NOFA for the Traditional Indian Housing Development Program for Fiscal Year 1994; Notice DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

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