[Federal Register Volume 59, Number 47 (Thursday, March 10, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-5535]
[[Page Unknown]]
[Federal Register: March 10, 1994]
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Part VII
Department of Housing and Urban Development
_______________________________________________________________________
Office of the Assistant Secretary for Public and Indian Housing
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Funding Availability for Fiscal Year 1994 for Indian Applicants Under
the HOME Program; Notice
DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
Office of the Assistant Secretary for Public and Indian Housing
[Docket No. N-94-3720; FR-3617-N-01]
Funding Availability (NOFA) for Fiscal Year 1994 for Indian
Applicants Under the HOME Program
AGENCY: Office of the Assistant Secretary for Public and Indian
Housing, HUD.
ACTION: Notice of Funding Availability (NOFA) for Fiscal Year 1994 for
Indian Applicants for HOME Investment Partnerships Act (the HOME Act)
programs, referred to as the HOME program.
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SUMMARY: This NOFA announces the availability of $12.75 million in
funding for Fiscal Year (FY) 1994 for the HOME Program for Indian
tribes; provides the selection criteria; provides information on how to
apply; and explains how selections will be made. All eligible
applicants are invited to submit applications for HOME funds in
accordance with the requirements of this NOFA.
DATES: Applications must be received by the Office of Native American
Programs (ONAP) having jurisdiction over the applicant on or before
4:30 p.m. (ONAP local time) on July 15, 1994. This application deadline
is firm as to date and hour. The Department shall treat as ineligible
for consideration any application that is received after the 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. Facsimile (``FAX'') copies shall not
be accepted.
FOR FURTHER INFORMATION CONTACT: Prospective applicants may contact the
appropriate ONAP. Refer to Appendix 1 of this NOFA for a complete list
of ONAPs 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 HOME funds were reviewed by the Office of
Management and Budget for the HOME interim rule and approved under OMB
control number 2501-0013.
Changes From Last Year's NOFA
This year there are new forms for the Indian HOME Program. The
forms are referenced in the NOFA and will be included in the
Application Kit. Other changes from last year include a requirement
that the project be ready to go (to be further developed in the
Application Kit in the scoring of the evaluation criteria), and
clarification of what is a correctable deficiency. Submissions may be
for only one project per applicant. No project will receive funding in
an amount greater than $1.5 million.
NOFA Outline
I. Purpose and Substantive Description.
(a) Authority.
(b) Allocation Amounts.
(c) Eligibility.
(d) Eligibility Requirements.
(e) Selection Criteria and Ranking Factors.
II. Application Process.
(a) Application Packages.
(b) Submittal of Complete Application.
(c) Application Due Date.
III. Checklist of Application Submission Requirements.
IV. Other Matters.
(a) Environment.
(b) Energy.
(c) Federalism Impact.
(d) Family Impact.
(e) Section 102 of the HUD Reform Act.
(f) Section 103 of the HUD Reform Act.
(g) Section 112 of the HUD Reform Act.
(h) Monitoring.
List of Appendices
Appendix 1. List of local Offices of Native American Programs.
I. Purpose and Substantive Description
(a) Authority
The HOME Investment Partnerships Act (the HOME Act) (title II of
the Cranston-Gonzalez National Affordable Housing Act) was signed into
law on November 28, 1990 (Pub. L. 101-625), and created the HOME
Investment Partnerships (or HOME) Program that provides funds to Indian
tribes to expand the supply of affordable housing for very low-income
and low-income persons. Interim regulations for the HOME Investment
Partnerships Program are codified at 24 CFR part 92. The requirements
of 24 CFR part 92, subpart M (Secs. 92.600-92.652) apply specifically
to the Indian HOME program.
The HOME Act was amended October 28, 1992 by title II of the
Housing and Community Development Act of 1992 (HCDA 1992) (Pub. L. 102-
550). Amendments to the HOME rule were published on June 23, 1993 (58
FR 34130). Reference in this NOFA to sections and subparts of the HOME
rule refer to the rule as amended.
(b) Allocation Amounts
(1) Fiscal Year 1994 Funding. In accordance with section 217(a)(2)
of the HOME Act, each Fiscal Year (FY) HUD shall provide funds to
Indian tribes, totaling one percent (or such other percentage or amount
as authorized by Congress) of the amount appropriated for the HOME
program to expand the supply of affordable housing. Following the
procedures in the rule, the funds shall be awarded competitively. HUD
will hold a nationwide competition. For the fiscal year ending
September 30, 1994, the Departments of Veterans Affairs and Housing and
Urban Development, and Independent Agencies Appropriations Act of 1994,
(approved October 28, 1993, Pub. L. 103-124), appropriated a total of
$1.275 billion for the HOME program. Thus, the amount of funding
available for the HOME Indian program for the fiscal year ending
September 30, 1994 is $12.75 million.
(2) For FY 1994, HUD may award at least one grant to each of the
areas covered by the Offices of Native American Programs listed in
Appendix 1, for the purposes of geographic diversity.
(3) A tribe may only apply for grant assistance for one project.
(4) Project Grant Amount. The maximum grant amount per project is
$1.5 million. Projects may be funded at less than applied for levels.
In determining appropriate grant amounts to be awarded, the ONAP may
take into account the level of demand, the scale of the activity
proposed relative to need, the number of persons to be served, the
amount of funds required to achieve project objectives, and the
administrative capacity of the applicant to complete the activities in
a timely manner.
(5) If the Department does not award the entire $12.75 million in
this funding round because there is not a sufficient number of eligible
applications, the amount not awarded shall be awarded at another time.
(c) Eligibility
(1) Eligible Applicants. For the purposes of the HOME program,
eligible applicants are defined as any Indian Tribe, band, group, or
Nation, including Alaskan Indians, Aleuts, and Eskimos, and any Alaskan
Native Village of the United States that is considered an eligible
recipient under Title I of the Indian Self-Determination and Education
Assistance Act (25 U.S.C. 450) or was considered an eligible recipient
under the State and Local Fiscal Assistance Act of 1972 (31 U.S.C.
1221) before repeal of that Act. Eligible recipients under the Indian
Self-Determination and Education Assistance Act are determined by the
Bureau of Indian Affairs.
(2) Eligible Projects.
(i) Size and Location of a Project. A ``project'' may be located on
one or more sites. The applicant must identify the scale and location
of a project and show that the project is within the operating area of
the applicant. A project may be as small as one site or as large as the
operating area of the tribe. (NOTE: For purposes of the Uniform
Relocation Assistance and Real Property Acquisition Policies Act of
1970, as amended (URA), the term ``project'' means one or more
activities paid for in whole or in part with HUD financial assistance.
Two or more activities that are integrally related, each essential to
the other, are considered one project.)
(ii) Categories of Eligible Projects. In accordance with 24 CFR
92.604, there are four categories of projects that may be funded under
the HOME Indian program: (A) Housing rehabilitation (moderate and
substantial), (B) acquisition of housing, (C) new housing construction,
and (D) tenant-based rental assistance. Project types (A), (B), and (C)
may also include site improvements and relocation. A project may be for
rental or homeownership.
(A) A rehabilitation project consists of only rehabilitation, or
includes acquisition of units with rehabilitation.
(B) An acquisition project consists of the acquisition of standard
units not requiring rehabilitation.
(C) A new construction project consists of new construction of
housing and may include acquisition and demolition.
(D) A tenant-based rental assistance project consists of tenant-
based rental assistance, not tied to specific housing units.
(3) Eligible Activities. Eligible activities, in accordance with 24
CFR 92.611, are as follows:
(i) HOME funds may be used by an Indian tribe to provide incentives
to develop and support affordable rental housing and homeownership
affordability through the acquisition (including assistance to first-
time homebuyers), new construction, reconstruction, or moderate or
substantial rehabilitation of nonluxury housing with suitable
amenities, including real property acquisition, site improvements,
conversion, demolition, and other expenses, including financing costs,
relocation expenses of any displaced persons, families, businesses, or
organizations; to provide tenant-based rental assistance; and to pay
administrative costs. The specific eligible costs for these activities
are set forth in Sec. 92.612.
(ii) Acquisition of vacant land or demolition must be undertaken
only with respect to a particular housing project intended to provide
affordable housing, and for which funds for construction have been
committed.
(iii) Housing that has received an initial certificate of occupancy
or equivalent document within a one-year period before an Indian tribe
commits HOME funds to the project is new construction for purposes of
this part.
(iv) Conversion of an existing structure to affordable housing is
rehabilitation, unless the conversion entails adding a unit beyond the
existing walls, in which case, the project is new construction for
purposes of this part.
(v) Site improvements must be in keeping with improvements of
surrounding, standard projects. Site improvements include roads,
streets, sidewalks, curbs, gutters, and connections to utilities, such
as storm and sanitary sewers, water supply, gas, and electricity. The
``site'' of the improvements may include property adjacent or near the
immediate site of the housing if this property and the housing are
owned by the same entity (e.g., the housing is owned--at least until
sold to first-time homebuyers--by the tribe and the housing and the
improvements are located on a reservation). If the site improvements
will benefit housing (existing or future) in addition to housing
assisted with FY 1994 HOME Indian Program grant funds, only a pro-rated
share of the site improvements may be charged to the HOME grant.
(d) Eligibility Requirements
The applicant must ensure that its application meets each of the
eligibility requirements. The eligibility requirements, to be included
in the application package, are:
(1) A description of the proposed project (for this requirement,
use Form HUD-4122-I, Indian HOME Program Grants; Project Summary; the
component that addresses the summary description of the proposed
project). An application must provide a brief narrative summary
description of the proposed project that tells HUD what the applicant
wants to do with program funds. The applicant must include this brief
narrative summary description. While there are no points for this
project description requirement, it is a necessary eligibility
requirement. For an application to be considered for ranking, rating
and funding, it must include a brief description of the project or
projects proposed for funding.
(2) A schedule for the implementation of the proposed project (for
this requirement, use Form HUD-4125-I, Indian HOME Program Grants;
Implementation Schedule; the component that addresses the
implementation schedule for the proposed project). An application must
provide information that tells HUD about the applicant's schedule for
the project and the use of program funds. The applicant must include
this information. While there are no points for this project schedule
requirement, it is a necessary eligibility requirement. For an
application to be considered for ranking, rating and funding, it must
include information about the project schedule.
(3) In addition to providing a brief summary project description
and project schedule, an application must tell HUD how the project
meets the selection criteria. This NOFA presents the selection criteria
in section I.(e), below. The selection criteria are taken from the
regulation for the HOME program at 24 CFR 92.604. The applicant must
tell HUD how its project meets each of the criteria listed in this
NOFA. While there are no points for this requirement, it is also an
eligibility requirement.
(4) Although Indian tribes are not required to submit a
Comprehensive Housing Affordability Strategy (CHAS), a Tribal Housing
Plan, or a housing strategy to receive HOME funds, information is
required which demonstrates how the project will contribute to a
comprehensive approach for expanding the supply of affordable housing
for members of the Indian tribe (for this requirement use Form HUD-
4121-I, Indian HOME Program Grants; Comprehensive Approach; the
component that addresses the comprehensive approach for expanding the
supply of affordable housing).
(e) Selection Criteria and Ranking Factors
Each project submitted for grant funding shall be evaluated using
the three criteria provided in 24 CFR 92.604, as more fully explained
in sections I.(e) (1), (2), and (3) of this NOFA, below. See Figure 1.
For an application to be considered for rating, ranking, and funding,
all eligibility requirements must be addressed. After rating, the
project must receive at least 50 points to be considered for funding.
The complete rating and ranking process is described in detail at
section I.(e)(4).
HUD suggests that each applicant score its own project, even though
there is no requirement to do so. This will help to show how a project
might be scored by the reviewers. It will also help to show if the
application meets the eligibility requirement and the minimum point
score requirement (50 points), and where the strengths and weaknesses
in a project are located. Then, the applicant can strengthen the weaker
parts of a project and use the stronger parts as a model. Copies of the
scoring sheets that will be used by HUD to evaluate a project are
available from the ONAP.
The HOME program is for low-income and very low-income persons. In
the application, applicants should provide information on the median
income for the community in which the proposed project is located. If
this information is not available, the applicant should obtain it from
the ONAP.
Figure 1.--Indian HOME Program Scoring
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Maximum
Selection criteria points
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Need and design............................................ 30
Planning and implementation................................ 40
Leveraging................................................. 30
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(1) Need and Design--30 points maximum.
The first of the three criteria provided in 24 CFR 92.604 is: The
degree to which the proposed project addresses the housing needs of the
tribe as identified in the application and through other information
available to HUD in the application, and the degree to which the
proposed project is feasible while maximizing benefits to very low and
low-income families. This first criterion is divided into two parts
that will be examined and evaluated separately:
(i) Need--15 points maximum. The degree to which the proposed
project addresses the housing need(s) of the Indian tribe as identified
in the documentation for the project and through other information
available to HUD. Tribal need must be documented. This documentation
should include current IHA waiting lists, data on the degree of
overcrowding, percentage of population in need of housing based upon
census data, etc.
(ii) Project feasibility--15 points maximum. Project feasibility as
measured here is the degree to which the number and size of the
proposed housing units matches the need for low income housing
identified in the previous evaluation factor. Examples: There is a
match between the size of the proposed units and the size of units
needed by the low income families to be housed. There is a match
between the number of proposed units and the number of families to be
housed. Documentation for a project must demonstrate that:
(A) The proposed project is feasible for its community in terms of
the degree to which it maximizes benefits to very low and low-income
persons;
(B) The proposed project shall provide a sufficient number of units
of the appropriate size for the need that was identified;
(C) The units are suitable for occupancy (or shall be made
suitable);
(D) The units are in compliance with building code requirements or
shall be brought into compliance (modular and manufactured homes are
eligible forms of housing); and
(E) The project plan shall indicate a schedule for the
implementation of the expanded housing opportunities.
(2) Planning and Implementation--40 points maximum.
The second of the three criteria provided in 24 CFR 92.604 is: The
degree to which the financial, legal, and administrative actions
necessary to undertake the proposed project have been considered and
addressed in the documentation for the project, and the degree to which
the applicant has the administrative staff to carry out the project
successfully. Applicants must be concrete and specific in describing
the financial, administrative, and legal actions involved in the
project, and must describe their own administrative capability,
existing or planned, to carry out the project. The applicant must
demonstrate, using complete cost and revenue estimates for the project,
that the proposed project is feasible and meets the regulatory
affordability requirements. This criterion is divided into three parts
that will be examined and evaluated separately:
(i) Financial--15 points maximum.
(ii) Legal and Administrative Actions--10 points maximum.
(iii) Administrative Staffing--15 points maximum.
(3) Leveraging--30 points maximum.
The third of the three criteria provided in 24 CFR 92.604 is:
Leveraging of HOME funds. Leveraging is the degree to which other
sources of assistance, including, but not limited to: Loans, advances,
equity investments, interest subsidies, State funds, private
contributions, and in-kind contributions are used in conjunction with
HOME funds to carry out the proposed project. Funds from all such
sources to be used for the applicant's project shall be documented by a
written commitment and may be contingent on approval of the HOME award.
These resources shall be counted only if they are currently available
or shall be available within 3 months of grant notification. The degree
to which other sources of assistance are used shall be evaluated, and
points shall be awarded based upon the number of dollars available from
other sources of assistance divided by the number of HOME dollars
requested in the application.
(i) Points shall be awarded as presented in Table 1. For example,
when one hundred (or more) dollars are made available from other
sources of assistance for each one hundred dollars of HOME funds
requested in the application, the maximum number of points (30) is
awarded. When sixty dollars are made available from other sources of
assistance for each one hundred dollars of requested HOME funds, ten
points are earned.
Table 1.--Scoring Guide
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Leveraging
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Ratio Points Score
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1. 100% or more................................. 30
2. 80% but less than 100%....................... 20
3. 60% but less than 80%........................ 10
4. 40% but less than 60%........................ 5
5. Less than 40%................................ 0
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(ii) Ratio as a percentage is computed by dividing the number of
dollars made available from other sources of assistance by the number
of dollars of HOME funds requested in the application, and multiplying
by 100.
(iii) Applicants must provide documentation of the amount and
sources of additional funds, including mortgage insurance, tribal
funds, private contributions, tribal in-kind contributions directly
related to the activity (labor, material, and equipment, as well as for
soft costs, e.g., architectural and engineering costs, administrative
costs), etc., which are to be used in conjunction with HOME funds to
carry out the proposed project.
(iv) In-kind contributions must be documented. Land already owned
by the tribe shall not be counted. In the case of land donated by
individuals or entities, it shall be counted if the donation was
contingent upon the receipt of the award. All funds, services, and land
to be contributed must be documented. Land value shall be counted as a
contribution only to the extent of its appraised value. All appraisals
shall be in conformance with established and generally recognized
appraisal practices and procedures in common use by professional
appraisers. Donated services shall be accepted, provided: First, the
costs are demonstrated and determined necessary and directly
attributable to the actual development of the project; and second,
comparable costs and time estimates are submitted that justify the
costs attributable to the donated services or labor. Donated labor
shall be valued at a level necessary for the work provided and shall be
assessed at the skill level of the individual(s) providing the labor.
(v) The amounts recognized as leverage can include any other
Federal grant or assistance program. Loans secured through mortgage
loan insurance programs (e.g., section 248 mortgage loan insurance) can
be recognized as leverage.
(4) Application Review.
(i) Receipt, eligibility, correctable deficiencies, and non-
correctable deficiencies.
(A) Receipt. Upon receipt of the application, the ONAP will note
the date and time and provide written acknowledgement to the applicant
indicating the date and time the application was received.
(B) Eligibility. Each application will be screened at the ONAP for
eligibility. For the project to be considered further, the applicant
must be eligible. If the applicant proposes to involve its IHA, the IHA
must not have been disqualified for funding of new projects, as
determined in accordance with 24 CFR 905.135.
(C) Correctable deficiencies. The opportunity to correct a
technical, non-substantive deficiency is only given for those
deficiencies which would not affect the evaluation of the application.
Therefore, only minor administrative deficiencies are correctable.
These are a failure to submit a certification with the application or
failure to submit a signed certification with the application. An
applicant is not permitted to improve its application by filing
statements that address substantive requirements after the due date for
submissions has passed. If the application has correctable
deficiencies, the ONAP shall notify the applicant in writing that the
applicant has additional time to submit the missing item or correct the
mistake. The ONAP must receive the correction before the end of the
selection period.
(D) Non-correctable deficiencies. If the application does not
include all the items identified as non-correctable eligibility
requirements, the ONAP shall not request any corrections for
correctable deficiencies. The ONAP shall set it aside and not transmit
it to the national panel. When HUD announces its decisions concerning
the funding competition, the ONAP shall notify the applicant whose
application did not meet the eligibility requirements.
(ii) Eligibility requirements. Completeness will be determined by
the ONAP as to whether the application includes all the non-correctable
items, properly prepared and executed, identified in the Checklist of
Application Submission Requirements. Following receipt and eligibility
determination, but prior to advice to the applicant concerning
correctable deficiencies, the application will be reviewed by the ONAP
to determine whether the application includes all the items identified
as eligibility requirements under the Eligibility Requirements heading.
No rating or point scoring will be done. Therefore, ONAP review does
not include determining whether the application meets the minimum point
score requirement. After these ONAP reviews, each complete application
and each application which is complete except for correctable
deficiencies will be sent with the ONAP checklist by the ONAP to the
national panel for rating and ranking against the evaluation factors.
(iii) Rating and ranking. There will be a single national rating
and ranking of projects for a national competition.
The reviewer should use as a guide Figure 2.--Rating Form for
Indian HOME Grant Applications, below, to roll-up the scores for each
of the selection criteria.
BILLING CODE 4210-33-P
TN10MR94.019
BILLING CODE 4210-33-C
(A) Merged ranking. After the projects from all applicants have
been rated, their scores will be assembled in a single, merged list of
scores for all rated projects. There will be a single national list.
(B) Computation. Scores for ranking will be carried out to two
decimal places (e.g., 12.34).
(C) Selection. The ranking process will produce an ordered list of
projects that may receive funding. The order is established by the
number of points the project received in the rating process. The
eligibility requirement for further consideration will be 50 out of 100
points. Project applications scoring lower than 50 points will be set
aside as non-responsive and ineligible. After rating and ranking but
before selection for award, HUD Field ONAPs will perform an
environmental review of applications in accordance with 24 CFR part 50,
and applications may be re-ranked or disqualified on the basis of the
environmental review. Applicants must cooperate in the environmental
review process, including supplying HUD with information necessary for
HUD to perform the environmental review. Sufficient applications will
be rated and ranked to substitute for applications changed in rank or
disqualified on the basis of the environmental review. Of the
qualifying applications, in general, the project with the highest
ranking after environmental review will be funded first, the next
highest will be funded second, and so on, continuing through all the
projects that have met the eligibility requirements or until the funds
are exhausted. However, for the purposes of geographic diversity, HUD
may award at least one grant to each of the areas covered by the
Offices of Native American Programs listed in Appendix 1.
(D) Tie Breaker. When rating results in a tie among projects,
projects will be approved in the following order:
(1) Those that can be fully funded over those that cannot be fully
funded;
(2) Projects that benefit the most very low and low-income persons;
and
(3) Projects that benefit the highest percentage of the total
population of the tribe.
II. Application Process
(a) Application Packages
Although this NOFA provides the public with notice of, and salient
information about, the FY 1994 HOME program for Indian applicants, it
is the application kit that provides applicants with comprehensive
information on how to participate in the program. Applicants should
obtain a copy of the application kit, which includes copies of required
forms, from any ONAP listed in Appendix 1.
(b) Submittal of Complete Application
Completed applications must be submitted to the ONAP having
jurisdiction for the applicant at the address listed at Appendix 1. The
application shall be submitted on Form 424 and shall be accompanied by
all the legal and administrative attachments required by the form.
(c) Application Due Date
An applicant may submit an application for a project at any time
after the publication date of this NOFA, to the ONAP having
jurisdiction over the applicant on or before 4:30 P.M. ONAP local time,
July 15, 1994. This application deadline is firm as to date and hour.
The Department shall treat as ineligible for consideration any
application that is received after the 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. Facsimile (``FAX'') copies of applications will not
be accepted.
III. Checklist of Application Submission Requirements
Each application must contain the following:
(a) ________ Standard Form-424, Application for Federal Assistance.
Complete side one only. The Catalog of Federal Domestic Assistance
identifies this program as program number 14.239.
(b) ________ Form HUD-4121-I, Indian HOME Program Grants.
Comprehensive Approach; component that addresses the Comprehensive
Approach For Expanding The Supply Of Affordable Housing. Indian tribes
are not required to submit a Comprehensive Housing Affordability
Strategy (CHAS), a Tribal Housing Plan, or a housing strategy to
receive HOME funds. However, the application must demonstrate how the
proposed project will contribute to a comprehensive approach for
expanding the supply of affordable housing for members of the Indian
tribe.
(c) ________ Form HUD-4122-I, Indian HOME Program Grants. Project
Summary; component that addresses the summary description of the
proposed project.
(d) ________ Components that address the selection criteria. The
applicant must provide a narrative and supporting documentation that
are responsive to the selection criteria of sections I.(e)(1), (2), and
(3) of this NOFA. This includes, but is not limited to, a description
of how the HOME funds shall be used, and the various kinds of
information that are necessary in order to apply the selection criteria
and rating factors.
(e) ________ Form HUD-4123-I, Indian HOME Program Grants. Cost
Summary.
(f) ________ Form HUD-4125-I, Indian HOME Program Grants.
Implementation Schedule.
(g) ________ Project location map.
(h) ________ Form HUD-2880, Applicant/Recipient Disclosure/Update
Report, as required under subpart C of 24 CFR part 12, Accountability
in the Provision of HUD Assistance.
(i) ________ Form HUD-4126, which contains the following
certifications:
(1) A certification that the applicant shall comply with the
acquisition and relocation requirements of the Uniform Relocation
Assistance and Real Property Acquisition Policies Act of 1970, as
amended, implementing regulations at 49 CFR part 24 and the
requirements of section 92.634.
(2) A certification that the applicant shall use HOME funds in
compliance with all the requirements of 24 CFR part 92, the HOME
investment partnerships program interim rule.
(3) Drug-free workplace. The certification with regard to the drug-
free workplace required by 24 CFR part 24, subpart F and appendix C.
(4) Debarment. The certification that neither the applicant nor its
principals are presently excluded from participation in any HUD
programs, as required by 24 CFR part 24, appendix A.
IV. Other Matters
(a) 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.
(b) Energy
Utility expenses place a heavy burden on Indian housing and often
cause abandonment. Applicants are encouraged to address this problem in
applications for funding. 24 CFR 92.621: ``Newly constructed housing
must meet the current edition of the Model Energy Code published by the
Council of American Building Officials. Substantially rehabilitated
housing must meet the cost-effective energy conservation and
effectiveness standards in 24 CFR part 39.'' See also 24 CFR sec.
905.250(b) and 24 CFR sec. 85.36(b)(7).
(c) Federalism Impact
The General Counsel, as the Designated Official under section 6(a)
of Executive Order 12612, Federalism, has determined that the policies
contained in this NOFA shall not have substantial direct effects on
states or their political subdivisions, or the relationship between the
federal government and the states, or on the distribution of power and
responsibilities among the various levels of government. As a result,
the rule is not subject to review under the order. The NOFA is limited
to providing funds to Indian tribes in accordance with a program to
expand the supply of affordable housing.
(d) Family Impact
The General Counsel, as the Designated Official for Executive Order
12606, the Family, has determined that the provisions of this NOFA have
the potential for indirect, although positive, impact on family
formation, maintenance and general well-being within the meaning of the
Order. The NOFA provides funds to Indian tribes in accordance with a
program to expand the supply of affordable housing. To the extent that
housing for families is increased, the impact on the family is indirect
and beneficial. Accordingly, no further review is considered necessary.
(e) Section 102 of the HUD Reform Act
Documentation and Public Access Requirements; Applicant/Recipient
disclosures:
Documentation and public access requirements. HUD shall 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, shall be made available for public inspection
for a five-year period beginning not less than 30 days after the award
of the assistance. Material shall 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 shall include the
recipients of assistance pursuant to this NOFA in its quarterly Federal
Register notice of all recipients of HUD assistance awarded on a
competitive basis. (See 24 CFR 12.14(a) and 12.16(b), and the notice
published in the Federal Register on January 16, 1992 (57 FR 1942), for
further information on these documentation and public access
requirements.)
Disclosures. HUD shall 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) shall be
made available along with the applicant disclosure reports, but in no
case for a period generally less than three years. All reports--both
applicant disclosures and updates--shall 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. (See 24 CFR subpart C, and
the notice published in the Federal Register on January 16, 1992 (57 FR
1942), for further information on these disclosure requirements.)
(f) Section 103 of the HUD Reform Act
HUD's regulation implementing section 103 of the Department of
Housing and Urban Development Reform Act of 1989 (42 U.S.C. 3537a) was
published on May 13, 1991 (56 FR 22088) and became effective on June
12, 1991. That regulation, 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 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 shall provide information of a general nature to HUD employees,
as well.
(g) Section 112 of the HUD Reform Act
Section 13 of the Department of Housing and Urban Development Act
(42 U.S.C. 3537b) contains two provisions dealing with efforts to
influence HUD's decisions with respect to financial assistance. The
first imposes disclosure requirements on those who are typically
involved in these efforts--those who pay others to influence the award
of assistance or the taking of a management action by the Department
and those who are paid to provide the influence. The second restricts
the payment of fees to those who are paid to influence the award of HUD
assistance, if the fees are tied to the number of housing units
received or are based on the amount of assistance received, or if they
are contingent upon the receipt of assistance.
Section 13 was implemented by final rule published in the Federal
Register on May 17, 1991 (56 FR 22912). If readers are involved in any
efforts to influence the Department in these ways, they are urged to
read the final rule, particularly the examples contained in Appendix A
of the rule. Forms necessary for compliance with the rule may be
obtained from the local HUD office.
(h) Monitoring
(i) HUD Monitoring. HUD monitoring will be in accordance with the
provisions at 24 CFR 92.650, Performance Reviews.
(ii) Grantee Reports. Grantees must submit performance reports in
accordance with 24 CFR 92.649.
(iii) Certifications. HUD monitoring will continue until the grant
funds are expended and the project is complete. After that, HUD will
rely upon an annual statement from the grantee--throughout the required
period--which affirms that the project continues to meet affordability
requirements.
Authority: 42 U.S.C. 3535(d) and 12701-12839.
Dated: February 18, 1994.
Joseph Shuldiner,
Assistant Secretary for Public and Indian Housing.
Appendix 1. List of local Offices of Native American Programs
Region V--Chicago, Office of Native American Programs, HUD, 77 West
Jackson Boulevard, 24th Floor, Chicago, Illinois 60604-3507, 312-
231-1282 or 1-800-735-3239, TDD Numbers: 1-800-927-9275, 312-886-
3741
Region VI--Oklahoma, Office of Native American Programs, HUD, Murrah
Federal Building, 200 N.W. 5th Street, Oklahoma City, Oklahoma
73102-3202, 405-231-4101, TDD Numbers: 405-231-4181, 405-231-4891
Region VIII--Denver, Office of Native American Programs, HUD,
Executive Tower Building, 1405 Curtis Street, Denver, Colorado
80202-2349, 303-844-2963, TDD Number: 303-844-6158
Region IX--Phoenix, Office of Native American Programs, HUD, Two
Arizona Center, 400 North Fifth Street, Suite 1650, Phoenix, Arizona
85004-2360, 602-379-4156, TDD Number: 602-379-4461
San Francisco, Office of Native American Programs, HUD, 450 Golden
Gate Avenue, 8th Floor, Box 36003, San Francisco, CA 94102-3448,
415-556-9200, TDD Number: 415-556-8357
Albuquerque, Office of Native American Programs, HUD, P.O. Box 1128,
421 Gold Street, Room 304, Albuquerque, NM 87103, 505-766-1372, TDD
Number: None
Region X--Seattle, Office of Native American Programs, HUD, Seattle
Federal Office Building, 909 First Avenue, Suite 200, Seattle, WA
98104-1000, 206-220-5270, TDD Number: None
Region X--Anchorage, Office of Native American Programs, HUD,
University Plaza Building, 949 E. 36th Avenue, Suite 401, Anchorage,
Alaska 99508-4399, 907-271-4633, TDD Number: 907-271-4328
[FR Doc. 94-5535 Filed 3-9-94; 8:45 am]
BILLING CODE 4210-33-P
