promptly with a written report.
Examples of problems the Contracting Officer’s Representative should carefully watch for are: (1)
Failure to meet time lines in performing the work. (2) Failure to meet reporting deadlines. (3) Faulty
workmanship or defective products. (4) Failure to hire key staff. (5) Excessive turnover in personnel. (6)
Lack of compliance with the contract terms and conditions.
The Contracting Officer’s Representative is responsible for making every effort to assure the
contractor’s adherence to the contract. To this end, the Contracting Officer’s Representative should
address minor issues before they become major concerns.
The professional relationship between the Contracting Officer’s Representative and the contractor
can either enhance or impede the Representative’s efforts to elicit compliance. The Contracting
Officer’s Representative should establish a rapport with the contractor which is based upon open
communication and a mutual interest in accomplishing the work. The Contracting Officer’s
Representative shall absolutely avoid becoming involved with the contractor in a way that could be
construed as a conflict of interest.
A major responsibility of the Contracting Officer’s Representative is to interpret the contract
documents for the contractor. In this capacity the Contracting Officer’s Representative must exercise
caution to avoid making interpretations within the scope of work which would result in an inadvertent
(i.e. “Constructive”) change in the service and product specifications and/or the contract price.
The Contract Specialist shall ensure that the Contracting Officer’s Representative keeps informed
of contracting activities through inspections, site visits, or any other appropriate means of gathering
information. If the Contract Specialist determines that the Contracting Officer’s Representative is not
sufficiently informed of the contractor’s performance, the Contract Specialist should review and revise
the Monitoring Plan and ascertain if the Contracting Officer’s Representative is willing and/or able to
effectively monitor the contract.
The Contract Specialist shall promptly report to the Contracting Officer when it is not appropriate
for the Contracting Officer’s Representative to continue in that capacity. At the discretion of the
Contracting Officer, a new Contracting Officer’s Representative may then be appointed.
The Contract Specialist shall provide the Contracting Officer’s Representative with instructions,
guidance, and discretion in the monitoring of the contract. The Contract Specialist must be accessible to
the Contracting Officer’s Representative when contractual problems arise and decisions are needed. The
MM#4500 Issued 1/16/90 Revised
and Reissued 8/8/11.
3
MANAGEMENT SECTION 4000 CONTRACTING BRANCH - PROCUREMENT
MANUAL SUBJECT 4500 Contract Administration __/s/CJB__
APPROVED
Contract Specialist should promptly refer to the Contracting Officer any situation beyond the Contract
Specialist’s scope of authority, responsibility, or level of training.
8. Verbal Instructions to the Contractor.
Contract Branch staff and the Contracting Officer’s Representative shall endeavor to provide only
written instructions to the contractor. However, due to extraordinary circumstances, it may be necessary
to verbally instruct the contractor of an interpretation of the contract documents or to make changes
within the scope or amount of work.
Any verbal instructions to the contractor shall be documented within two (2) working days in a
letter to the contractor which describes in detail the verbal directions given. Copies of the letter shall be
distributed to all interested parties and placed in the contract file.
The Contracting Officer may rescind the actions of any other procurement official or the
Contracting Officer’s Representative if the Officer determines that it is in the best interests of the
Government to do so. All such recisions shall be addressed in writing to the contractor with the
appropriate distribution of copies.
MM#4500 Issued 1/16/90 Revised
and Reissued 8/8/11.
4
MANAGEMENT SECTION 4000 CONTRACTING BRANCH - PROCUREMENT
MANUAL SUBJECT 4600 Contract Files __/s/CJB__
APPROVED
SECTION 4000 CONTRACTING BRANCH -PROCUREMENT
SUBJECT 4600 Contract Files
AUTHORITY
POLICY
In accordance with the regulations and procedures set forth in the Federal Acquisition Regulations,
(FAR) Part 4.8, this Office has established and maintained a comprehensive filing system to ensure that
all contracting activities are properly documented and that records are easily accessible to principal users.
Due to the small size and staffing pattern of the Office the number and type of official files for
each contract have been consolidated. Contracting Branch staff have developed their own working files
as needed for immediate accessibility of the key contract documents.
An individual “working file” may be kept on each contract or task order for major procurements.
Individual vendor files may also be kept on small purchases. All official contract files are physically
located in the Finance Branch Office.
The Contract Specialist is responsible for the accuracy, completeness, and security of the files and
shall promptly report to the Contracting Officer any evidence of tampering, loss or damage to the files.
1. Contents.
Each contract file shall contain the documents listed in Part 4.8 of the FAR as applicable.
Particular attention shall be given to recording actions taken by Contracting Branch staff, especially
those actions which deviate or appear to deviate from the contract terms and conditions or federal
regulations.
2. Organization.
The file folder shall be durable; a six part classification folder that is uniformly divided so that the
same type of information is kept in the same section of the folder for each contract.
3. Working Files.
Contracting Branch staff are encouraged to keep informal working files on contracts immediately
accessible to them for immediate consultation. If such files are kept, the employee is cautioned not to use
the working file as a substitute for the filing of official contract documents.
The Supply Management Specialist will maintain working files on vendors for small purchases and
for property acquired through federal sources. These files will be used for tracking acquisitions,
monitoring purchases, and for reference in placing future orders.
MM#4600 Issued1/16/90; Revised/
Reissued 8/8/11.
1
MANAGEMENT SECTION 4000 CONTRACTING BRANCH -PROCUREMENT
MANUAL SUBJECT 4800 Prohibition Against Illegal Activities _/s/CJB__
APPROVED
SECTION 4000 CONTRACTING BRANCH - PROCUREMENT
SUBJECT 4800 Prohibition Against Illegal Activities
AUTHORITY
POLICY
The Contracting Officer shall review all proposed contracts to determine if the potential for
problems, misunderstandings, or misinterpretations exists within the contract “Scope of Work” which
may in inadvertently lead to prohibited activities on the part of the contractor. If the Contracting Officer
determines that any such potential for wrongdoing exists, the Officer shall draw the contractor’s attention
to the issues and shall fully explain the parameters within which the contractor must work. Furthermore,
the Contracting Officer shall insert into any such contract a clause which.....
* Clarifies the legal parameters of the work.
* Admonishes the contractor not to engage in prohibited activities.
* States the consequences for engaging in prohibited activities.
MM#4800 I s s u e d 1 / 1 6 / 9 0 ;
R e v i s e d / R e i s s u e d
8/8/11.
1
MANAGEMENT SECTION 5000 CONTRACTING BRANCH -PERSONAL
PROPERTY MANAGEMENT
MANUAL SUBJECT 5100 Major Responsibilities of Staff __/s/CJB___
APPROVED
SECTION 5000 CONTRACTING BRANCH -
PERSONAL PROPERTY MANAGEMENT
SUBJECT 5100 Personal Property Management Procedures
Subsection: Major Responsibilities of Staff Involved in Personal Property
Management
AUTHORITY:
The authority for the development and issuance of these procedures is set forth in 41 CFR
Chapter, 114-60.100, “Supplemental Regulations,” and in 31 U.S.C. 66a, which direct agencies to
establish regulations for the proper implementation of Federal Property Management Regulations.
(IPMR).
POLICY
The purpose of this section is to describe policies and procedures for the management of personal
property under the control of the Office of Navajo and Hopi Indian Relocation (ONHIR.) These policies
and procedures are in conformance with the federal regulations and law as cited in Section I herein.
1. Contracting Officer (CO.)
* Supervises all Contracting Branch (Procurement) staff.
* Approves final disposition/acquisition of excess property.
* Reviews internal audits and recommends action to the Executive Director if necessary.
* Has oversight responsibility for the property management system.
2. Contract Specialist.
* Supervises the Supply Management Specialist.
* Serves as the Accountable Officer for the Office.
* Approves the issuance to staff of non-expendable property already in stock and having a
purchase value of greater than $1,000.00.
* Reviews property accounting records for accuracy, completeness, and timeliness no less
than annually.
* Coordinates the disposition/acquisition of excess property.
MM#5100 Issued 1/16/90; Revised
and Reissued 8/8/11.
1
MANAGEMENT SECTION 5000 CONTRACTING BRANCH -PERSONAL
PROPERTY MANAGEMENT
MANUAL SUBJECT 5100 Major Responsibilities of Staff __/s/CJB___
APPROVED
3. Supply Management Specialist.
* Analyzes property management needs and recommends alternatives to the Contract
Specialist.
* Evaluates unassigned and potentially excess property and makes recommendations to the
Contract Specialist for disposal or retention.
* Maintains lists of unassigned property to avoid the procurement of property which is
already in stock.
* Maintains adequate on-going stocks of frequently used consumable supplies.
* Implements the inventory system of office supplies, furniture, electronic equipment, and
other types of property.
* Is responsible for vehicle fleet management, including dispatching, servicing and repair,
the submission of GSA Reports, accident reports, and determining the need for new or
additional units.
* Receives deliveries/shipments of property. Checks condition, quantity, size, color, etc.
against the packing slip, Purchase Order, and invoice.
4. Contracting Officer’s Representative (COR.)
* Monitors contractor’s use of government property and reports any misuse, abuse or loss to
the Contracting Officer.
* Makes recommendations to the Contracting Officer as to the appropriate action to be taken
on requests from contractors to be assigned government property.
5. Finance Officer.
* Is responsible for all financial transactions and record keeping relating to the purchase of
personal property.
MM#5100 Issued 1/16/90; Revised
and Reissued 8/8/11.
2
MANAGEMENT SECTION 5000 CONTRACTING BRANCH -PERSONAL PROPERTY
MANAGEMENT
MANUAL SUBJECT 5200 Use of Government Property Restricted to ___/s/CJB___
Official Business APPROVED
SECTION 5000 PROCUREMENT PROCEDURES
SUBJECT 5200 Use of Government Property Restricted to Official Purposes
AUTHORITY
POLICY
No Officer or employee of the Office of Navajo and Hopi Indian Relocation shall use or authorize
the use of Government property for other than official purposes. If an employee loses or damages
government property while using it for personal reasons or is grossly negligent, that employee will be
held financially liable for the repair or replacement of the property, the cost of which shall be determined
by the Government.
In addition to financial responsibility, the employee is also subject to disciplinary action.
MM#5200 Issued 1/16/90; Revised
and Reissued 8/8/11.
1
MANAGEMENT SECTION 5000 CONTRACTING BRANCH -PERSONAL PROPERTY
MANUAL MANAGEMENT
SUBJECT 5240 Use of Government Property - Government Vehicles
_/s/CJB__
APPROVED
SECTION 5000 CONTRACTING BRANCH - PERSONAL PROPERTY
MANAGEMENT
SUBJECT 5200 USE OF GOVERNMENT PROPERTY
SUBHEADING 5240 Government Vehicles
The vehicles available to the ONHIR program staff for official travel and the performance of
official duties include both vehicles leased from the General Services Administration (GSA) and vehicles
purchased by the Office. The ONHIR Supply Management Specialist is responsible for defining and
administering internal Office procedures for vehicle use consistent with applicable GSA requirements.
Regardless of the amount of damage all motor vehicle accidents and all other incidents involving
Federally owned or leased vehicles will be investigated and reported on by a Board of Review.
5241 Requirements for Drivers.
General. All drivers must possess a valid state driver’s license and a Government driver’s license
issued by the ONHIR.
1. Reporting Citations. All citations, including parking tickets, received during the operation
of a government vehicle must be reported to the Supply Management Specialist within two working days
of receipt.
2. Reporting Suspension of License. An employee whose driver’s license has been suspended
by the State must report it to the Supply Management Specialist as soon as the employee learns of the
suspension. Failure to report the suspension of a license may result in disciplinary action.
3. Verification of Driving Record. The Supply Management Specialist will contact the
Arizona Department of Motor Vehicles to obtain a history on the driving records of agency employees
and verify the status of their driver’s licenses. This in no way eliminates the requirement of the
employee to inform the ONHIR of the suspension of their driver’s license as set forth in #2 above.
5242 Permanently Assigned Vehicles.
General. Certain positions within the Office require extensive travel or require a vehicle in the
performance of the job duties. Government vehicles may be permanently assigned to staff members
holding these positions.
1. Request/Approval of Permanent Vehicle Assignment, The Branch Manager should first
discuss the need for a permanent vehicle assignment with the Executive Director. The Supply
Management Specialist may be required to obtain specifications on vehicles which will meet job
requirements. After an informal agreement has been reached regarding a permanent vehicle assignment,
the Branch Manager will confirm the request by submitting a Procurement Request for the approval of
the Executive Director. The Procurement Request must describe specifically the type of vehicle needed
and the nature of the anticipated use.
MM#5240 Issued 11/2/92; Revised and
Reissued 1/25/93; 7/19/96;
8/8/11.
1
MANAGEMENT SECTION 5000 CONTRACTING BRANCH -PERSONAL PROPERTY
MANUAL MANAGEMENT
SUBJECT 5240 Use of Government Property - Government Vehicles
_/s/CJB__
APPROVED
2. Assignment of Vehicle. Based upon the requirements stated in the Procurement Request,
the Supply Management Specialist will assign a vehicle from the motor pool or will obtain a vehicle as
directed to do so by the Contracting Officer. The Specialist will equip the vehicle as required for the
performance of the job duties.
3. General Requirements for a Permanent Assignment. The responsibilities associated with a
permanent vehicle assignment are the same as for vehicles checked out from the loan pool, with the
following minor exceptions.
a. Vehicle Dispatch and Trip Report. The employee will complete the trip report daily and
turn in the completed report at the end of each week. Gas receipts must be stapled to the
upper left corner of the report.
b. Cleaning the Vehicle. The driver who is permanently assigned to the vehicle is
responsible for cleaning the interior/exterior of the vehicle. Two car washes, not to exceed
$30.00 for a van/truck and $20.00 for a sedan per month are allowed. Drivers with a
Sanders or Chambers duty station are responsible for washing the vehicles as needed.
5243 Office Loan Pool Vehicle Check-Out Procedures.
The ONHIR maintains a loan pool from which staff members who do not require a permanently
assigned vehicle can check out vehicles on an as needed basis.
1. .Request for Vehicle Assignment. A staff member who needs to use an agency vehicle for
travel to and from an official assignment will complete Form MM#5240.1, “Vehicle Reservation Form,”
as soon as the employee identifies the need for a vehicle. The Vehicle Reservation Form is available on
the employee’s Desktop or can be obtained from the Supply Management Specialist.
2. Vehicle Reservation Form. The staff member must provide the following information on
the Vehicle Reservation Form.
a. Name of the staff member requesting the vehicle.
b. Date the request is submitted.
c. The type of vehicle required: highway or high clearance and/or 4-Wheel drive. If the staff
member is unsure what type of vehicle is appropriate, the Supply Management Specialist
will advise the employee.
d. If the vehicle will be used for travel to several locations each destination should be listed
on the request form.
e. The staff member will note the departure date and time on the request form along with
indicating whether the departure hour is a.m. or p.m.
MM#5240 Issued 11/2/92; Revised and
Reissued 1/25/93; 7/19/96;
8/8/11.
2
MANAGEMENT SECTION 5000 CONTRACTING BRANCH -PERSONAL PROPERTY
MANUAL MANAGEMENT
SUBJECT 5240 Use of Government Property - Government Vehicles
_/s/CJB__
APPROVED
f. If the official travel requires the staff member to travel over a weekend or a holiday, the
Executive Director must approve the Vehicle Reservation Form.
3. Assignment of Vehicles. The Supply Management Specialist will check the Vehicle
Dispatch Log, Form MM#5240.2, to determine if the type of vehicle requested will be available on the
specified date. If a suitable vehicle is available the Specialist will record the assignment on the Vehicle
Dispatch Log.
a. Assignment of a Different Vehicle. The Supply Management Specialist will assign a
different type of vehicle if the Specialist determines that the type of vehicle requested is
not appropriate for the use described. (For example: The employee requested a 4-Wheel
drive vehicle for highway driving when no bad weather is expected.)
b. Cancellation of Travel, If the type of vehicle needed is not available the employee may
cancel their travel plans with the Branch Manager’s approval. (For example: If a high
clearance 4-Wheel drive vehicle is needed for travel to a remote area but no such vehicle is
available, the employee may be required to postpone travel until an appropriate vehicle is
available.) Travel may be rescheduled on the basis that traveling on bad roads in bad
weather in an unsuitable vehicle poses a risk that the employee may become stranded.
c. Use of Personal Vehicle. If no vehicle is available and/or the employee is willing to use
their personal vehicle the employee will be reimbursed in accordance with the
Government Travel Regulations. Information on current rates is available from the
Finance Branch.
4. Vehicle Request Log. The Vehicle Request Log lists all vehicles in the ONHIR Motor
Pool which are available for assignment. Each sheet covers a week at a time. The log is used to record
vehicle assignments and to track the amount of usage of the motor pool.
5. Picking Up the Keys. The Supply Management Specialist is normally available from 7:30
a.m. to 4:30 p.m. Monday through Friday unless otherwise posted. In the event the Specialist is not
available other Contracting Branch staff may issue the keys. Drivers leaving the Office prior to 7:30
o’clock a.m. should pick up the vehicle keys the evening before the date of travel.
6. Returning the Keys. Keys must be returned to the Supply Management Specialist when
the vehicle is returned to the parking lot. If the vehicle is returned after hours, keys must be left on the
tray on the wall by the supply room door unless the Specialist has left other written instructions. (For
example: The Specialist may ask that the keys be left on the desk of the employee who will be using the
car the next day.)
7. Government Credit Cards. A Government credit card is attached to the vehicle keys and
imprinted with the vehicle tag number. The cards are good only for the vehicle identified on the card.
The operator may purchase gasoline, oil and miscellaneous supplies such as windshield washer fluid.
8. Purchasing Gasoline. Operators are required to use only self-serve pumps with regular
unleaded fuel. Operators who utilize full-service pumps or who use premium fuel may be required to pay
the full credit card charges. All service stations do not accept government credit cards, therefore the
operator should check with the vendor before filling the gas tank. GSA and the ONHIR are not required
MM#5240 Issued 11/2/92; Revised and
Reissued 1/25/93; 7/19/96;
8/8/11.
3
MANAGEMENT SECTION 5000 CONTRACTING BRANCH -PERSONAL PROPERTY
MANUAL MANAGEMENT
SUBJECT 5240 Use of Government Property - Government Vehicles
_/s/CJB__
APPROVED
to reimburse staff for fuel purchased from a vendor who does not accept the government credit card. It is
recommended that operators purchase fuel at the ADOT yards at Flagstaff or Sanders since the cost of
fuel is less at these locations.
9. Purchasing Supplies or Paying for Repairs. The operator may purchase minor items or
services as needed for emergency repairs in the field. (For example: Tire repair or a broken engine belt.)
These purchases shall not exceed the sum of $100.00. The operator must report any minor repairs on the
Trip Report, Form MM#5240.3, and attach the receipt to the report.
10. Trip Report. The operator will pick up a copy of Form MM#5240.3, “Trip Report,”when
the keys to the vehicle are picked up. The operator must complete all areas of the form. Before the trip
the operator must check the routine maintenance items listed on the bottom of the form. All stops during
the trip must be logged. When the trip is over the driver will sign the Trip Report and turn it in to the
Supply Management Specialist with the vehicle keys. All gas receipts and/or receipts for minor repairs
must be stapled to the upper left corner of the form. The driver must also report any problems incurred
with the vehicle.
11. Returning the Vehicle. If the gas gauge shows three-quarters or less the operator must fill
the gas tank when the trip is over. The vehicle must be returned to the ONHIR parking lot. A key to the
parking lot is attached to the vehicle key and credit card in the event the gate to the lot is locked when the
employee leaves or returns from travel. The employee must return the keys pursuant to the instructions
set forth in Item No. 6 above.
5244 Parking Procedures.
1. Securing Government Vehicles in the Locked Parking Area. All government vehicles will
be parked in the designated lot at night and over the weekend unless the operator is on approved travel
away from the employee’s official duty station. The ONHIR has secured parking areas in Flagstaff and
Chambers. The gate to the Flagstaff lot is locked nightly and on weekends. Employees are instructed to
lock all vehicles and remove all keys from the vehicle when returning from travel.
2. Leased Parking Spaces in Flagstaff. The ONHIR leases forty-four (44) parking slots in the
fenced parking lot on the Southeast corner and Aspen and Verde. These spaces are utilized for employee
parking and government owned vehicles. All government vehicles must be parked along the fence at the
South end of the lot.
3. Parking Spaces for Executive Officials. The ONHIR also leases three parking spaces
located on the corner of Verde and Birch. One of these spaces is reserved for use by the Executive
Director.
4. Employee Parking. Parking spaces which are not reserved for government vehicles or
Executive staff are available for use by employees on a first come first serve basis.
5. How to Park. Drivers must stay between the white lines. Employees who take up two
spaces, park on the white line, park perpendicular to the marked space, or who block other vehicles by
parking behind their vehicle, will be asked to move their vehicle. Vehicles which are not moved will be
MM#5240 Issued 11/2/92; Revised and
Reissued 1/25/93; 7/19/96;
8/8/11.
4
MANAGEMENT SECTION 5000 CONTRACTING BRANCH -PERSONAL PROPERTY
MANUAL MANAGEMENT
SUBJECT 5240 Use of Government Property - Government Vehicles
_/s/CJB__
APPROVED
towed.
6. Towing Vehicles. Vehicles which are improperly parked are subject to towing at the
owner’s expense.
7. Parking Spaces at the New Lands Offices. There is a secured government parking lot at
the Chambers Range Office. Designated staff will be responsible for locking the lot(s) in the evening
and over the weekend.
The Sanders Office parking lot is considered secure for nighttime and weekend parking.
Government vehicles assigned to the Sanders Office must be parked overnight in the fenced parking lot.
5245 Accidents.
1. Notification of Authorities. If a staff member is involved in an accident, however minor,
while operating a government vehicle, the employee must immediately notify the following individuals,
in order of priority:
a. Local law enforcement/emergency authorities.
b. The ONHIR Supply Management Specialist.
c. The employee’s supervisor.
The Supply Management Specialist will notify the General Services Administration (GSA)
if the vehicle involved in the accident is a GSA vehicle.
2. Accident Packet. In each ONHIR vehicle an Information Packet is located in the glove
box compartment. The operator shall familiarize him/herself with the contents of the packet and must
refer to the packet for instructions in the event of an accident.
3. Employee Report. In addition to the required immediate verbal notification within one (l)
working day the employee must submit an Accident Report Form and a memo to the Supply Management
Specialist explaining how the accident occurred and providing detailed information about the accident.
4. Board of Review. Boards of Review will be convened to investigate and report on all
motor vehicle accidents involving government vehicles or employee owned or rented vehicles while in
use on official business regardless of the amount of damage. The Board of Review will also investigate
and report on injuries to the driver or passengers resulting from an accident involving government
vehicles or employee owned or rented vehicles used on official government business.
5246 Vehicle Malfunctions and Breakdowns.
Employees are responsible for safeguarding and taking care of the government vehicles entrusted
to them. Poor judgment or negligence which results in damage to the vehicle or compounds damage
from a vehicle malfunction, may be brought before the Board of Review. An employee may be held
liable for the cost of repair of damages to the vehicle if the employee continues to operate the vehicle
after a malfunction has occurred.
MM#5240 Issued 11/2/92; Revised and
Reissued 1/25/93; 7/19/96;
8/8/11.
5
MANAGEMENT SECTION 5000 CONTRACTING BRANCH -PERSONAL PROPERTY
MANUAL MANAGEMENT
SUBJECT 5240 Use of Government Property - Government Vehicles
_/s/CJB__
APPROVED
1. Vehicle Malfunction or Breakdown. When an operator has a breakdown or malfunction the
operator should not continue to operate the vehicle unless the vehicle is situated in a location where
additional damage could occur or the operator is in a situation where their safety and well being is
threatened. The operator should immediately park and secure the vehicle.
2. Reporting Vehicle Malfunctions/Breakdowns. The problem must be reported to the
Supply Management Specialist as soon as possible. The driver should immediately telephone for
assistance and to report the problem. If the operator does not have a telephone and assistance is available
the operator may request transportation to the nearest telephone to report the problem and await
instructions. (For example: A local resident or contractor who is in the area.)
5247 General Instructions.
Employees are responsible for adhering to the following instructions regarding vehicle use whether
the vehicle is permanently assigned or checked out of the motor pool.
1. Report Damage or Loss Immediately. Any damage to the exterior or the interior of the
vehicle, from whatever cause, must be reported to the Supply Management Specialist immediately
followed by a report to the employee’s supervisor. The Report must be in writing. Similarly, any loss of
assigned vehicle equipment must be reported to the Supply Management Specialist as well as the
employee’s supervisor. A Board of Review will be convened to investigate and report on damage or loss
exceeding the sum of $50.00.
2. Use of Government Vehicles for Official Use Only. Government vehicles may be used
only for official purposes. While on official travel the vehicle may be used for reasonable transport to
lodging and meal accommodations. When an employee returns to the official duty station the assigned
vehicle must be returned to the secured government parking lot. Pursuant to 31 U.S.C. §1344 an
employee may park the vehicle at their residence or use a vehicle for transportation between their
residence and their duty station only for compelling operational considerations. This use of a government
vehicle must be approved in advance, in writing, by the Executive Director. The Supply Management
Specialist will maintain a log of all such approvals and will furnish a copy of the written approval to the
General Services Administration (GSA) if the vehicle is provided by GSA.
3. Locking the Vehicle and Equipment. The operator is responsible for locking the vehicle
when returning the vehicle to the government parking lot and when parked while on official travel.
Equipment issued with the vehicle must be locked in the vehicle. Spare tires must be mounted in the tire
rack.
4. Warming Up Vehicles; Leaving a Vehicle Running While Unattended. Vehicles may not
be left unattended with the engine running. This practice is a waste of fuel and is harmful to the vehicle
engine and constitutes a security risk. When the operator exits a vehicle the vehicle engine must be
turned off. If it is necessary to warm up a vehicle on a cold morning the vehicle should idle only long
enough for the driver to be able to scrape the windshield. The driver may not leave the vehicle while it is
warming up.
5. Cleaning of Vehicles. The Supply Management Specialist will arrange for the government
MM#5240 Issued 11/2/92; Revised and
Reissued 1/25/93; 7/19/96;
8/8/11.
6
MANAGEMENT SECTION 5000 CONTRACTING BRANCH -PERSONAL PROPERTY
MANUAL MANAGEMENT
SUBJECT 5240 Use of Government Property - Government Vehicles
_/s/CJB__
APPROVED
vehicle to be washed twice a month. However, the operator is responsible for cleaning out the interior of
the vehicle. When an employee returns from a trip the employee should remove all trash and wipe out
any mud or dirt in the vehicle. All trash should be placed in the dumpster or other designated receptacle.
Smoking is prohibited in all government vehicles.
a. Two (2) washes not to exceed $30.00 on a truck or van and two (2) washes, not to
exceed $20.00 on a sedan per month.
6. Passengers. The vehicle operator must be a government employee, approved contractor, or
sub-contractor. Passengers may be transported in government vehicles for official business only. (For
example: Other employees, relocation clients, official visitors, or tribal representatives. Non official
passengers, such as dependents or friends of the employee may not be transported in government
vehicles unless prior approval has been obtained from the Executive Director. Staff are directed to
refer to the current Policy Memorandum on this issue.
7. Insurance. The United States Government is self-insured. Costs associated with accidents
which occur during the course of official travel by an ONHIR employee may be paid by the Government
depending upon the cause of the accident and the nature of the claim.
8. Seat Belts. Drivers and passengers in government vehicles must utilize the seat belts at all
times.
9. Emergency Supply Kits. Emergency supply kits for use in travel to remote areas in bad
weather are available for check out from the Supply Management Specialist. As with all equipment the
kits and items which they contain must be kept locked in the vehicle when they are not in use. The kits
are sealed. The contents of the kit will be inventoried if the seal is broken when the operator returns to
the Office.
10. Firearms. Firearms are not permitted on government property or in government vehicles
without specific statutory authorization. No ONHIR employee is authorized or permitted to bear firearms
or to carry a firearm in a government vehicle.
11. Modification of Vehicles. Drivers may not modify vehicles, including permanently assigned
vehicles, without the permission of the Supply Management Specialist. This includes “adornments”
such as bumper sticker or decorations hanging from rearview mirrors, as well as mechanical or
equipment modifications.
12. Use of Cell Phones while operating Government Vehicles.
The use of cellular phone, including texting, is specifically prohibited while operating a
government vehicle. (See Policy Memo No. 16.)
MM#5240 Issued 11/2/92; Revised and
Reissued 1/25/93; 7/19/96;
8/8/11.
7
MANAGEMENT SECTION 4000 CONTRACTING BRANCH - PROCUREMENT
MANUAL SUBJECT 5200 Use of Government Property
5250 Board of Review _/s/CJB__
APPROVED
SECTION 4000 CONTRACTING BRANCH - PROCUREMENT
SUBJECT 5200 USE OF GOVERNMENT PROPERTY
SUBHEADING 5250 BOARD OF REVIEW: ACCIDENT INVESTIGATION AND
LOSS CONTROL
AUTHORITY Federal Property and Administrative Services Act of 1949, 68 Stat.1128,
as amended; 18 U.S.C. 641; 41 CFR 101; 25 CFR 700; FPM 930; and
ONHIR Policy Memorandum No. 5.
POLICY
It is the policy of the Office that a Board of Review will be convened by the Executive
Director for the following types of incidents or government vehicle accidents:
1. On-duty employee injuries in a government vehicle requiring first aid, medical
attention, continuation-of-pay or lost time, including any temporary or permanent disability, regardless of
duration.
2. Motor vehicle accidents and all other incidents involving Federally owned or leased
vehicles and employee owned or rented vehicles while being used on official business, regardless of the
amount of damage.
3. Office property or equipment damage or loss in excess of $50.00.
5251 RESPONSIBILITIES
1. Board of Review
a. Composition. The Board of Review is convened by the Executive Director. The Board
will generally conduct its review proceedings within ten (10) days of the Notice to Convene from the
Executive Director. The membership will be composed of a Chairman appointed by the Executive
Director, Legal Counsel, the Supervisor of the employee involved, and a Peer Representative if one is
designated by the employee involved. In cases of motor vehicle accidents or incidents, or other damage
to government property, the Contracting Officer or designee, as appropriate, will sit as a Board Member.
In cases of employee on-the-job injury, the Human Resources Officer will sit as a Board Member.
b. Functions. The Board of Review will ascertain the primary cause (s) of the accident or
incident, whether the employee was negligent and, if possible and appropriate, the degree of negligence.
The Board will also recommend to the Executive Director whether discipline or adverse action should be
taken and whether costs incurred by the Office should be recovered from the employee. The Board’s
recommendations are not binding on the Executive Director.
* The Board will review the required accident report forms submitted by the employee.
* The involved employee will describe what happened and answer questions from the
Board.
MM#5250 Issued 10/6/95; 7/19/96;
Revised and Reissued
7/6/11.
1
MANAGEMENT SECTION 4000 CONTRACTING BRANCH - PROCUREMENT
MANUAL SUBJECT 5200 Use of Government Property
5250 Board of Review _/s/CJB__
APPROVED
* As appropriate, the employee’s immediate Supervisor will act as the investigating officer
and will describe the accident/incident, findings, etc., and will answer questions from the
Board.
* The employee has the right to be represented before this Board of Review by an attorney
(at the employee’s expense) or other person (Peer Representative) but it is not required to
name a representative to the Board.
* The Board, out of the presence of the employee, will consider all the information and
isolate identifiable causes.
* The Board will vote on a recommendation for action.
* No Board member shall abstain from a vote.
The Board’s recommendation will be incorporated into a written report to the Executive Director.
A copy of the report will be provided to the employee. In its report the Board will include a summary of
the statements by the parties appearing before it, copies of the reports and other information considered
in its deliberations, and any comments made or conclusions reached. The Board’s report will include
how the members voted by number of votes but not by name. The report will generally be submitted to
the Executive Director within one week of the Board’s hearing.
2. Employee Responsibility.
Each employee must immediately verbally report any motor vehicle accident or incident or other
equipment damage or loss or related personal injury. Within 24 hours of the accident or incident a
written report must be submitted to the Contracting Officer with a copy to the employee’s immediate
supervisor. Employees must also cooperate with a Board of Review in describing the accident or
incident and answering the Board’s questions.
Accidents/incidents require the submission of the following:
* Optional Form 26, Data Bearing Upon Scope of Employment of Motor Vehicle Operator.
* Standard Form 91, Operator’s Report of Motor Vehicle Accident.
* Standard Form 94, Statement of Witnesses, if any.
* Appropriate CA Forms in the event of employee injury.
* Narrative statement of circumstances of accident, incident, loss or injury.
* Law enforcement officer’s investigative report, if any.
3. Supervisor.
Each supervisor must cooperate with a Board of Review to investigate the cause(s) of the accident/
incident. The supervisor must also inform the Board of his/her knowledge of the accident/incident to
MM#5250 Issued 10/6/95; 7/19/96;
Revised and Reissued
7/6/11.
2
MANAGEMENT SECTION 4000 CONTRACTING BRANCH - PROCUREMENT
MANUAL SUBJECT 5200 Use of Government Property
5250 Board of Review _/s/CJB__
APPROVED
accompany the employee’s report. The supervisor’s report may be verbal or in writing, depending upon
the instructions of the Board. The supervisor may be requested to provide the following information:
* Employee’s accident/incident equipment damage or loss history which may have a bearing
on the accident/incident under review.
* Any training provided the employee which may bear upon the accident/incident under
review.
* Any previous accidents/incidents of a similar nature.
4. Employee’s Peer Representative.
An employee named as a Peer Representative may decline to serve. In such cases the employee
may select another Peer Representative. The Peer Representative may advocate on the employee’s behalf
but is not required to do so. The Peer Representative sits and votes as a member of the Board of Review
and may vote to find the employee negligent or not.
5. Supply Management Specialist.
The Supply Management Specialist will inform the Contracting Officer of the occurrence of a
vehicle accident/incident in writing within one working day from the time the Specialist learns of it.
When the Board of Review is convened the Supply Management Specialist will inform the Board of
Review of his/her knowledge of the accident/incident under review and provide copies of documents
received under paragraph two above. The Supply Management Specialist may be asked to appear before
the Board of Review to answer questions.
6. Human Resources Officer.
The Human Resources Officer will review any employee injury reports and provide the Board of
Review with information regarding the employee’s history of on-the-job injuries. The Human Resources
Officer will provide the Executive Director with information regarding the employee’s history of
disciplinary or adverse actions based on comparable accidents or incidents.
7. Supervisory Responsibility.
Pursuant to the requirements of 5 CFR, in cases where disciplinary action is proposed, the
employee’s Supervisor will receive the findings of the Board and will act as the Proposing Official,
consistent with the Board’s findings. The Supervisor will inform the employee in writing of the action
proposed and the employee’s right to provide new information which should be considered by the
Deciding Official.
8. The Supervisor.
The Supervisor will inform the Executive Director and the Human Resources Officer of the
occurrence of an accident/incident generally within one working day from the time he or she learns of it.
When a Board of Review is convened the Executive Director will receive a report of findings from the
Board. The Executive Director will take the following action:
MM#5250 Issued 10/6/95; 7/19/96;
Revised and Reissued
7/6/11.
3
MANAGEMENT SECTION 4000 CONTRACTING BRANCH - PROCUREMENT
MANUAL SUBJECT 5200 Use of Government Property
5250 Board of Review _/s/CJB__
APPROVED
a. Administrative Actions. In cases where administrative action is proposed the Human
Resources Officer will decide the action to be taken. Such action may include additional training,
changing practices or procedures, or repayment from the employee’s salary.
b. Disciplinary Actions. In cases where disciplinary action is proposed, the Executive
Director/Legal Counsel will function as the Deciding Official. A decision will be generally made within
one week of the Board’s recommendation.
c. Adverse Actions. In cases where adverse action is proposed, the Executive Director will
function as the Proposing Official.
9. Executive Director Responsibility.
Upon being informed of an accident, incident, loss or injury the Executive Director will convene a
Board of Review and will appoint a Chairman of the Board. The Executive Director will take the
following action:
a. Administrative Actions. In cases of administrative action, the employee may grieve the
action to the Executive Director.
b. Disciplinary Actions. In cases of disciplinary action the employee may appeal the action
of the Deciding Official to the Executive Director.
c. Adverse Actions. In cases of adverse action, the Executive Director will function as the
Deciding Official. The employee may appeal the Deciding Official’s action to the Merit System
Protection Board.
10. Conflict of Board Members.
If a Board member must recuse himself/herself from the proceedings because of a conflict of
interest or other reason which disqualifies him/her from serving, the Executive Director will appoint a
replacement.
5252 DISCIPLINE/ADVERSE ACTIONS RESULTING FROM INCIDENTS.
Initial training and remediation is a supervisory responsibility. Employee misconduct should be
documented to support disciplinary and/or adverse actions that may be warranted at a later date.
1. Situations Where Adverse Actions May be Warranted.
* A supervisor’s failure to properly train subordinates or failure to take remedial action to
correct poor driving performance.
* Employee convicted of operating under the influence of alcohol or illicit drugs.
* Employee is found to have misused a government owned or leased vehicle.
* Employee is found negligent as a result of a government vehicle accident. (Employees
MM#5250 Issued 10/6/95; 7/19/96;
Revised and Reissued
7/6/11.
4
MANAGEMENT SECTION 4000 CONTRACTING BRANCH - PROCUREMENT
MANUAL SUBJECT 5200 Use of Government Property
5250 Board of Review _/s/CJB__
APPROVED
will not be held financially liable for damage or loss of a vehicle when the damage or loss
is attributable to inadequate instruction or inherent defects in the vehicle.)
* Employee is convicted of leaving the scene of an accident without making himself/herself
known.
* Employee is convicted of moving traffic violations with a government vehicle.
* Employee’s state license is revoked or suspended.
* Employee exhibits high accident frequency or abnormally high dollar accident costs.
* Employee fails to comply with administrative orders relating to motor vehicle care and
operations.
and/or
* A qualified physician finds that the employee fails to meet the required physical standards.
2. Actions That May be Taken Against Employees.
* If damage is a result of negligence the employee may be held financially liable for the
amount of loss, damage or destruction of government property.
* Suspension of government driver’s license and government driving privileges.
* Letter of warning or official reprimand.
* Suspension from duty without pay, and
* Separation from employment in extreme cases.
3. Use of Personal Vehicles - Insurance and Financial Responsibility.
The use of a personal vehicle for official purposes must be officially authorized. In the event of
damage or loss to an employee’s vehicle or other personal property while under a POV travel
authorization, employees must seek reimbursement from their private insurance carrier. Employees may
file a claim under the Miliary Personnel and Civilian Employee’s Claims Act for up to the deductible
amount in the employee’s personal vehicle insurance policy.
MM#5250 Issued 10/6/95; 7/19/96;
Revised and Reissued
7/6/11.
5
MANAGEMENT SECTION 5000 CONTRACTING BRANCH -PERSONAL PROPERTY
MANUAL MANAGEMENT
SUBJECT 5300 Requesting Assignment of Property __/s/CJB___
APPROVED
SECTION 5000 CONTRACTING BRANCH - PERSONAL PROPERTY
MANAGEMENT
SUBJECT 5300 Requesting Assignment of Property
AUTHORITY
POLICY
The Office of Navajo and Hopi Indian Relocation provides its staff with supplies and equipment
essential to the accomplishment of their work. The Office maintains a stock of commonly used property
and may procure, subject to the availability of funds and proper justification, property not commonly
kept in stock. To maintain inventory control and ensure that property is assigned where the need is
greatest, a requisition procedure must be followed.
1. Requisition Procedure.
To obtain supplies or equipment the employee completes a “Procurement Request Form” and
submits it to the Branch Manager for approval. The completed form is routed to the Supply Management
Specialist for action.
The Supply Management Specialist evaluates the Purchase Request for clarity, accuracy, and
acquisition value of each items. If any single item has an acquisition value greater than $500.00, the
Contracting Officer or Contracting Specialist must approve the Procurement Request. The Supply
Management Specialist has authority to procure items of an acquisition value not to exceed $3,000.00 in
accordance with the authority given by the CO and Government Credit Card (IMPAC).
After the necessary approvals have been obtained the Supply Management Specialist shall process
the Procurement Request within two (2) working days or sooner if warranted by genuinely urgent
circumstances.
In filling the order the Supply Management Specialist first determines the availability of each item
in stock. Items are checked off as the order is filled from stock supplies. When all in stock items have
been identified and are ready for issuance the Supply Management Specialist notifies the requesting
branch. When the property is issued the Specialist and the employee requesting the supplies sign and
date the Procurement Request to acknowledge delivery and receipt. For items classified as assets
($1,000.00) the employee to whom the property will be assigned must sign a Property Receipt.
The Supply Management Specialist makes appropriate entries in the Supply/Asset Inventory
Program. The processed Procurement Request is filed according to Office branch when all items on the
Procurement Request have been issued. Where outside procurement is required the Procurement Request
will be placed in a tickler file until the order is received and issued.
The sign out procedure will be used for trivial amounts of supplies, generally defined as less than
one unit (box, dozen, etc.) of a particular item. No Procurement Request or Requisition is required.
For larger amounts of supplies such as one or more units of a given item, a Procurement Request
MM#5300 Issued 1/16/90; Revised and
Reissued 8/8/11.
1
MANAGEMENT SECTION 5000 CONTRACTING BRANCH -PERSONAL PROPERTY
MANUAL MANAGEMENT
SUBJECT 5300 Requesting Assignment of Property __/s/CJB___
APPROVED
will be required.
The Supply Management Specialist will purchase items not in stock according to established
Office procurement procedures. The employee will be notified when the order is placed and when it is
expected to arrive.
As ordered items are received and issued a copy of the initialed Procurement Request will be
provided to the employee. Property receipts will be also be signed as required for issuing assets and
appropriate computer entries made for inventory purposes.
If an order is not received within two weeks after the anticipated delivery date, the Supply
Management Specialist will contact the vendor and request a new delivery date. The employee should be
kept informed of delays in delivery so that alternative measures can be taken to meet the employee’s
needs.
5310 Stock Replenishment.
The Supply Management Specialist shall regularly monitor the stock of commonly used
consumable supplies to determine points of re-order. The methods of monitoring may involve a
combination of visual inspection, usage counts, and pending requisitions.
A re-order point shall be established for each type of consumable supply item, based on the
following considerations:
* Shelf life. (e.g., felt tip markers)
* Available storage space.
* Average rate of issue per month.
* Length of time from placing order until delivery; using most economical vendor.
* Critical nature of the item.
* Discounts.
The Supply Management Specialist shall ensure that an adequate supply of necessary supplies is
maintained. When a re-order point for an item is reached the Supply Management Specialist will notify
the Contract Specialist who will negotiate the procurement of the item. It is essential that re-order points
are closely monitored to avoid depletion of essential items necessitating an emergency purchase which
would likely result in a much higher cost to the government.
5320 Receiving.
Pursuant to 41 CFR 114.60.200, the receipt of all property acquired by the ONHIR shall be
properly documented by a responsible ONHIR Official. The purpose of receiving procedures is to ensure
the property acquired by the Office conforms to the quantity and specifications of the order and that the
Office does not pay for goods that it does not receive.
1. Inspection.
MM#5300 Issued 1/16/90; Revised and
Reissued 8/8/11.
2
MANAGEMENT SECTION 5000 CONTRACTING BRANCH -PERSONAL PROPERTY
MANUAL MANAGEMENT
SUBJECT 5300 Requesting Assignment of Property __/s/CJB___
APPROVED
The Supply Management Specialist shall thoroughly inspect all property upon delivery to the
Office or upon pickup at the vendor’s place of business. The inspection shall determine the correctness
of the order in terms of quantity, model or stock number, color, size, gauge, and other specifications as
described in the ordering document, plus any defects in or damage to the property. Articles which
require technical identification or inspection shall be examined also by other qualified Office employees
at the request of the Contracting Branch staff.
The Supply Management Specialist will list any discrepancies as to quantity and/or specifications
between property received and property ordered on the invoice or packing slip as appropriate. If goods
are damaged the Specialist will notify the carrier and the vendor as stipulated in the vendor’s and
carrier’s procedures. If goods are defective the Supply Management Specialist will notify the vendor
according to the vendor’s procedures. The Supply Management Specialist will further document the
receipt of defective or damaged goods by filling out the receiving report section on the back of the
Purchase Order.
The receiving document and invoice are routed to the Finance Branch for payment and a
photocopy of all such documents is retained in the vendor file.
2. Labeling.
Assets with a value in excess of $1,000.00, received in acceptable condition shall be promptly
labeled in accordance with 41 CFR 114-60.300. The Office has adopted a nine digit numbering system
which identifies each asset by class, type, subtype, and ID number.
MM#5300 Issued 1/16/90; Revised and
Reissued 8/8/11.
3
MANAGEMENT SECTION 4000 CONTRACTING BRANCH - PROCUREMENT
MANUAL SUBJECT 5800 Safety Equipment _/s/CJB___
APPROVED
SECTION 4000 CONTRACTING BRANCH -PROCUREMENT
SUBJECT 5800 Safety Equipment
POLICY
The following policy sets forth the procedures for the acquisition of OSHA approved steel safety
footwear (boots) and safety prescription glasses, for the use of ONHIR employees who normally wear
corrective lenses for work, and will affect the New Lands Range Crew Staff who are engaged in laboring,
equipment operations, facilities maintenance/repair work and range operations.
5800.1 Safety Footwear.
a. Annual Inspection
The New Lands Manager will conduct an annual inspection to determine which New Lands staff
are in need of replacement safety footwear. The Manager will then document his/her findings
concerning the footwear to be replaced, i.e., the type of damage to the boot, when the damage occurred,
and why the replacement of the safety footwear is necessary in lieu of having the safety boot repaired.
These findings will then be delivered to the Contracting Officer for approval.
b. Accident on Duty Which Requires Replacement
In the event of an on-the-job accident before the year has elapsed in which footwear is so severely
damaged that it must be replaced, the ONHIR will provide replacement safety footwear.
c. Off-Duty Use
In the event the safety footwear wears out or is damaged off-duty before the year has elapsed,
replacement of the safety footwear shall be the sole responsibility of the employee at his/her expense.
d. Employee Responsibility to Obtain Replacement Footwear
Employee(s) shall have no more than two (2) weeks from the date they are notified that
authorization for replacement footwear has been granted within which to obtain (place an order for)
replacement safety footwear.
Any amount expended by the employee for safety footwear over and above the ONHIR annual
allowance shall also be the responsibility of the employee.
5800.2 Safety Prescription Glasses.
a. Replacement
The cost of replacement of safety prescription glasses will be borne by the ONHIR and will be
authorized annually by the New Lands Manager only for those employees who require prescription
glasses for work, subject to the conditions set forth in paragraphs b. and c. below. A request for
payment, along with the required documentation, shall be submitted to the Contracting Officer who shall
have authority to grant or deny the employee’s request.
MM#5800 Issued 1//16/90; 7/7/04;
Revised and Reissued
8/8/11.
1
MANAGEMENT SECTION 4000 CONTRACTING BRANCH - PROCUREMENT
MANUAL SUBJECT 5800 Safety Equipment _/s/CJB___
APPROVED
b. Prescription Changes
The employee must submit sufficient proof to establish that his/her prescription has changed
within the last year and that it is necessary that the glasses be replaced in order for the employee to
perform his/her job duties.
c. Damage to Safety Glasses
The safety glasses have been accidently damaged during the course of the performance of the
employee’s job functions.
d. Off-Duty Damage to Safety Glasses
In the event the safety glasses are damaged while the employee is off-duty, then the responsibility
for replacement of the safety glasses shall be that of the employee.
e. Employee Responsibility to Obtain Replacement Glasses
Employee(s) shall have no more than two (2) weeks from the date they are notified that
authorization for replacement safety glasses has been granted within which to obtain (place an order for)
replacement safety glasses.
Any amount expended by the employee over and above the ONHIR annual allowance shall be the
responsibility of the employee.
5800.3 Procurement Request.
Subsequent to the approval of the Contracting Officer for the replacement of safety footwear or
safety prescription lenses, the New Lands Manager shall submit the requisite Purchase Order Request to
the Contracting (Procurement) Branch. The Contracting Branch will solicit pricing information from
vendors in accordance with the FAR (Federal Acquisition Regulations) to determine the amount of
money which will be allocated for the purchase of the equipment. The Contracting Branch will then
notify the New Lands Manager of the amount that has been authorized.
MM#5800 Issued 1//16/90; 7/7/04;
Revised and Reissued
8/8/11.
2
MANAGEMENT SECTION 6000 GENERAL ADMINISTRATIVE SERVICES
MANUAL SUBJECT 6110 Parking Lot Facilities __/s/CJB__
APPROVED
SECTION 6000 GENERAL ADMINISTRATIVE SERVICES
Subject 6110 Parking Lot Facilities
BACKGROUND STATEMENT
The facilities leased by the Office of Navajo and Hopi Indian Relocation include a fenced a parking
lot adjacent to the southeast corner of the building. This lot is used for parking GSA and employee vehicles.
These guidelines have been established because there are minimal spaces needed to accommodate all GSA
and employee vehicles. The parking lot facilities are supervised by the Procurement Branch.
1. GSA Vehicles.
The ONHIR parking lot was acquired for the security of GSA vehicles which have priority for
parking spaces. There are eleven designated spaces for GSA (including 3 spaces for the IHS) vehicles in the
southern row of the parking lot. Private vehicles may not be parked in spaces designated for GSA vehicles
unless employee parks his/her POV while using GOV.
If an employee observes that there is a private vehicle parked in a GSA space, it is the employee’s
responsibility to report it to the Procurement Branch immediately. If the private vehicle belongs to an
individual other than an ONHIR employee, it may be towed at the owner’s expense after an attempt has been
made to locate the owner. If the vehicle belongs to an employee, the Supply Management Specialist will
notify the employee to move the vehicle.
2. Employee Owned Vehicles.
There are thirty-three spaces available for the private vehicles of ONHIR employees. These spaces
are located in the first three rows of the parking lot.
-Employees must provide the Procurement Branch the license plate numbers of the vehicles they
intend to park in the parking lot on a REGULAR basis. A notice will be placed on the windshield of an
unauthorized vehicle in an attempt to notify the owner of the violation. If notice is ignored and violations
continue the ONHIR will have the vehicle towed at the owner’s expense. This includes vehicles belonging
to other government agencies, employees’ family or friends and contractors.
-Employees should exercise courtesy in the parking lot by not double parking or blocking other
vehicles. Vehicles should be parked front end forward in the spaces adjacent to the parking lot fence.
Vehicles parked improperly may be towed at the owner’s expense.
3. Snow Removal and Winter Parking.
During the winter months, when there has been an accumulation of at least three (3) inches of snow,
snow removal will be done by a private contractor, usually before or after working hours and also during
working hours if snow accumulation persists. During winter months (November through March) the three
(3) GSA parking spaces at the southwest corner of the GSA lot shall be kept free for stock piling snow and/or
parking snow removal equipment if necessary. During this time NO government or private vehicle shall be
parked in these spaces.
MANAGEMENT SECTION 6000 GENERAL ADMINISTRATIVE SERVICES
MANUAL SUBJECT 6110 Parking Lot Facilities __/s/CJB__
APPROVED
4. Parking Lot Security.
The parking lot gates will be locked every evening and over weekends. The lot will be patrolled by
the agency’s security officers. Employees should obtain a key to the lot from the Procurement Department
but they are responsible for locking the lot if they use it after working hours or on weekends.
5. Additional Parking.
Three spaces at the east of building on the corner of Birch Avenue and Verde Street have been
reserved for the Executive Director and other special needs, i.e., CFC Employee of the Month.
If the parking lot is full, staff will have to utilize street parking.
NOTE: Employees are cautioned to be extremely careful while walking or driving in the GSA parking
lot during winter as very slick sheet ice can form on the asphalt.
MM#6110
2 Revised/Reissued 8/8/11.
MANAGEMENT SECTION 6000 GENERAL ADMINISTRATIVE SERVICES
MANUAL SUBJECT 6115 Reception Area __/s/CJB__
APPROVED
SECTION 6000 GENERAL ADMINISTRATIVE SERVICES
Subject 6115 Reception Area
BACKGROUND STATEMENT
The reception area is located at the main entrance to the Office of Navajo and Hopi Indian
Relocation. This room is used as a waiting room for clients and for persons doing business with ONHIR
staff. The Receptionist will greet visitors and will ascertain the nature of their business. The Receptionist
will maintain a log of all visitors to include the delivery of U.S. Mail, Fed Ex, UPS or other miscellaneous
packages delivered to the front reception area.
1. Visitor Entry
-When a visitor arrives at the reception area, the Receptionist will call the employee whom the
visitor wishes to see and record the name and time on the Visitor’s Log.
-The employee can either come up to the reception area to escort the visitor; OR can request that the
visitor come in unescorted.
-If the employee whom the visitor wishes to see is not in when they call, the visitor can wait in the
reception area or leave a message with the Receptionist.
-If a visitor is uncooperative regarding non-entrance to the Office, the Receptionist will inform the
Supervisor immediately.
2. Posting Material in the Reception Area
There is a bulletin board located in the reception area. Anyone wishing to display brochures, notices,
or any other written material may do so by placing it on the bulletin board. No written material should be
placed on the walls. The Receptionist will maintain the bulletin board and will make sure that advertisements
are left on the board for an appropriate length of time.
3. Selling Items in the Reception Area
Any individual or vendor who wishes to sell items is welcome to do so but must remain in the
reception room. The Receptionist will notify staff members over the intercom system of the types of items
for sale. ONHIR staff members may take a short break to go to the reception area to view the items.
MM#6115
Revised/Reissued 7/6/11.
MANAGEMENT SECTION 6000 GENERAL ADMINISTRATIVE SERVICES
MANUAL SUBJECT 6120 Intercom/Paging System __/s/CJB__
APPROVED
SECTION 6000 GENERAL ADMINISTRATIVE SERVICES
Subject 6120 Intercom/Paging Services
BACKGROUND STATEMENT
The Office of Navajo and Hopi Indian Relocation has an intercom/paging system with speakers
located at various strategic locations throughout the Office premises.
The intercom/paging system is used by the ONHIR staff members to announce vendors/ visitors in
the reception area, to announce meetings, to locate staff or for emergency purposes.
1. Instructions for Use
The intercom/paging system is accessed through your telephone. In order to use the paging system:
a. Dial one of the two paging numbers from your telephone extension or from the main console:
700 - All call paging (phone sets and speakers). 761-Overhead paging (speakers only.)
b. Wait for the click.
c. Hold the telephone receiver close to your mouth so your voice will be clear and audible over the
speakers.
d. Proceed to speak and make the announcement. Repeat announcement.
e. When paging another employee or making an announcement the announcement should state
whom should be called to respond and/or state the nature of the announcement.
MM#6120 Revised/Reissued 7/6/11.
MANAGEMENT SECTION 7000 INFORMATION SYSTEMS
MANUAL SUBJECT 7020 GENERAL INSTRUCTIONS __/s/CJB__
APPROVED
SECTION 7000 INFORMATION SYSTEMS
SUBJECT 7020 GENERAL USER INSTRUCTIONS
GENERAL.
The Information Systems Branch (hereinafter referred to as the IS Branch) of the Office of
Navajo and Hopi Indian Relocation (ONHIR) will provide support to all office branches for recording,
maintaining, and producing the information required for efficient program operations. Information
recorded in the manual systems which is frequently used and can be translated into automated language,
will be transferred to the automated records as the Office needs dictate.
IS staff is available to all ONHIR staff members to discuss the need for programming and other
types of IS support and to help ONHIR staff define needs and develop requests. The IS Branch will
assist ONHIR branches in analyzing their information requirements and will advise branch managers of
information available from other branches which may enhance intra-program operations.
The IS Branch will assist branch managers in identifying the hardware and software needed to
accomplish branch functions. Employees will be provided with personal computers which link to the
mainframe. The procurement of identified components will be accomplished by the Contracting Branch
with technical assistance from the Information Systems Branch.
The IS Branch may also assist managers and staff in identifying the training which employees
need to accomplish job duties involving word processing, data entry, report production, specialized
programming and/or similar activities requiring the use of computer equipment. IS staff will also provide
direct training to staff in basic and frequently performed computer operations.
7020.1 Computer Access.
General. Branch managers will identify the positions within their branches which require the use
of computer equipment for word processing, data entry, and file information access. An employee hired
for a position which utilizes automated equipment will be assigned hardware and software by the IS
Branch. The IS Branch will maintain an inventory of the equipment and software assigned to individual
employees.
The Chief Information Officer (hereinafter referred to as the “Information Officer”) will
determine the security level and type of access which the employee will be assigned. The Human
Resources Officer and branch managers will inform the Information Officer of staff changes which will
necessitate changes in information system access requirements.
1. Human Resources Officer. Immediately upon the receipt of a resignation, or upon the
processing of a personnel action (termination, new hire, transfer, promotion, etc.), the Human Resources
Officer will inform the Information Officer of the action so that computer access can be modified. In the
case of a termination, the Information Officer will determine measures needed to secure automated data
against unauthorized access. The IS Branch will route a copy of Form MM#7020.1 to the supervisor or
the Manager of the Branch requesting that they complete the appropriate entries on the form.
2. Branch Manager. Within one (1) day of a personnel action, as appropriate, the
MM#7020 ISSUED 02/24/95; REVISED AND
1 REISSUED Dec 31, 2011.
MANAGEMENT SECTION 7000 INFORMATION SYSTEMS
MANUAL SUBJECT 7020 GENERAL INSTRUCTIONS __/s/CJB__
APPROVED
supervisor or Manager will complete Part I of Form MM#7020.1, “Computer Access Request,” when
there are staff changes which require the modification of access.
3. Chief Information Officer. The Information Officer will discuss the access and the
proposed date of implementation of any action with the employee’s supervisor or Branch Manager as
necessary. The Information Officer will also determine the necessary steps required to accomplish the
action(s) requested and assign the task to IS Branch employee.
4. IS Staff. The IS employee to whom the assignment is made will complete Part 2 of
Form MM# 7020.1 as the actions are completed. The IS employee will record the assignment of any
equipment to the employee. When all actions are completed, the designated staff member will inform the
employee’s supervisor or Branch Manager, as well as the employee, of any changes made to the
employee’s system access and will provide training/orientation to the employee as required. Such
training may include orientation in the following:
a. The use of the hardware and the “sign-on” function of the AS/400. (It will be the
responsibility of the employee’s supervisor to assure the employee is sufficiently trained
in the AS/400 menu functions which the employee will be required to utilize in the
performance of his/her job duties.)
b. Introductory training in software assigned to the employee, which may include:
1. Outlook
2. WordPerfect
3. Microsoft Word/Excel
4. ONHIR “Forms Made Easy”
5. Any other software program(s) assigned to the employee which may be required
in the performance of his/her duties.
c. Immediate training such as texts, on-line help programs or the assignment of training by
ONHIR employees who are familiar with and trained in the operation of the software.
5. Form MM#7020.1 is available in the IS Branch. After an action has been completed as
a result of Form MM#7020.1, the original form will be maintained in the IS Department manual files.
7020.2 Request for IS Programming Support
General. A staff member who needs IS support for the recording, processing, and production of
information shall submit a written request to the IS Branch.
1. Staff Request for IS Support. A staff member shall fill out and submit Form
MM#7020.2, “Request for IS Support,” when assistance is needed in recording and producing
information required by the branch. A requester may contact the Information Officer or another IS staff
member for assistance in formulating a request. If the requester is not the branch manager, the manager’s
approval must be obtained by either the requesting staff member or by the Information Officer after the
request has been sufficiently described to allow analysis by the Information Officer. (Form MM#7020.2
can also be obtained from the IS Branch.)
2. Requests from Outside Agencies or Individuals. Written requests for reports may also
be submitted by outside agencies or individuals. The staff member who receives the request for a report
will submit the request to the ONHIR Legal Counsel, who will review it for conformity to the
MM#7020 ISSUED 02/24/95; REVISED AND
2 REISSUED Dec 31, 2011.
MANAGEMENT SECTION 7000 INFORMATION SYSTEMS
MANUAL SUBJECT 7020 GENERAL INSTRUCTIONS __/s/CJB__
APPROVED
requirements of the Freedom of Information/Privacy Act. (The ONHIR Legal Counsel, also referred to
as the “Attorney” is the designated Freedom of Information/Privacy Act Officer for the ONHIR.) The
Attorney will review the request and determine if it meets the criteria of a “Freedom of
Information/Privacy Act Request.” If necessary, the Attorney will contact the requester to clarify what
information is being requested.
3. IS Review and Analysis. After approval by the Freedom of Information/Privacy Act
Officer, the written request will be submitted to the Information Officer for analysis. The Officer will
determine:
a. If similar or equivalent automated information already exists, which can be updated or
modified to meet the requester's needs.
b. Whether or not the requested information can most efficiently be produced through
query or through a high level language program.
c. The anticipated amount of time required to produce the requested information.
d. If the request should be considered a major or minor assignment and its place within
the priorities and previously scheduled branch assignments.
e. If the requested information contains data which is used by more than one branch of
the Office, the Information Officer may request a meeting with the appropriate branch managers to
identify other possible uses for the automated information.
Unless the request requires extensive analysis, the Information Officer will complete the analysis
of the request within one week of receipt. The Information Officer must obtain approval from the
Freedom of Information/Privacy Act Officer for any extension of time to complete his/her analysis of the
request.
4. Compliance with a Freedom of Information/Privacy Act Request.
Upon completion of the analysis of the request by the Chief Information Officer, he/she will
provide the Freedom of Information/Privacy Act Officer with the results of the analysis and an estimate
of the amount of time which will be required to compile the data/information requested. The
FOIA/Privacy Act Officer will then issue a response to the requester in compliance with the
requirements of the Act.
The Chief Information Officer will then generate/issue any report(s) or compile the data
requested and forward it to the Freedom of Information/Privacy Act Officer for review and subsequent
delivery to the requester. (The requested information may be provided to the requester in hard copy or in
digital format.)
All time limits established in U.S.C. 552a shall be adhered to.
MM#7020 ISSUED 02/24/95; REVISED AND
3 REISSUED Dec 31, 2011.
MANAGEMENT SECTION 7000 INFORMATION SYSTEMS
MANUAL SUBJECT 7030 COMPUTER SECURITY __/s/CJB_
APPROVED
SECTION 7000 INFORMATION SYSTEMS
SUBJECT 7030 COMPUTER SECURITY
POLICY. The Office of Navajo and Hopi Indian Relocation will safeguard Office electronic
equipment and records in order to protect Government property and maintain the integrity of program data.
The Information Systems Branch will be responsible for monitoring and evaluating the security procedures
established by the ONHIR and advising the ONHIR Executive Director and Managers of the effectiveness of
procedures and of any changes which may be needed.
ONHIR management will issue directives to staff as needed regarding computer security
requirements. A staff member who fails to follow instructions for safeguarding equipment and data may
forfeit the right to use the Office electronic equipment and to access program data.
Vulnerability. The ONHIR does not create nor maintain records which relate to national security, or
records which have a widespread impact on federal operations. The vulnerability of the ONHIR computer
system lies in (1) potential for theft; vandalism or misuse of equipment which could cause expense to the
Government; and (2) intentional or unintentional changes to data which could alter or erase program records
and cause confusion and/or liability to the Government.
INSTRUCTIONS.
7030.1. Equipment Security.
1. Access to ONHIR Offices. Access to the ONHIR offices and thus to office equipment, is secured by
locked external doors and, at the Flagstaff office, by combination locks on doors leading into the office from
internal building corridors. Building keys and the combination lock numbers are issued only to staff and to
contracted facilities maintenance employees. Visitors are required to access the Office through the Reception
Area and check in with the Receptionist.
ONHIR staff are prohibited from furnishing keys to the ONHIR offices or the combination
lock number to other persons, including family members, clients, contractors, or other persons having
business with the Office.
2. Access to Mainframe. The Office mainframe is located in a locked room in the Information
Systems Office. Only IS staff and other authorized personnel have the combination to the lock.
3. Equipment Assigned to Staff Members. All staff are assigned a personal computer (PC.) The PCs
are connected to the Office mainframe. Staff are responsible for taking care of the equipment assigned to
them and reporting any problems to the Information Systems Branch.
Some ONHIR employees routinely lock their individual offices. The Information Systems Branch
will be provided keys to all offices so they may gain access to computer equipment for the purpose of
resolving issues (problems) with the hardware/software or wiring. (Management may require all staff to lock
MM#7030 ISSUED 10/31/2001; REVISED
1 AND REISSUED Dec 31, 2010.
MANAGEMENT SECTION 7000 INFORMATION SYSTEMS
MANUAL SUBJECT 7030 COMPUTER SECURITY __/s/CJB_
APPROVED
their office doors when they leave their office if it is determined that there is a significant risk of theft or
vandalism during the employee’s absence.)
4. Printers. There are several printers located throughout the ONHIR offices which are connected to
employee’s personal computer. Printers are accessible to persons having access to the offices or open areas in
which they are located.
5. Software. The software license is to be kept on file in the Information Systems Branch for all
software installed on Office personal computers.
6. Acquiring Equipment. It is the responsibility of Information Systems Branch staff to work closely
with staff and program managers to determine their hardware and software requirements, and to advise
management of equipment and software options and costs. This is accomplished through discussion with staff
and managers, analysis of work requirements, and research into available products, maintenance requirements,
and costs.
7. Installing and Moving Equipment. IS staff will be responsible for testing equipment when it is
received by the Office. IS staff will have the primary responsibility for determining the wiring network for
office electronic equipment and installing or overseeing the installation of equipment. Staff may not install
equipment without consulting with the Information Officer. If equipment needs to be removed from an
office or moved around for rearranging furniture, cleaning, etc. IS staff must be consulted.
7030.2 Data Security.
1. Data Saves. The Information Systems Branch performs a total of seventeen (17) *encrypted data
save processes during a week and also performs a bi-monthly *encrypted system save which all data on the
mainframe, AS/400, and the Server along with five (5) back-ups of the Exchange Server. These *encrypted
cartridges are kept off-site at a secured fireproof location.
(*The Office utilizes required encryption standards according to the National Institute of Standards and
Technology (NIST), and as required by Federal Information Security Management Act of 2002 (FISMA))
2. Employee Menus. IS staff will create an electronic "menu" for each employee. The content of an
employee's menu is determined by the employee's job function. The menu will list the electronic programs
which the employee can access, "read only" file inquiry, and data entry. Items can be added to or deleted
from an employee's menu to reflect changes in the employee's job responsibilities.
3. Passwords. Each employee will create a password for the purpose of accessing his/her menu. The
employee will be automatically notified when their password is about to expire. Employees are directed to
refer to the ONHIR Security Information Handbook, Topic 5, for additional instructions and information.
Employees should not create a password using their name, birth date, address, or personal information
known to others. Employees are instructed not to reveal their password to any un-authorized person.
MM#7030 ISSUED 10/31/2001; REVISED
2 AND REISSUED Dec 31, 2010.
MANAGEMENT SECTION 7000 INFORMATION SYSTEMS
MANUAL SUBJECT 7030 COMPUTER SECURITY __/s/CJB_
APPROVED
4. New Employees. The position Team Leader, Branch Manager or Human Resources Manager will
notify the Information Systems Branch when a new employee is hired. The employee will be assigned the
menu appropriate to that position and will receive instruction from IS concerning the creation of a password,
basic computer operations, and the contents of the employee's menu.
5. Terminating Employees. Employees who leave ONHIR employment will be removed from
computer access, usually on his/her last day of employment. Employees who are terminated for cause, or
whose continued access to electronic records is judged to place data at risk, may be removed immediately
upon instruction from management.
The Information Systems Branch will be informed when an employee leaves his/her employment with
the Office. The IS staff will change the employee's password to prevent continued access, and the list of word
processing documents created by the employee will be printed out and provided to the appropriate Team
Leader or Manager. The IS staff will delete any personal non-program documents created by the employee.
The departing employee’s Team Leader will inform IS staff of documents which should be retained, deleted,
or archived and who the document(s) should be transferred to.
6. Computer Sign-Off. ONHIR employees are instructed to lock their computer when they leave their
office for any period of time or Restart the computer when they leave the Office at the end of the work day to
prevent unauthorized access to their computer. Computer terminals which are connected to the AS/400 will
be automatically disconnected after one (1) hour if there is no keyboard activity.
7. Restrictions on Word Processing and Data Entry. An employee may provide another employee
with access to a document which he/she has created. The employee who created the document can request an
Information Systems Branch staff member accomplish the transfer of the document to the other employee or
the employee could email the document themselves.
Sensitive Client Data. Certain client data is considered sufficiently sensitive that the information can
only be entered in the electronic records by IS staff following management action. Instructions regarding such
data entry is generally contained in the program procedures. The Information Systems Branch will maintain a
manual record of data entry performed upon special request.
Accounting Records. Accounting file maintenance and batch entry is controlled by the Office’s
Financial Officer(FO) or in the absents of the FO the CIO may preform necessary maintenance.
8. Access to Data. Office staff who need information which is not contained in the programs on their
menu can request a report from the Information Systems Branch. The request must explain their need for the
information. Persons who are not ONHIR staff may submit a request for program data to the Freedom of
Information/Privacy Act Officer pursuant to the provisions of the Freedom of Information/Privacy Act.
MM#7030 ISSUED 10/31/2001; REVISED
3 AND REISSUED Dec 31, 2010.
MANAGEMENT SECTION 7000 INFORMATION SYSTEMS
MANUAL SUBJECT 7100 PERSONAL SOFTWARE ___/s/CJB___
APPROVED
SECTION 7000 INFORMATION SYSTEMS
SUBJECT 7100 PERSONAL SOFTWARE
POLICY.
ONHIR employees may load personal software, which will assist them in their duties, on their
office computer. Prior approval must be obtained from the Information Systems Branch for the
installation of personal software.
Instructions:
1. Employees may need the assistance of the Information Systems Branch staff to load
software to their personal computer.
2. Software products carry license agreements. In purchasing a software product the
employee agrees to the terms of the license. The employee must assure that loading the software on the
office PC does not violate the terms of the license agreement. Personal software can only be loaded to
the employee's PC from the original diskette or CD.
3. Employees may not download software from the Internet. Employees may not copy and
load software belonging to someone else; this is a violation of the terms of the software license.
4. Use of music CDs does not require authorization. Playing music CDs on the computer
should follow the same standards of office courtesy as playing the radio; the sound must not distract from
the employee's work, and it must be played at a low volume so as not to bother other staff. Employees
playing CDs will lower the volume or turn off the music if asked to do so.
5. Games may not be installed on the PC.
6. The installation of screen savers or wallpaper will follow the authorization procedures
listed above, as these additions can also interfere with the computer operating system.
7. Form MM#7100.l, “Personal Software Installation Form” must be completed and routed
to the Information Systems Branch for approval.
MM#7100 ISSUED 09/25/2000; REVISED AND
1. RE-ISSUED Dec 31, 2010.
MANAGEMENT SECTION 7000 INFORMATION SYSTEMS
MANUAL SUBJECT 7200 INTERNET POLICY ___/s/CJB__
APPROVED
This policy can also be found in Volume No. 1 - Policy Memo No. 10.
ONHIR INTERNET POLICY
Section 1: USE OF THE INTERNET
SCOPE.
Effective January, 1999, the Office of Navajo and Hopi Indian Relocation provided all employees
with access to personal computers (PCs) which are capable of connecting to the Internet. The Internet
provides a source of information which can benefit the professional and personal development of each
employee of the Office of Navajo and Hopi Indian Relocation and can benefit the ONHIR through enhanced
job performance.
In order to exercise this privilege, employees were required to participate in training scheduled by
the Office and to familiarize themselves with the acceptable use of the Internet.
BACKGROUND.
The Internet is comprised of thousands of interconnected networks which provide digital pathways
to millions of information sites. Because these networks subscribe to a common set of standards and
protocols, users have worldwide access to Internet hosts and their associated applications and databases.
Electronic search and retrieval tools permit users to gather information and data from a multitude of sources
and to communicate with other Internet users who have related interests.
Access to the Internet provides government agencies with the opportunity to locate and use current
historic data from multiple sources in their decision making processes. Employees are encouraged to develop
the skills necessary to effectively utilize these tools in the performance of their jobs and to prepare
themselves for future employment when the Office closes.
POLICY.
It is the policy of the ONHIR that employees will be encouraged to access the Internet using ONHIR
computer equipment during work and personal time on the Office premises to build their search and retrieval
skills. It is expected that employees will use the Internet to improve their job knowledge; to access legal,
regulatory, technical, and other information on topics which have relevance to the ONHIR; and to
communicate with employees of other government and private agencies whose services and products relate
to the work of the ONHIR.
Users must be aware that when they access the Internet using the ONHIR sign-on address they will
be perceived by others as representing the ONHIR. Users may not use the Internet for any purpose which
would reflect negatively on the ONHIR or its employees.
Improper or unauthorized use of the Internet, including the E-mail function discussed in the next
section, may be grounds for restricting the employee’s use of the Internet or disciplinary action.
Issued 11/13/2000; Revised
1 Dec 31, 2010.
MANAGEMENT SECTION 7000 INFORMATION SYSTEMS
MANUAL SUBJECT 7200 INTERNET POLICY ___/s/CJB__
APPROVED
DOWNLOADING INFORMATION.
With authorization, staff may download files or graphics for government business purposes only.
Downloading is a process by which a copy of a document or file is transferred to and stored on a computer
for future retrieval and use. Downloading files can result in operating system conflicts and can import
viruses to the Network and the PC. Consequently, with the exception of those key positions to which pre-
approval has been granted, all staff must obtain advance approval from the Chief Information Officer prior
to downloading files onto their personal computer.
USE OF THE INTERNET.
The ONHIR computer system is for official use. Personal use is permitted in accordance with the
guidelines set forth below. Employees who are skilled at using the Internet are encouraged to guide and
encourage other employees. ONHIR employees are permitted to engage in the following activities:
1. Access job-related information as needed to meet the requirements of their jobs.
2. Access information and graphics to enhance Internet use skills. It is expected that these
skills will be used to improve the accomplishment and job assignments.
3. Search for job opportunities. Recognizing that the ONHIR is gradually phasing down,
employees are encouraged to engage in job search to prepare themselves for other
employment.
The following uses of the Internet are not allowed, either during working hours or on personal
time, using the ONHIR equipment. Employees may not:
1. Access or visit, retrieve, download, print, store, create, transmit or copy text from,
any Internet site which displays or advocates material which is sexually explicit in nature
or related to sexual orientation, gambling, illegal weapons, terrorist activity, is offensive to
co-workers or the public which shall include hate speech, and/or material which ridicules
others based on race, creed, sex, religion, color, disability, national origin, culture or sexual
orientation.
2. Access, retrieve, or print text or graphics which exceed the bounds of generally accepted
standards of good taste and ethics.
3. Engage in any unlawful activity or any other activity which would in any way bring discredit
to the ONHIR.
4. Offer services or merchandise for sale on the Internet.
5. Purposely engage in any activity or access an Internet site which would allow someone to
Issued 11/13/2000; Revised
2 Dec 31, 2010.
MANAGEMENT SECTION 7000 INFORMATION SYSTEMS
MANUAL SUBJECT 7200 INTERNET POLICY ___/s/CJB__
APPROVED
invade the ONHIR computer system for the purpose of accessing, altering, or destroying
agency records.
6. Engage in any fund raising activity, endorse any product or services, participate in any
lobbying activity, or engage in any prohibited political activity.
7. Employees may not disclose their passwords to visitors or family members. Visitors and
family members are not permitted to access the Internet using an employee’s PC.
USER RESPONSIBILITIES.
Employees shall limit the amount of time spent accessing Internet sites for personal use. As a
guideline, personal use of the Internet should be limited to morning and afternoon breaks, lunch breaks, and
after hours. Employees are specifically responsible for:
1. Following Office security policies and procedures in their use of Internet services and will
refrain from practices which might jeopardize the ONHIR computer systems and files.
2. Familiarizing themselves with any special requirements for accessing, protecting and
utilizing data, including Privacy Act materials, copyrighted materials, and the procurement
of sensitive data.
3. Conducting themselves in a way that reflects positively on the ONHIR.
MONITORING.
The ONHIR procures its Internet connection through “Sprint” by way of the Department of
Homeland Security [DHS.] The Service screens out certain inappropriate sites from user access for all
subscribers. These sites include pornography, gambling, drugs, militancy, dating and violence.
This Service, when requested, will provide ONHIR with reports of the sites accessed by ONHIR
employees. These reports record the date and time the sites were accessed. The reports are intended to
provide management with information as to the extent and nature of Internet use by employees.
MONITORING EMPLOYEES.
If a supervisor is concerned that an employee may be spending government time accessing the
Internet for personal use; or is accessing inappropriate sites, the supervisor may ask the Chief Information
Officer to individually electronically monitor the employee’s use of the Internet. Employees need to be
aware that any site they visit on the Internet may be subject to scrutiny and accordingly should assure
themselves that it is an appropriate site and that their action in visiting the site will not reflect poorly upon
the ONHIR or the government. Staff are cautioned that although our server does screen out inappropriate
sites, this process is not 100% effective and that ultimately the responsibility for the proper use of the
Internet at work rests with the employee.
Issued 11/13/2000; Revised
3 Dec 31, 2010.
MANAGEMENT SECTION 7000 INFORMATION SYSTEMS
MANUAL SUBJECT 7200 INTERNET POLICY ___/s/CJB__
APPROVED
SUPERVISOR RESPONSIBILITIES.
When questions arise, supervisors with line authority shall be responsible for making the initial
determination about the appropriateness of their employee’s use of the Internet. This shall include the
acceptability of Internet sites visited and the determination of personal time versus official work hours.
Issues of employee conduct with respect to Internet use which are not resolved at the supervisory
level will be referred through the chain of command for resolution.
Section 2: USING E-MAIL
SCOPE.
With the installation of the Internet, ONHIR employees will have access to electronic mail.
E-mail will allow ONHIR employees to communicate more efficiently and economically but there are
responsibilities which accompany this new tool. Federal law and regulation about electronic mail is still
evolving. In the meantime, existing laws and regulations, including the Federal Records Act, the Freedom
of Information Act, and the Privacy Act, apply to electronic mail just as they do to paper and other media.
POLICY.
It is ONHIR policy to encourage all employees to take advantage of the increased efficiencies made
possible by electronic mail in conducting Office business. Employees shall have desktop access to
electronic mail for both sending and receiving messages. Electronic mail is by far the least expensive form
of communication available and, absent other factors, it should be the communications medium of choice.
Correspondence should be transmitted via electronic mail when possible. It is anticipated that electronic mail
will be used as extensively as feasible for communications with other federal agencies, with state and tribal
government agencies, contractors and vendors.
Employees may use electronic mail for personal communications with restrictions equivalent to those
governing the use of government telephones. Employees are advised that there is no expectation of privacy
with respect to their personal E-mail. Personal E-mail communications must be infrequent, brief, and present
minimal cost to the government. E-mail may be used to communicate with offices and businesses which are
only open during regular working hours, when it would be impractical for the employee to have to leave the
office. E-mail may also be used to contact family members when necessary to communicate an urgent or
important message.
Electronic mail messages may be government records. Supervisors shall apply management controls
in order to ensure compliance with applicable laws and regulations and accepted standards for record
keeping, accountability, and protocol.
Issued 11/13/2000; Revised
4 Dec 31, 2010.
MANAGEMENT SECTION 7000 INFORMATION SYSTEMS
MANUAL SUBJECT 7200 INTERNET POLICY ___/s/CJB__
APPROVED
GENERAL USE AND PROTOCOLS.
1. Some electronic mail messages may constitute official government records and as such
they may be subject to release pursuant to the Freedom of Information Act and/or all other
legal requirements that deal with government records. They also may be subject to the
civil “discovery” process used by parties to litigation.
2. Since electronic mail messages can be official government records they are not private,
however, they are generally kept confidential. They may be reviewed by supervisors in the
same manner that mailed and faxed communications are reviewed. All electronic mail
messages should be analyzed for their status as records or non-record materials under the
Federal Records Act.
3. Client file information and other information which requires approval of the Freedom of
Information/Privacy Act Officer for release from the manual records, also requires approval
for release via E-mail. Such requests should be directed to the FOIA/Privacy Act Officer.
4. The same standards of civility apply to electronic mail as to other forms of communication.
Use of profanity, slang, racial or ethnic slurs, sexually harassing language, and
slander are as inappropriate in electronic mail as elsewhere, and will not be
tolerated. Users are cautioned to choose words carefully, as facial expressions
and verbal inflection are not available to clarify the user’s meaning or intent. E-mail
must adhere to the same standard of conduct as expected in any written business
communication.
5. Users need to be aware of the impact of over-sized files and extremely large
volumes of mail on the Office printing facilities and adjust their requests to printer
availability accordingly.
6. Electronic mail may not be used to advertise personal services or goods for sale.
7. Staff are cautioned concerning the opening of E-mail and/or attachments from
unknown sources as they may contain viruses which can result in damage to the
ONHIR network and/or the personal computer.
8. Users are responsible for using the electronic mail professionally and considerately.
Misuse of electronic mail is cause for restriction on use and/or disciplinary action.
Issued 11/13/2000; Revised
5 Dec 31, 2010.
MANAGEMENT SECTION 7000 INFORMATION SYSTEMS
MANUAL SUBJECT 7200 INTERNET POLICY ___/s/CJB__
APPROVED
RESPONSIBILITIES OF USERS:
1. Employees are responsible for the general management and security of their mail,
mailboxes and passwords. They are responsible for checking their own mail in a
timely manner and for making arrangements for their mail to be checked when they
are out of the office for extended periods of time. They may disclose their
passwords to a supervisor or other staff who have need to know, such as a assistant
who must retrieve E-Mail in the employee’s absence. If a staff member is expecting
business correspondence which needs prompt action (ie. letter from an insurance
company or contractor) and plans to be out of the office, the assistant or supervisor
should be able to retrieve the document for appropriate action.
2. Correspondence or memoranda which is sent via electronic mail must adhere to
standard routing procedures. If a supervisor or team leader’s signature or
concurrence is required on a paper document, E-Mail will also require the team
leader or supervisor’s concurrence.
3. Correspondence sent by electronic mail should follow the standard correspondence
addressing procedures. The layout and features should be as simple as possible.
It should not contain bolds, underlines, special fonts, tables or other features as they
do not always translate well from other software to electronic mail and may create
printing problems or the recipient.
4. Users are responsible for assuring that the ONHIR’s manual files are complete and
that the manual copies are filed in the appropriate section of the manual file. When
E-mail is sent to or received from an outside agency, vendor, contractor, etc., it is the
responsibility of the originating staff member (or receiving staff member) to print a
copy of the electronic correspondence, with attachments, if any, for the manual file,
which may be a project file, client file, contract file, or vendor file. The paper file copy
of the electronic correspondence must contain the transmission data, including the
names of the sender and the addressee, the date the correspondence was sent,
and the fact that the correspondence was sent by electronic mail. The same
procedures shall be followed on internal E-mail (electronic correspondence or
memoranda sent from one ONHIR staff member or department to another.) The
foregoing applies to all E-mail which is government business related and meets the
definition of an “agency record.”
5. “Record” E-mails shall be printed, file in the appropriate system of records and then,
if no longer needed, deleted from the employee’s In-box.
6. Staff may receive E-mails which contain reference material or technical material
which they may wish to maintain on their computer for future use. E-mails of this
nature can be maintained on the employee’s computer for an indefinite period of time
at the discretion of the employee.
Issued 11/13/2000; Revised
6 Dec 31, 2010.
MANAGEMENT SECTION 7000 INFORMATION SYSTEMS
MANUAL SUBJECT 7200 INTERNET POLICY ___/s/CJB__
APPROVED
7. Electronic messages or mail of a temporary nature, such as notices of staff
meetings, CFC Fund raising, in-house training, training courses, temporary acting
delegations, Office functions of a social nature such as potlucks, etc., should be
deleted from the electronic record when the event has been completed.
8. E-mails which are purely personal in nature should be deleted after being read by the
addressee. Outgoing personal E-mails should be deleted by the employee as soon
as is reasonable.
9. Employees are cautioned that compliance with the foregoing schedule is important.
E-mail backups are created by capturing E-mails as they arrive from the server.
These backups are for recovery purposes only and are written over on a weekly
basis. Consequently, failure to properly save an important E-mail could result in it
being permanently lost.
* * * * * * * * * *
Employees are reminded that their use of the Internet is a privilege. There are
no exceptions to the foregoing policy and compliance is mandatory. The Office
has set in place monitoring functions to assure this compliance. Failure to
adhere to these policies will result in disciplinary action. If you have questions
concerning these policies, you should contact the Human Resources Office or
the Chief Information Officer.
Issued 11/13/2000; Revised
7 Dec 31, 2010.
MANAGEMENT SECTION 7000 INFORMATION SYSTEMS
MANUAL SUBJECT 7300 FEDERAL INFORMATION SECURITY
MANAGEMENT ACT ___/s/CJB_
APPROVED
SECTION 7000 INFORMATION SYSTEMS
SUBJECT 7300 FEDERAL INFORMATION SECURITY MANAGEMENT ACT
P.L.107-347, 44 U.S.C. §3541, et seq.
GENERAL
The Office of Navajo and Hopi Indian Relocation (formerly the Navajo-Hopi Indian Relocation
Commission) was established by Congress (P.L. 93-531, 25 U.S.,C. 640d.) for the singular purpose of
implementing the settlement of the land conflict between the Navajo Nation and the Hopi Tribe. As such
the Office is a “Sunset Agency;” and upon completion of its mission will close. In furtherance of its mission
the Office has compiled extensive personal information on those individuals who have requested relocation
assistance benefits and submitted applications for relocation assistance benefits. The security of this
information is of utmost importance to the Office.
POLICY
POLICY MEMORANDUM NO. 13:
SUBJECT: FISMA Documents Policy
POLICY: The FISMA Documents Policy is hereby adopted.
DISCUSSION: It will be the policy of the relocation office to conform with all the Federal
Information Security Management Act of 2002 (FISMA) requirements and to move expeditiously to satisfy
the deficiency in reporting as soon as possible. Towards that end all procedures and file documentation will
be maintained in the IS Department as they are particular to that department and there are no implementation
responsibilities in any other departments.
The Office of Navajo and Hopi Indian Relocation has taken steps to ensure full compliance with the
provisions of the Federal Information Security Management Act, “FISMA,” and has to date implemented an
Incident Response Report Procedure. The Office is continuing in its goal of continuing efforts to ensure the
safety of the information/data collected for use in completion of its mission.
APPROVED /s/ Christopher J. Bavasi Date: 11/13/00
Executive Director
1Issued Dec 31,2012.
MANAGEMENT SECTION 7000 INFORMATION SYSTEMS
MANUAL SUBJECT 7300 FEDERAL INFORMATION SECURITY
MANAGEMENT ACT ___/s/CJB_
APPROVED
Note: A link to the Federal Information Security Management Act can be found on the ONHIR website Other Links.
In compliance with the provisions of “FISMA” the ONHIR has developed Policies, Procedures, and
Forms as set forth below, attached hereto, and by this reference incorporated herein.
ONHIR FISMA POLICIES, PROCEDURES, AND FORMS:
ONHIR FISMA NO. 1 - Incident Reporting Policy
Version No. 1.1 - October 2012
ONHIR FISMA NO. 2 - Incident Response/Reporting Procedure
Version No. 1.1 - October 2012
ONHIR FISMA NO. 3 - ONHIR Security Incident Reporting Form
October 2012
ONHIR FISMA NO. 4 - Information Security Policy
Version No. 1.1 - October 2012
ONHIR FISMA NO. 5 - Rules of Behavior Policy
Version No. 1.1 - October 2012
ONHIR FISMA NO. 6 - Sanitization of IT Equipment & Electronic Media
Policy/Procedure
Version No. 1.1 - October 2012
ONHIR FISMA NO. 7 - Risk Assessment Policy
Version No. 1.1 - October 2012
ONHIR FISMA NO. 8 - Computer Security Breach Notification Policy
ONHIR FISMA NO. 9 - Certification and Accreditation Policy
Version 1.1 - December 2012
ONHIR FISMA NO. 10 - Incident Response Plan
Version 1.0 - December 2012
ONHIR FISMA NO. 11 - System Maintenance Policy
Version 1.0 - December 2012
ONHIR FISMA NO. 12 - System Maintenance Procedure
Version 1.0 - December 2012
1Issued Dec 31,2012.

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