[Federal Register Volume 59, Number 76 (Wednesday, April 20, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-9311]
[[Page Unknown]]
[Federal Register: April 20, 1994]
_______________________________________________________________________
Part II
Department of Housing and Urban Development
_______________________________________________________________________
Office of the Assistant Secretary for Public and Indian Housing
_______________________________________________________________________
NOFA for the Traditional Indian Housing Development Program for Fiscal
Year 1994; Notice
DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
Office of the Assistant Secretary for Public and Indian Housing
[Docket No. N-94-3736; FR-3624-N-01]
NOFA for the Traditional Indian Housing Development Program for
Fiscal Year 1994
AGENCY: Office of the Assistant Secretary for Public and Indian
Housing, HUD.
ACTION: Notice of funding availability (NOFA) for fiscal year 1994.
-----------------------------------------------------------------------
SUMMARY: A. This notice announces the availability of funding for
Fiscal Year (FY) 1994 for the development of new Indian housing (IH)
units and provides the applicable criteria, processing requirements and
action timetable. All Indian Housing Authorities (IHAs) which have not
been determined to be administratively incapable, in accordance with 24
CFR 905.135, are invited to submit applications for Indian housing
developments in accordance with the requirements of this NOFA.
B. This NOFA contains information concerning the purpose of this
NOFA; eligibility; available amounts; the procedures that an IHA must
follow to apply for new Indian housing units. The procedures for
rating, ranking, and funding IHA applications are also in this NOFA.
DATES: Applications must be physically received by the Indian field
office (FO) having jurisdiction over the applicant on or before 4:30
p.m. (FO local time) June 6, 1994 for new Indian housing units. The
applicant shall submit its application(s) for new housing units on Form
HUD-52730 with all supporting documentation required by Appendix 2, and
for demolition or disposition in accordance with 24 CFR part 905,
subpart M.
FOR FURTHER INFORMATION CONTACT: Applicants may contact the appropriate
Indian FO for further information. Refer to Appendix 1, for a complete
list of FOs and telephone numbers.
SUPPLEMENTARY INFORMATION:
Paperwork Reduction Act Statement
In accordance with the Paperwork Reduction Act of 1980 (44 U.S.C.
3501-3520), the information collection requirements contained in these
application procedures for development funds were reviewed by the
Office of Management and Budget and assigned OMB control number 2577-
0030.
I. New Development
A. Authority
1. Statutory Authority
Sections 5 and 6, U.S. Housing Act of 1937 (42 U.S.C. 1437c,
1437d), as amended; U.S. Department of Housing and Urban Development
and Independent Agencies' Appropriations Act for Fiscal Year 1993.
Section 23, U.S. Housing Act of 1937, as added by section 554,
Cranston-Gonzalez National Affordable Housing Act; section 7(d),
Department of Housing and Urban Development Act (42 U.S.C. 3535(d)).
2. Indian housing regulations
Indian housing development regulations are published at 24 CFR part
905.
B. Development Allocation Amount
The FY 1994 VA-HUD Appropriations Act (Pub. L. 103-124) made
available $263,000,000 of budget authority for the traditional Indian
Housing Development grants program (new Indian Housing units). Since
some of the appropriated funds (approximately 2.5%) are to be derived
from the recapture of prior year obligations, the actual amount
available may be less. However, other adjustments within the Annual
Contributions account in 1994, including the addition of carryover
funds, are expected to abate the impact of this loss. At the time of
this initial allocation of funds, $262,773,944 is available.
Up to $5,000,000 of the available Indian Housing Development funds
will be made available by the Department in order to provide funds
needed to replace units approved for demolition/disposition. Any
portion of the $5,000,000 that is not designated for demolition/
disposition replacements by July 1, 1994, as well as any amounts of
actual recaptures that are realized and reallotted to the program, will
be made available to the six Office of Native American Programs (ONAPs)
on the same basis as the amounts allocated for new units.
Each of the ONAP jurisdictions has been designated as the smallest
practical area for the allocation of assistance. Funds available for
new units will be assigned to the ONAPS consistent with 24 CFR 791.403.
The competitive process, described in this NOFA, will be used to
select IHA applications to be funded for new Indian Housing units.
Departmental compliance with the metropolitan/non-metropolitan
provisions of section 213(d) of the Housing and Community Development
Act of 1974 may require the selection of lower rated metropolitan
applications over higher rated non-metropolitan applications. The table
below indicates the amount of grant authority available for new units
in FY 1994 for the six ONAPs; the indicated amounts are inclusive of
funds to meet off-site sewer and water requirements.
Chicago................................................. $40,311,045
Oklahoma City........................................... 37,156,223
Denver.................................................. 27,792,801
Phoenix................................................. 81,414,746
Seattle................................................. 22,336,995
Anchorage............................................... 48,762,135
---------------
Total............................................... 257,773,944
C. Eligibility For New Housing Units
All IHAs which have not been determined to be administratively
incapable in accordance with 24 CFR 905.135, have been organized in
accordance with 24 CFR 905.125 and 905.126, and have the required
Tribal and/or local cooperation agreements as required by the U.S.
Housing Act of 1937, as amended, are invited to submit applications for
new Indian housing units.
All IHAs that have developments assisted under the U.S. Housing Act
of 1937, as amended, and meet the requirements of 24 CFR part 905
subpart M, may apply for funds for demolition or disposition, whether
eligible for new units or not.
D. Development Award Application Process
1. Application Due Date
An IHA may submit an application(s) for a project at any time after
the publication date of this NOFA, to the Indian FO having jurisdiction
over the IHA applicant on or before 4:30 p.m., FO local time, June 6,
1994 for new Indian housing units. The application(s) shall be
submitted on Form HUD-52730 and shall be accompanied by all the legal
and administrative attachments required by the form and the items
specified in Appendix 2. A FAX of the application will NOT constitute
physical delivery.
The application deadline is firm as to date and hour. HUD will
treat as ineligible for consideration any application that is received
after the application deadline. Applicants should make early submission
of their materials to avoid any risk of loss of eligibility brought
about by unanticipated delays or other delivery-related problems.
2. Application Kit
Application Form HUD-52730 may be obtained from any Indian FO
listed in Appendix 1, or from the Indian Housing Development Handbook
7450.1, Chapter 2.
3. Submittal of Complete Application
Completed applications must be submitted to the Indian FO having
jurisdiction of the IHA applicant at the address/location listed in
Appendix 1.
4. Action on Application
When the application is received by HUD, HUD will provide written
notification to the IHA showing the date and time the application was
received in the HUD office. The FO will begin review of the application
within 14 calendar days after the application deadline. The application
must be complete and must demonstrate legal sufficiency and the IHA
must not have been disqualified for funding of new projects, as
determined in accordance with Sec. 905.135. If it is evident that any
application fails to satisfy these technical requirements, the HUD FO
will immediately return the application and will identify, in writing,
the deficiencies. The IHA will be allowed to cure minor technical
deficiencies within 14 calendar days of written notification by HUD.
All responses must be in writing and received within 14 calendar days
of the date HUD issues a written notification of deficiency. Under no
circumstances may an applicant submit information which would affect
the rating of the application after the original due date for
application submission.
E. Ranking Factors and Selection Criteria
1. Rating and Ranking
Rating and ranking of applications from IHAs for new IH units will
be done in accordance 24 CFR 905.220. Applications from new IHAs, or,
in the case of an umbrella IHA that has added a new tribe, the
application from the new tribe, will receive 100 points. If an IHA that
serves more than one tribal government, or, in the case of Alaska, more
than one village, submits applications for housing units in several of
the communities, each application will be treated separately, for
purposes of the number of points awarded.
For each Region, the rankings will be based on awarding points to
each application for the following categories:
a. The relative unmet IHA need for housing units compared to the
other eligible applications for that program type (i.e., low rent (LR)
or mutual help (MH)), based on IHA waiting lists and the total number
of units in management and in the development pipeline. There should be
a separate waiting list for each program type. This need will be
measured for each program type by dividing the number of families on
the waiting list, by the IHA's total number of units in management and
under development. If the result of this division is greater than 1.00,
the points for this category shall be 40. Otherwise, the result of this
division shall be multiplied by 40. If the IHA has 500 or more families
on the waiting list, it is awarded the 40 points. The maximum number of
points an IHA can receive is 40 points.
b. The relative IHA occupancy rate compared to the occupancy rates
of other eligible IHA applications for that program type. The occupancy
rate for an IHA shall be derived from the most recent data entered in
the HUD Management Information Retrieval System (MIRS) national data
base, which reports total units available and total units occupied
based on information supplied by IHAs on forms submitted periodically
to HUD. For all IHA projects in management, the total number of units
occupied is divided by the total number of units available, multiplied
by 100. This occupancy rate for an IHA will then be divided by the
highest occupancy rate of any IHA (never to exceed 97%, in any event),
and this ratio shall be multiplied by 20 to calculate an IHA's points
for this category. The maximum number of points that an IHA can receive
is 20 points. An existing IHA that is applying for a previously
unfunded program type will be awarded a score equal to the highest
rated score for this factor in the Regional competition.
c. Length of time since the last Program Reservation date. The
number of days from January 1, 1994 to the date of the last Program
Reservation for an IHA shall be divided by the longest time, in number
of days, since the last Program Reservation for any IHA. This ratio
shall be multiplied by 20 to calculate an IHA's points for this
category. The maximum number of points that an IHA can receive is 20
points. FSS fund reservations for FY 1991 or FY 1992 and units received
for demolition or disposition purposes will not be counted for rating
and ranking purposes for new Indian housing units in FY 1994.
d. Current IHA development pipeline activity. The maximum number of
points available for this factor is 20 and each IHA will start with 20
points. For each IHA development that was not completed (submittal of
the ADCC documents) on January 1, 1994, points will be deducted as
follows:
(1) For each IHA development which, within the past 24 months from
the date this application was submitted, has not submitted an
approvable Development Program within one year from the Program
Reservation date for conventional and 18 months for turnkey development
methods, 2 points may be deducted at the discretion of the ONAP
Director up to a maximum deduction of 20 points.
(2) For each IHA development which, within the past 24 months from
the date this application was submitted, has not achieved construction
start within 30 months from the date of the Program Reservation (not
counting days under statutory exclusions), 2 points may be deducted at
the discretion of the ONAP up to a maximum deduction of 20 points.
(3) For each IHA development not meeting HUD requirements (during
the past 24 months from the date of this application) for
administration of development contracts as set forth in the regulations
and handbooks, 2 points may be deducted at the discretion of the ONAP
Director up to a maximum deduction of 20 points.
e. Computation. Scores for ranking shall be carried out to two
decimal places (xx.xx).
2. Selection Criteria
a. The ranking process will produce an ordered list of IHA
applications by Region that may receive funding. The order is
established by the total number of points the application received in
the rating process. If any funds remain after the initial funding cycle
within the Region, the funds will be provided to more fully fund
applications that were reduced due to the Maximum Units Award table
shown in paragraph b. below.
b. The number of units awarded shall be based upon the following
table to ensure a more equitable distribution and meaningful
competition based on need. Exceptions to the maximum number of units
awarded based on the table shall be made and approved by the Field
Office Director upon proper justification.
------------------------------------------------------------------------
Maximum units
awarded
Total of all units IHA requested in application(s) by (subject to
program type availability)
------------------------------------------------------------------------
1,000 and above.......................................... 300
750 to 999............................................... 200
500 to 749............................................... 150
400 to 499............................................... 100
300 to 399............................................... 80
200 to 299............................................... 60
199 or fewer............................................. 40
------------------------------------------------------------------------
If an IHA that serves more than one tribal government, or in the
case of Alaska, more than one village, submits applications for housing
units in several of the communities, each application will be treated
separately, for purposes of the number of units awarded.
c. Tie breaker. In the case of ties, priority will be given to the
application that has the highest ratio of units to:
(1). Pre-approved sites, and, if there is still a tie,
(2). BIA approved leases for the proposed project site(s).
3. Replacement Housing
IHA applications for demolition or disposition may require a
commitment for replacement housing units on a one-for-one replacement
to comply with requirements of section 18 of the U.S. Housing Act, as
amended. IHAs are to process requests for demolition or disposition in
accordance with 24 CFR part 905, subpart M.
F. Requests For Amendment Funds
1. Amendment funds may not be used for FY 94 approved projects.
However, this will not restrict the availability of amendment funds in
future years to those applicants approved in FY 1994.
2. Amendment funds will not be distributed to FOs on the same basis
as funds for new units. Instead, they will be distributed by HUD
Headquarters on the basis of (1) emergency requests from FOs or (2) in
response to amendment money need surveys submitted by the FOs as
requested. Requests that are not emergency requests will be evaluated
using the following order of priority:
a. Projects with HUD-approved litigation settlement payable or
which require funding to pay for litigation related legal costs.
b. Projects under construction to cover a HUD-approved cost
increase.
c. Projects require a HUD-approved cost increase to enter the
bidding process or execute construction contract/contract of sale.
d. Projects that require a HUD-approved cost increase for any
reason not listed above.
II. Other Matters
A. HUD Reform Act
1. Required Disclosures by Applicants.
a. Disclosures. All applicants are required to disclose information
with respect to any additional funds that can reasonably be expected to
be received by them as assistance in excess of $200,000 (in the
aggregate) during the Fiscal Year that will be related to the project.
Disclosure must be made relative to any related assistance from the
Federal Government (agencies or instrumentalities other than HUD), a
state, or a unit of general local government that is expected to be
made available with respect to the project for which the applicant is
seeking assistance.
The assistance shall include but not be limited to any loan, grant,
guarantee, insurance, payment, rebate, subsidy, credit, tax benefit, or
any other form of direct or indirect assistance.
b. Updates. The IHA applicant shall update this disclosure within
30 days of any substantial change. This update is required during the
period when an application is pending or assistance is being provided.
2. Prohibited Disclosures by HUD Employees.
HUD's regulation implementing section 103 of the Department of
Housing and Urban Development Reform Act of 1989 was published May 13,
1991 (56 FR 22088) and became effective on June 12, 1991. That
regulation, codified as 24 CFR part 4, applies to this funding
competition. The requirements of the rule continue to apply until the
selection of successful applicants. HUD employees involved in the
review of applications and in the making of funding decisions are
restrained by part 4 from providing advance information to any person
(other than an authorized employee of HUD) concerning funding
decisions, or from otherwise giving any applicant an unfair competitive
advantage. Persons who apply for assistance in this competition should
confine their inquiries to the subject areas permitted under 24 CFR
part 4.
Applicants who have questions should contact the HUD Office of
Ethics (202) 708-3815. (This is not a toll-free number.) The Office of
Ethics can provide information of a general nature to HUD employees, as
well. However, a HUD employee who has specific program questions, such
as whether particular subject matter can be discussed with persons
outside the Department, should contact his or her FO counsel, or
headquarters counsel for the IH development program.
B. Lobbying
Section 319 of the Department of the Interior and Related Agencies
Appropriations Act hereafter referred to as the ``Byrd amendment,''
prohibits grantees from using any federally appropriated funds to
influence federal employees, members of Congress, and congressional
staff regarding specific grants or contracts. The Department has
determined that the requirements of the Byrd amendment do not apply to
IHAs established by a Tribal government exercising its sovereign powers
with respect to expenditures specifically permitted by other Federal
law. The Byrd amendment requires all IHAs established under state law
to submit the following documents for applications for grants exceeding
$100,000.
1. Certification
A certification that no federal appropriated funds will be used for
lobbying purposes. The certification shall be submitted on the Form
entitled ``Certification for Contracts, Grants, Loans and Cooperative
Agreements''.
2. Disclosure Document
A document disclosing any lobbying activities (on Standard Form--
LLL, ``Disclosure of Lobbying Activities''), where any funds other than
federally appropriated funds will be or have been used to influence
federal employees, members of Congress, and congressional staff
regarding specific grants or contracts.
C. Conversions
Project conversion between program type (LR or MH) may only be
considered where:
1. An IHA submitted projects for mutual help (MH) and low rent
(LR), each scored high enough to be funded, and the IHA has the waiting
list to support the conversion, or
2. If only one application was submitted and approved, the
application upon re-ranking in the other program has to score at least
0.01 higher than the number of points achieved by the highest rated
application from any IHA which was not funded. If neither circumstance
exists, the request to convert will not be approved.
D. Errors in Ranking and Rating FY 1993
1. Errors made by a FO during the 1993 fiscal year's rating and
ranking that resulted in a change of rank order detrimental to an IHA
may be corrected as follows:
a. The FO will construct a hypothetical distribution that would
have existed if the error had not been made, and
b. The FO will determine what the unit award/funding would have
been for the IHA subject to the funds that were available at the time.
2. Remedial action will be taken for errors made by a FO as
follows:
a. The FO will deduct any funds needed from the FY 1994 fair share
assigned to that FO before any FY 1994 rating and rankings are
completed.
b. A correction of an error for an IHA will not adversely affect
the IHA participation on the FY 1994 rating and ranking process. The
IHA's application will be rated and ranked on the same basis as other
applications and as if no error had been made.
E. Environment
A Finding of No Significant Impact with respect to the environment
has been made in accordance with HUD regulations that implement section
102(2)(C) of the National Environmental Policy Act of 1969 (42 U.S.C.
4332). The Finding of No Significant Impact is available for public
inspection during business hours in the Office of the Rules Docket
Clerk, Office of General Counsel, room 10276, Department of Housing and
Urban Development, 451 Seventh Street SW., Washington, DC 20410.
Dated: April 5, 1994..
Joseph Shuldiner,
Assistant Secretary for Public and Indian Housing.
Appendix 1. Listing of Indian Field Offices.
Region V--Chicago
Chicago Office of Native American Programs, Metcalfe Federal
Building, 77 West Jackson Boulevard, Chicago, Illinois 60604-3507,
(312) 353-1282 or (800) 735-3239, TDD Numbers: 1-800-927-9275, 312-
886-3741.
Region VI--Oklahoma
Oklahoma City Office of Native American Programs, Murrah Federal
Building, 200 NW. 5th Street, Oklahoma City, Oklahoma 73102-3202,
(405) 231-4101, TDD Numbers: 405-231-4181, 405-231-4891.
Region VIII--Denver
Denver Office of Native American Programs, First Interstate Tower
North, 633 17th Street, Denver, Colorado 80202-3607, (303) 672-5462,
TDD Number: 303-844-6158.
Region IX --Phoenix
Office of Native American Programs, Two Arizona Center, 400 North
Fifth Street, suite 1650, Phoenix, Arizona 85004-2360, (603) 379-
4156, TDD Number: 602-379-4461.
Region IX --Albuquerque
Office of Native American Programs, suite 1830, 201 3rd St. NW.,
Albuquerque, New Mexico 87102-3368, (505) 766-1372, TDD Number:
None.
Region X--Seattle
Seattle Office of Native American Programs, 909 First Avenue, Suite
200, Seattle, Washington 98104-1000, (206) 220-5270, TDD Number:
None.
Region X--Anchorage
Anchorage Indian Housing Division, 949 East 36th Ave., suite 401,
Anchorage, Alaska 99508-4399, (907) 271-4633, TDD Number: 907-271-
4328.
Appendix 2--New Indian Housing Units. Development Application
Submission Checklist.
Certain submission requirements listed on the following
checklist is included on the application form HUD-52730. It is the
responsibility of the IHA to assure that all submission requirements
of the checklist are met whether through the application form or by
separate submittal:
1. Application Form HUD-52730:
______ Complete application on Form HUD-52730.
______ Attach all exhibits and tables as required.
2. IHA Resolution(s): each application must be accompanied by an IHA
Resolution which contains the following:
______ A statement that authorizes the submission of the
application for units.
______ A statement explaining how solid waste disposal for the
proposed development will be addressed.
______ A statement regarding the planned access to public
utility services and a listing of any official commitment(s) for
these utility services for the development.
______ The IHA Resolution must advise HUD of any persons with a
pecuniary interest in the proposed development. Persons with a
pecuniary interest in the development shall include but not be
limited to any developers, contractors, and consultants involved in
the application, planning, construction or implementation of the
development. During the period when an application is pending or
assistance is being provided, the applicant shall update the
disclosure required within thirty days of any substantial change.
3. Certifications: Each application must contain the following
certifications provided by the Executive Director on IHA letterhead.
______ Certification Regarding Drug-Free Workplace Requirements
as directed by 24 CFR 24.630 (b).
______ Certification that the IHA will comply with 24 CFR part
8, which implements section 504 of the Rehabilitation Act of 1973.
______ Certification that the IHA will comply with Uniform
Relocation Assistance and Real Property Acquisition Policies Act of
1970, as amended.
______ Certification that the IHA will adhere to the Federal
Uniform Accessibility Standards/Architectural Barriers Act of 1968.
______ For IHAs established under state law, a certification
that no federal appropriated funds will be used for lobbying
purposes. (Form entitled ``Certification for Contracts, Grants,
Loans and Cooperative Agreements.'')
______ Where applicable, and only for IHAs established under
state law, a statement disclosing lobbying activities using other
than federal appropriated funds. (Standard Form--LLL, ``Disclosure
of Lobbying Activities.'')
4. Letters: Each IHA application must be accompanied by a letter of
support signed by the CEO of the general local government
indicating:
______ support for the proposed application and development.
______ an authorization to apply for planning funds for the
development.
______ where applicable, assurance to HUD that access road needs
will be identified by Tribal Resolution (with BIA concurrence) and
entered on the BIA Indian Reservation Roads prioritization schedule
used by BIA for resource allocation (25 CFR part 170; 57 BIAM 4 and
Supplement 4; and 24 CFR part 905 B, appendix I, Item 6).
5. Supporting Documentation: Each application must be accompanied by
the following supporting documentation:
______ Disclosure of additional assistance from other sources
that will be used in association with the project for which the
applicant is seeking assistance.
______ Statement specifying the number of eligible applicant
families by program type (LR or MH). The statement must be supported
by a sufficient number of current applications from eligible
families maintained by the IHA.
______ Identify sites in the application in accordance with
Secs. 905.230, 905.245 and 905.407.
6. Items That Should Be Submitted, If Not Previously Submitted:
______ Certified copy of the Transcript of Proceedings
containing the IHA resolution pursuant to which the Application is
being made.
______ IHA Organization Transcript or General Certificate.
______ Tribal Ordinance.
______ Cooperation Agreements. Where the provisions of the
necessary local government cooperation are not contained in the
ordinance or other enactment creating the IHA, the IHA shall submit
an executed cooperation agreement (or copy of an existing one) for
the location involved, which is sufficient to cover the number of
units in the application.
7. Optional Items:
______ Preliminary Site Reports indicating pre-approved sites,
and BIA approved leases for the proposed project site(s), if any.
[FR Doc. 94-9311 Filed 4-19-94; 8:45 am]
BILLING CODE 4210-33-P