[Federal Register Volume 62, Number 79 (Thursday, April 24, 1997)]
[Notices]
[Pages 20068-20074]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-10639]



[[Page 20067]]

_______________________________________________________________________

Part II





Department of Housing and Urban Development





_______________________________________________________________________



Notice of Funding Availability; The Traditional Indian Housing 
Development Program Fiscal Year 1997; Notice

  Federal Register / Vol. 62, No. 79 / Thursday, April 24, 1997 / 
Notices  

[[Page 20068]]


=======================================================================
-----------------------------------------------------------------------


DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

[Docket No. FR-4167-N-01]


Notice of Funding Availability; The Traditional Indian Housing 
Development Program Fiscal Year 1997

AGENCY: Office of the Assistant Secretary for Public and Indian 
Housing, HUD.

ACTION: Notice of Funding Availability (NOFA) for fiscal year 1997.

-----------------------------------------------------------------------

SUMMARY: Purpose. This notice announces the availability of Fiscal Year 
(FY) 1997 funding for the development of new Indian Housing (IH) units 
and provides the applicable criteria, processing requirements and 
action timetable.
    Available Funds. $200,000,000.
    Eligible Applicants. All Indian housing authorities (IHAs) which 
meet the eligibility requirements specified at 24 CFR 950.207 are 
invited to submit applications for Indian Housing developments in 
accordance with the requirements of this NOFA.

DATES: Applications must be physically received by the area Office of 
Native American Programs (ONAP), within whose jurisdiction the 
applicant is located, on or before 3:00 p.m., ONAP local time, (June 9, 
1997). The applicant shall submit its application(s) for new housing 
units on Form HUD-52730 with all supporting documentation required by 
Appendix 2.

FOR FURTHER INFORMATION CONTACT: Applicants may contact the appropriate 
area ONAP for further information. Refer to Appendix 1, for a complete 
list of ONAPs and telephone numbers.

SUPPLEMENTARY INFORMATION:

Paperwork Reduction Act Statement

    In accordance with the Paperwork Reduction Act of 1995 (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-
0130. An agency may not conduct or sponsor, and a person is not 
required to respond to, a collection of information unless the 
collection displays a valid control number.

Promoting Comprehensive Approaches to Housing and Community 
Development

    HUD is interested in promoting comprehensive, coordinated 
approaches to housing and community development. Economic development, 
community development, public housing revitalization, homeownership, 
assisted housing for special needs populations, supportive services, 
and welfare-to-work initiatives can work better if linked at the local 
level. Toward this end, the Department in recent years has developed 
the Consolidated Planning process designed to help communities 
undertake such approaches.
    In this spirit, it may be helpful for applicants under this NOFA to 
be aware of other related HUD NOFAs that have recently been published 
or are expected to be published in this fiscal year. By reviewing these 
NOFAs with respect to their program purposes and the eligibility of 
applicants and activities, applicants may be able to relate the 
activities proposed for funding under this NOFA to the recent and 
upcoming NOFAs and to the community's Consolidated Plan. While tribes 
and Indian housing authorities are not required to execute a 
Consolidated Plan, comprehensive planning by tribes is encouraged.
    Related NOFAs that the Department has published are as follows: the 
NOFA for Emergency Shelter Grants Set-Aside for Indian Tribes and 
Alaskan Native Villages, the NOFA for the Block Grant Program for 
Indian Tribes and Alaskan Native Villages, and the NOFA for the Indian 
HOME Program. These three NOFAs were published on April 11, 1997, at 62 
FR 17970, 17976, and 17992, respectively.
    To foster comprehensive, coordinated approaches by communities, the 
Department intends for the remainder of FY 1997 to continue to alert 
applicants of HUD's NOFA activity. In addition, a complete schedule of 
NOFAs to be published during the fiscal year and those already 
published appears under the HUD Homepage on the Internet, which can be 
accessed at http://www.hud.gov.html. Additional steps to better 
coordinated HUD's NOFAs are being considered for FY 1998.
    For help in obtaining a copy of your community's Consolidated Plan, 
please contact the community development office of your municipal 
government.

Background Information

A. Changes From FY 1996 NOFA

    The Indian Housing Development NOFA for FY 1997 is essentially the 
same document published for the FY 1996 funding cycle with the 
following substantive changes:
1. Submission of Occupancy Data
    Submission requirements are expanded to include data on Indian 
Housing units under management by an IHA. Such information includes 
total number of units, number of units occupied, and number of vacant 
units.
2. Special Provision for Umbrella IHAs
    Umbrella IHAs (IHAs which serve two or more Federally recognized 
tribes or Alaska native villages [herein after referred to and included 
with tribes]) may now choose to submit either individual applications 
for member tribes or Alaska native villages or may include several 
tribes on one application. A tribe may be included on one application, 
per program type. When an umbrella IHA chooses to submit a multiple 
tribe application, the application will be rated by combining rating 
criteria for each tribe included in the application.
3. Program Coordination
    In order to effectively implement the Department's emphasis on 
place-based funding, a new rating criterion has been added. Applicants 
that have demonstrated coordination with programs designed and 
implemented through other tribal or regional governmental entities or 
cooperation with non-profit groups that have reduced the cost of 
services to be provided; maximized the effective use of grant funds; 
and/or addressed a broad range of community-based assistance will 
receive up to 5 points. To be eligible for the award of points, the 
applicant must provide in its application a narrative which describes 
its efforts and success in coordinating community-based programs and 
documentation which supports the cooperation and coordination of the 
resources described.
    Please note: In the implementation of services, the rating criteria 
for allotting such services should not be disability related (diagnosis 
specific) or restricted to only persons with disabilities.
4. Guidance Relating to Moderate Design
    A section has been added at II.F. providing guidance to IHAs in 
developing moderate design standards for the development of new 
housing.

B. Other Items

1. Funding for Replacement Units
    The Departments of Veterans Affairs and Housing and Urban 
Development, and Independent Agencies Appropriations Act, 1997 (Pub. L. 
104-204), (the Appropriations Act) extends the provision removing the 
requirement that an IHA replace units it demolishes or disposes (one-
for-one replacement). Approval to demolish or dispose of

[[Page 20069]]

units developed under the U.S. Housing Act of 1937 (42 U.S.C. 1437c, 
1437d) continues to be governed by the requirements of 24 CFR 950, 
subpart M, as modified by the Appropriations Act. The Department is not 
reserving funds under this NOFA to provide replacement housing for 
units approved for demolition or disposition. For approved demolition 
or disposition applications where the Department has committed to 
funding replacement units, such applications will be funded from the 
fund assignment (see section I.B.) for the ONAP wherein the IHA resides 
before the funding decisions are made in response to this NOFA. Any IHA 
with an approved demolition/disposition program which includes a HUD 
commitment to provide replacement housing must submit a completed 
application per Appendix 2 of this NOFA. This application may be 
submitted at any time--the ONAP will take action on it as soon as it is 
received.
2. Correction of Error From the FY 1996 Competition
    In the FY 1996 NOFA for Traditional Indian Housing Development, a 
provision was included which allowed IHAs that lost units/funds due to 
the rescission of new Indian Housing Development funds in FY 1995 to 
apply for replacement units. An error was made by HUD which precluded 
the Cheyenne River Housing Authority (CRHA) from receiving funding for 
units the Housing Authority lost due to the rescission. This error may 
be corrected by submittal to the ONAP of a request for reconsideration 
by the CRHA prior to the date for submission of applications listed in 
this NOFA. The ONAP will consider the request for reconsideration as an 
error under II.E. below and process the request under the provisions of 
that section.

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; Section 23 U.S. Housing Act of 1937, as amended 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 
950.
3. 24 CFR Part 135. Economic Opportunities for Low and Very Low Income 
Persons
    All applicants are herein notified that the provisions of section 3 
of the Housing and Urban Development Act of 1968, as amended, and the 
regulations in 24 CFR part 135 are applicable to funding awards made 
under this NOFA. One of the purposes of the assistance is to give, to 
the greatest extent feasible, and consistent with existing Federal, 
state, and local laws and regulations, job training, employment, 
contracting and other economic opportunities to section 3 residents and 
section 3 business concerns. IHAs and tribes that receive HUD 
assistance described in this part shall comply with the procedures and 
requirements of this part to the maximum extent consistent with, but 
not in derogation of, compliance with section 7(b) of the Indian Self-
Determination and Education Assistance Act (25 U.S.C. 450e(b).

B. Development Allocation Amount

    The Appropriations Act made available $200,000,000 of budget 
authority for the Indian Housing Development program (new Indian 
Housing 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.
    Section 201(b) of the 1997 Appropriations Act extends through 
September 30, 1997, the 1996 Appropriations Act provisions suspending 
the one-for-one replacement requirements of section 18(b)(3) of the 
United States Housing Act of 1937. Accordingly, no new development 
funds have been specifically identified to fund replacements for units 
demolished or disposed of by IHAs. However, any unfunded commitments 
made in prior fiscal years, and any commitments for replacement units 
made in fiscal year 1997 prior to the funding decisions made under this 
NOFA shall be funded from the funds assigned under this NOFA to that 
ONAP prior to funding new Indian Housing units.
    The competitive process described in this NOFA will be used to 
select IHA applications to be funded for new Indian Housing units. The 
table below indicates the grant authority available for new units in FY 
1997 for the six ONAPs, inclusive of funds needed to meet off-site 
sewer and water requirements.

                                                                        
------------------------------------------------------------------------
                      ONAP location                       Funds assigned
------------------------------------------------------------------------
Eastern/Woodlands.......................................     $28,109,400
Southern Plains.........................................      29,503,401
Northern Plains.........................................      22,991,801
Southwest...............................................      62,157,600
Northwest...............................................      18,148,000
Alaska..................................................      39,089,800
                                                         ---------------
      Total.............................................     200,000,000
------------------------------------------------------------------------

C. Eligibility for New Housing Units

1. Eligible Applicants
    All IHAs which meet the eligibility criteria specified at 24 CFR 
950.207 are invited to submit applications for new Indian Housing 
units.
2. Applications
    IHAs may submit one application per program type (mutual help and 
low rent). Umbrella IHAs may submit:
    a. One application per program type for each member tribe, or
    b. Applications which combine requests for housing for multiple 
tribes. Such applications will be rated by the ONAP as individual 
applications utilizing data combined for the appropriate tribes. Under 
no circumstances may a tribe be included on more than one application, 
per program type.
    An IHA representing a tribe or tribes that has not previously 
received housing assistance under the Indian Housing Program may submit 
one application for a maximum of 15 units (either mutual help or low 
rent) for each previously unserviced tribe.
3. State Created IHAs for Non-Federally Recognized Tribes
    To be considered responsive to this NOFA and to be included in the 
rating and ranking of applications, state created IHAs for non-
Federally recognized tribes must identify the general locality where 
the proposed units will be developed and certify that the proposed area 
of development is within the area of operation of the IHA. Area of 
operation is defined as a land area with defined geographical 
boundaries, which has a significant concentration of Indian families 
who:
    a. Are not served by a public housing authority or tribally-created 
IHA; and
    b. Have a bona fide historic presence or connection with the land, 
as recognized by the Federal Government or a state.

[[Page 20070]]

D. Development Award Application Process

1. Application Due Date
    An IHA may submit an application(s) for new Indian Housing units at 
any time after the publication date of this NOFA, to the ONAP within 
whose jurisdiction the IHA applicant is located, on or before 3:00 
p.m., ONAP local time, June 9, 1997. 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 facsimile 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
    An application kit and applicable forms may be obtained from any 
ONAP listed in Appendix 1.
3. Submittal of Complete Application
    Completed applications must be submitted to the ONAP, within whose 
jurisdiction the IHA applicant is located, at the address/location 
listed in Appendix 1.
4. Action on Application
    When the application is received by HUD, a written notification 
will be provided to the IHA showing the date and time the application 
was received in the ONAP. The ONAP will review each application for 
completeness and legal sufficiency. Applications that contain 
insufficient information to allow the ONAP to rate and rank the 
application will be considered non-responsive and will be returned to 
the IHA. After completion of this review, the ONAP will rate and rank 
all remaining applications received from eligible applicants. The 
ranking will result in an ordered listing of applicants (see F.2. 
below).
5. Corrections to Deficient Applications
    After making funding decisions, the ONAP may condition approval of 
a grant upon receipt of items missing from responsive applications 
which rank high enough to be funded. Such grant condition may provide 
an IHA up to 14 calendar days to submit any identified missing 
information in a form acceptable to the ONAP. Failure by the IHA to 
submit requested information within the timeframe specified by the ONAP 
will result in the withdrawal of the grant offer.

E. Rating Factors and Selection Criteria

1. Rating and Ranking
    Rating and ranking of applications from IHAs for new Indian Housing 
units will be done in accordance with 24 CFR 950.225. 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 
(unless the new tribe is included on a multiple tribe application with 
a tribe that has previously received funding). 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. Applications from umbrella IHAs which 
contain multiple tribes on one application will be evaluated by 
combining data for each tribe/village included in the application. An 
umbrella IHA submitting an application for a new tribe along with the 
tribes that have been previously funded will not automatically receive 
100 points but will be evaluated on combined data from each tribe/
village included in the application.
    Newly created IHAs for tribes which have previously received 
housing units under an umbrella IHA shall not be awarded 100 points but 
scored as an established IHA utilizing the best available data relevant 
to the tribe's housing program. For each ONAP jurisdiction, the 
rankings will be based on awarding points to each application for the 
following categories in accordance with the table of maximum points 
available per category by ONAP jurisdictional area (see h. below):
    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 maximum points for this category shall be awarded. Otherwise, the 
result of this division shall be multiplied by the maximum possible 
points available. If the IHA has 500 or more families on the waiting 
list, it is awarded the maximum points available for the category. If 
questions arise regarding the veracity of information on a waiting 
list, an ONAP may request an applicant to submit documentation 
supporting waiting list numbers, or may visit the IHA and review 
documentation maintained by the IHA.
    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 Indian Housing data supplied by 
the IHA to HUD with the application for housing. Such data shall 
include, by program type: total number of units in management (include 
homeownership units which are paid off but not conveyed); total number 
of occupied units; and the total number of vacant units as of September 
30, 1996. 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 the maximum points available for 
the category to calculate an IHA's points for this category. 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 ONAP jurisdiction competition. A newly created IHA for a 
tribe which previously received housing units under an umbrella IHA 
shall be awarded a score based on the units within such tribe's 
jurisdiction whether or not the ownership and management of such units 
have been transferred to the newly created IHA.
    c. Length of time since the last new Indian Housing Development 
grant was approved. Two points will be awarded for each year since the 
last grant award up to and including FY 1995, up to the maximum points 
available under this category. A newly created IHA for a tribe which 
previously received housing units under an umbrella IHA shall be 
awarded a score based on the last new Indian Housing Development grant 
approved within such tribe's jurisdiction. Units received for 
demolition or disposition purposes will not be counted for rating and 
ranking purposes for new Indian Housing units in FY 1997. For units 
awarded in FY 1996 due to the recision in FY 1995, the FY 1996 approval 
date will not be used; instead the latest approval date for the project 
or projects rescinded will be

[[Page 20071]]

used to determine the last project approval date.
    d. Current IHA development and physical improvements activity. This 
factor evaluates the IHA's performance during the past 24 months in 
developing new housing or maintaining/improving current housing. The 
ONAP will evaluate the IHA's performance in these areas and will award 
points based upon:
    (i) Compliance with the requirements specified under 24 CFR 
950.207(b);
    (ii) Compliance with Comprehensive Grant/modernization 
implementation schedules;
    (iii) Effectiveness of maintenance policies and procedures in 
protecting physical assets of the IHA;
    (iv) Effectiveness of the IHA's development and physical 
improvements contract administration.
    (v) Access for people with disabilities: (a) Compliance with 504 of 
the Rehabilitation Act of 1973 including structural access and 
integration of the housing within the larger community. (b) Efforts 
made by the IHA to incorporate the standards for ``visitability'' in 
all units (construction and renovation.)
    The ONAP will prepare written support for the number of points 
awarded which will be available to the IHA upon request. The ONAP shall 
take into consideration any unforeseen events such as natural disasters 
or other factors that may have precluded the IHA from meeting the 
criteria for this factor. The maximum points available for this 
category are listed in the table under h. below. A newly created IHA 
for a tribe which previously received housing units under an umbrella 
IHA shall be awarded a score based on the IHA's plan for developing and 
maintaining the units.
    e. A bonus of up to 5 points will be awarded to any application 
where the applicant clearly demonstrates:
    (i) Pre-planning of activities (detailed in chapters 1 through 4 of 
the Indian Housing Development Guide, 7450.I G, issued July 31, 1996) 
which includes site selection and coordination with other funding 
agencies, utility companies, and tribal departments, or
    (ii) That the applicant has identified and selected sites for the 
development which result in savings of not less than 5 percent of the 
proposed development cost from using existing utility systems, pre-
developed subdivision sites, or other items documented by the 
applicant, or
    (iii) Innovative approaches to development or financing which will 
significantly reduce the delivery time of housing or expand the number 
of houses developed without reducing quality.
    f. Program Coordination. Applicants that have demonstrated 
coordination with programs designed and implemented through other 
tribal or regional governmental entities or cooperation with non-profit 
groups that has reduced the cost of services to be provided; maximized 
the effective use of grant funds; and/or addressed a broad range of 
community-based assistance will receive up to 5 points. To be eligible 
for the award of points, the applicant must provide in its application 
a narrative which describes its efforts and success in coordinating 
community based programs and documentation which supports the 
cooperation and coordination of the resources described.
    g. Computation. Scores for ranking shall be carried out to two 
decimal places (xx.xx).
    h. Points available for each rating category. The following table 
reflects the maximum points available for each category for each of the 
ONAP jurisdictional areas:

                                         Points Awarded for Rating Factors                                      
----------------------------------------------------------------------------------------------------------------
                                                     (a)  Need    (b)  Occupancy     (c)  Time     (d)  Workload
----------------------------------------------------------------------------------------------------------------
Eastern/Woodlands...............................              30              20              20              30
Southern Plains.................................              35              10              25              30
Northern Plains.................................              25              10              20              45
Southwest.......................................              40              20              20              20
Northwest.......................................              10              10              20              60
Alaska..........................................              40              20              20              20
----------------------------------------------------------------------------------------------------------------

F. Selection Criteria

    1. The ranking process will produce an ordered list of IHA 
applications by ONAP jurisdiction 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 ONAP jurisdiction, the funds will be provided to more 
fully fund applications that were reduced due to the Units Award table 
shown below. (Note: in those cases where applications have already been 
approved for demolition or disposition, funds will be provided before 
the funding decisions are made under this NOFA.)
    2. 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 may be made and approved by the ONAP 
Administrator for the following reasons: 1. Equalization of units 
awarded to IHAs with similar scores 2. adjustments to assure the award 
of reasonably sized projects to all IHAs above a minimum score 
determined by the ONAP.

                                                                                                                                                        
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                             Eastern/        Southern        Northern                                                   
              Waiting list by program type                   Woodlands        Plains          Plains         Southwest       Northwest        Alaska    
--------------------------------------------------------------------------------------------------------------------------------------------------------
1,000 and above.........................................             110              50              20             240               5              20
750 to 999..............................................              85              50              20             160               5              20
500 to 749..............................................              65              50              20             120              25              20
400 to 499..............................................              50              40              20              80              20              20
300 to 399..............................................              40              30              20              60              15              20
200 to 299..............................................              35              20              20              40              10              20
199 and fewer...........................................              25              10              20              25               5              20
--------------------------------------------------------------------------------------------------------------------------------------------------------


[[Page 20072]]

    3. Tie breaker. In the case of ties, priority will be given to the 
application that has the highest scoring under the Current IHA 
development and physical improvements activity rating criterion 
(I.E.1.d.).

II. Other Matters

A. Accountability in the Provision of HUD Assistance

    Section 102 of the Department of Housing and Urban Development 
Reform Act of 1989 (HUD Reform Act) and the final rule codified at 24 
CFR part 4, subpart A, published on April 1, 1996 (61 FR 1448), contain 
a number of provisions that are designed to ensure greater 
accountability and integrity in the provision of certain types of 
assistance administered by HUD. On January 14, 1992, HUD published, at 
57 FR 1942, a notice that also provides information on the 
implementation of section 102. The documentation, public access, and 
disclosure requirements of section 102 are applicable to assistance 
awarded under this NOFA as follows:
    Documentation and public access requirements. HUD will ensure that 
documentation and other information regarding each application 
submitted pursuant to this NOFA are sufficient to indicate the basis 
upon which assistance was provided or denied. This material, including 
any letters of support, will be made available for public inspection 
for a five-year period beginning not less than 30 days after the award 
of the assistance. Material will be made available in accordance with 
the Freedom of Information Act (5 U.S.C. 552) and HUD's implementing 
regulations at 24 CFR part 15. In addition, HUD will include the 
recipients of assistance pursuant to this NOFA in its Federal Register 
notice of all recipients of HUD assistance awarded on a competitive 
basis.
    Disclosures. HUD will make available to the public for five years 
all applicant disclosure reports (HUD Form 2880) submitted in 
connection with this NOFA. Update reports (also Form 2880) will be made 
available along with the applicant disclosure reports, but in no case 
for a period less than three years. All reports--both applicant 
disclosures and updates--will be made available in accordance with the 
Freedom of Information Act (5 U.S.C. 552) and HUD's implementing 
regulations at 24 CFR part 15.

B. Prohibition Against Advance Information on Funding Decisions

    HUD's regulation implementing section 103 of the HUD Reform Act, 
codified as 24 CFR part 4, applies to the funding competition announced 
today. The requirements of the rule continue to apply until the 
announcement of 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 persons authorized to receive such 
information) 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 or employees who have ethics related questions should 
contact the HUD Ethics Law Division (202) 708-3815 (voice), (202) 708-
1112 (TTY). (These are not toll-free numbers.) For HUD employees who 
have specific program questions, the employee should contact the 
appropriate Field Office Counsel or Headquarters Counsel for the 
program to which the question pertains.

C. 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.
    Certification. A certification that no federally 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.''
    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.

D. Conversions

    During the first 24 months after Program Reservation, project 
conversion between program type (LR or MH) may only be approved by HUD 
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.

E. Errors in Ranking and Rating Fiscal Year 1996

    1. Errors made by an ONAP during the 1996 fiscal year rating and 
ranking that resulted in a change of rank order detrimental to an IHA 
may be corrected as follows:
    a. The ONAP will construct a hypothetical distribution that would 
have existed if the error had not been made, and
    b. The ONAP 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 an ONAP as 
follows:
    a. The ONAP will deduct any funds needed from the FY 1997 fair 
share assigned to that ONAP before any FY 1997 rating and rankings are 
completed.
    b. A correction of an error for an IHA will not adversely affect 
the IHA participation in the FY 1997 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 was made.

F. Moderate Design

    Housing developed under the Indian Housing Program is subject to 24 
CFR 950.255(c) which requires IHAs to select a moderate design 
standard. The definition of moderate design will vary between 
marketplaces; however, in adopting design standards, IHAs are to be 
guided by the following: Moderate design under the Indian Housing 
Program will result in a housing unit of a size and with amenities 
consistent with housing offered for sale in the general geographic area 
of the IHA's jurisdiction to buyers who are either first time 
homebuyers or who are at or below the median income for the area. 
Additionally, houses developed shall be of a consistent square footage 
and with amenities of like sized (number of bedrooms) units within the 
project. The cost to design and construct individual homes in any 
project may not deviate

[[Page 20073]]

more than 10 percent from the average cost of a home in the same 
development without approval from HUD. Any such approval will be based 
on site costs, special disability related accessories or for costs 
beyond the control of the IHA. Approval will not be granted if there 
are unnecessary design features. Notwithstanding the moderate design 
standard adopted by the IHA, houses developed under this NOFA must 
comply with the total development cost (TDC) limitations published 
periodically by HUD. The most recent TDC limitations were provided by 
Notice PIH 96-26 (HUD) issued on May 15, 1996.

G. Environment

    This NOFA provides funding under, and does not alter environmental 
requirements of 24 CFR part 950, a regulation that was previously 
published in the Federal Register, and this NOFA specifically refers 
below to the environmental review provisions of part 950. Therefore, in 
accordance with 24 CFR 50.19(c)(5), the issuance of this NOFA is 
categorically excluded from preparation of a Finding of No Significant 
Impact under the National Environmental Policy Act of 1969 (42 U.S.C. 
4321).
    For individual development projects, the IHA must comply with the 
environmental review procedures in 24 CFR part 58, including the 
limitation in section 58.22 on committing or expending funds before 
environmental clearance, in accordance with 24 CFR 950.247 and 
950.120(a).

H. Federalism Impact

    The General Counsel, as the Designated Official under section 6(a) 
of Executive Order 12612, Federalism, has determined that this NOFA 
does not have ``federalism implications'' because it does not have 
substantial direct effects on the States (including their political 
subdivisions), or on the distribution of power and responsibilities 
among the various levels of government. This NOFA only announces the 
availability of FY 1997 funding for the development of new Indian 
Housing units and provides the applicable criteria, processing 
requirements and action timetable.

I. Impact on the Family

    The General Counsel, as the Designated Official under Executive 
Order 12606, the Family, has determined that this NOFA has potential 
significant impact on family formation, maintenance, and general well-
being only to the extent that the selected IHA applications will fund 
new Indian Housing units. Since the potential impact on the family is 
considered beneficial, no further review under the Order is necessary.

J. Catalog of Federal Domestic Assistance

    The Catalog of Federal Domestic Assistance Program number is 14.850

K. Other Federal Requirements

    In order to be eligible for funding, activities must be in 
compliance with Section 504 of the Rehabilitation Act of 1973 and 
implementing regulations at 24 CFR 8, Fair Housing Act and implementing 
regulations and the Americans with Disabilities Act (ADA), as 
applicable.

    Dated: April 14, 1997.
Kevin E. Marchman,
Acting Assistant Secretary for Public and Indian Housing.


                               Appendix 1                               
------------------------------------------------------------------------
         Tribes & IHAs location                   ONAP addresses        
------------------------------------------------------------------------
East of the Mississippi River            Eastern/Woodlands Office of    
 (including all of Minnesota) and Iowa:   Native American Programs, 5P, 
 Mohammed Rahmah e-mail:                  Metcalfe Federal Building, 77 
 [email protected].            West Jackson Boulevard,       
                                          Chicago, Illinois 60604-3507, 
                                          (312) 886-4532 or (800) 735-  
                                          3239, TTY Numbers: 1-800-927- 
                                          9275 or 312-886-3741.         
Louisiana, Missouri, Kansas, Oklahoma,   Southern Plains Office of      
 and Texas except for Ysleta del Sur:     Native American Programs,     
 Sherry Hunt e-mail:                      6.IPI, 500 W. Main, Suite 400,
 [email protected].                Oklahoma City, Oklahoma 73102,
                                          (405) 553-7545, TTY Numbers:  
                                          (405) 231-4181 or (405) 231-  
                                          4891.                         
Colorado, Montana, Nebraska, North       Northern Plains Office of      
 Dakota, South Dakota, Utah and           Native American Programs, 8P, 
 Wyoming: Ann Roman e-mail:               First Interstate Tower North, 
 [email protected].                633 17th Street, Denver, Co   
                                          80202-3607, (303) 672-5465,   
                                          TTY Number: (303) 672-5248.   
Arizona, California, and Nevada:         Southwest Office of Native     
 Barbara Byestewa e-mail:                 American Programs, 9EPID, Two 
 [email protected].           Arizona Center, 400 North     
                                          Fifth Street, Suite 1650,     
                                          Phoenix, Arizona 85004-2361,  
                                          (602) 379-4143, TTY Number:   
                                          (602) 379-4461,               
                                         or                             
New Mexico and Ysleta del Sur in Texas:  Albuquerque Division of Native 
 Johnny Cata e-mail:                      American Programs, 9EPIDI,    
 [email protected].                Albuquerque Plaza, 201 3rd    
                                          Street, N.W. Suite 1830,      
                                          Albuquerque, New Mexico 87102-
                                          3368, (505) 766-1372, TTY     
                                          Number: None.                 
Idaho, Oregon and Washington: Dan Gough  Northwest Office of Native     
 e-mail: [email protected].           American Programs, 10PI, 909  
                                          First Avenue, Suite 300,      
                                          Seattle, Washington 98104-    
                                          1000, (206) 220-5273, TTY     
                                          Number: (206) 220-5185.       
Alaska: Donna Hartley e-mail:            Alaska Office of Native        
 [email protected].                  American Programs, 10.1PI, 949
                                          East 36th Avenue, Suite 401,  
                                          Anchorage, Alaska 99508-4399, 
                                          (907) 271-4625, TTY Number:   
                                          (907) 271-4328.               
------------------------------------------------------------------------

Appendix 2--New Indian Housing Development Application Submission 
Checklist

    Note: Certain submission requirements listed on the following 
checklist are 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 (5/94).
____ 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.

[[Page 20074]]

____ 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, 
in addition to the certifications included on Form HUD-52730 (5/94).

____ Certification Regarding Drug-Free Workplace Requirements as 
directed by 24 CFR 24.630(b).
____ Certification that the IHA has complied with all requirements 
of 24 CFR Part 135, which implements Section 3 of the HUD Act of 
1968, as amended.
____ Certification that the IHA has complied with Section 504 of the 
Rehabilitation Act of 1973, the Americans with Disabilities Act and 
the Indian Civil Rights Act or Fair Housing Act, as applicable.

    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.
____ Support for the IHA's intent 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).
____ Acknowledgement that there is a need for the housing assistance 
applied for that is not being met by private enterprise.
____ Assurance that there are, or will be available, public 
facilities and services adequate to serve the proposed housing. (If 
available, Tribal support is evidenced by attached letters from 
various organizations that will provide utilities and services to 
the proposed housing units.)

    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.
____ A table reflecting by program type: the total number of units 
in management (include homeownership units which are paid off but 
not conveyed), number of units occupied, and the number of vacant 
units as of September 30, 1996.
    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

    7. Optional Items:

____ 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 is required to execute a 
cooperation agreement(s) for the location involved, which is 
sufficient to cover the number of units in the application. The 
cooperation agreement may be submitted with the application but 
shall be submitted before HUD may enter into an Annual Contributions 
Contract (or amendment thereto) for funds in excess of planning 
needs of the project.

    8. Force Account. To enable the Field Office of Native American 
Programs to make an initial determination of the viability of the 
proposal, there are additional submission requirements for the 
application, including:

____ IHA justification for HUD approval of the force account method, 
pursuant to 24 CFR 950.215(b).
____ IHA or Tribal resolution agreeing to cover any costs in excess 
of the HUD-approved estimated construction cost.
____ Evidence that either the IHA or Tribe has the resources to 
cover such excess costs.
____ An action plan as outlined in the Indian Housing Development 
Guidebook, Chapter 11, Section 11-4, page 11-6.

    9. Special submittal requirements for state created IHAs for 
non-Federally recognized tribes:

____ Certification, signed by the Chairman of the IHA Board of 
Commissioners stating that sites selected or to be selected are 
within the IHA's area of operation.
____ Supporting documentation including maps, state laws and local 
ordinances, and other relevant information which documents the IHA's 
area of operation, i.e., defined geographic boundaries which have a 
significant concentration of Indian families who are not eligible to 
be served by a public housing authority or tribally created IHA and 
have a bona fide historic presence or connection with the land, as 
recognized by the Federal Government or a state.

[FR Doc. 97-10639 Filed 4-23-97; 8:45 am]
BILLING CODE 4210-33-P