17992 Federal Register / Vol. 62, No. 70 / Friday, April 11, 1997 / Notices

DEPARTMENT OF HOUSING AND

URBAN DEVELOPMENT

[Docket No. FR–4183–N–01]

Notice of Funding Availability (NOFA)

for Fiscal Year 1997 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 1997 for Indian

Applicants for HOME Investment

Partnerships Act (the HOME Act)

programs, referred to as the HOME

program.

SUMMARY: This NOFA announces the

availability of up to $21,000,000 in

funding for Fiscal Year (FY) 1997 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: Application Due Date: June 20,

1997. Applications must be RECEIVED

by the Area Office of Native American

Programs (Area ONAP) having

jurisdiction over the applicant on or

before 3:00 P.M. (Area ONAP local time)

on June 20, 1997. 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 deliveryrelated problems. Facsimile (‘‘FAX’’)

copies shall not be accepted.

FOR FURTHER INFORMATION CONTACT:

Prospective applicants may contact the

appropriate Area ONAP. Refer to

Appendix 1 of this NOFA for a complete

list of Area 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 HOME funds

were reviewed by the Office of

Management and Budget and approved

under OMB control number 2577–0191.

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 the near future. 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.

Elsewhere in today’s Federal Register,

the Department is publishing the

following related NOFAs: the NOFA for

Emergency Shelter Grants Set-Aside for

Indian Tribes and Alaskan Native

Villages; and the NOFA for Block Grant

Program for Indian Tribes and Alaskan

Native Villages. The Department expects

to publish within the next few weeks

the NOFA for Indian Housing

Development.

To foster comprehensive, coordinated

approaches by communities, the

Department intends for the remainder of

FY 1997 to continue to alert applicants

to upcoming and recent NOFAs as each

NOFA is published. 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/nofas.html. Additional

steps on NOFA coordination may be

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.

Changes From Last Year’s NOFA

1. ERRORS. This year the extent of an

error is clarified to make explicit that

only an arithmetic error may be

corrected and then only by the Area

ONAP Administrator.

2. PROJECT GRANT AMOUNT. The

maximum grant amount per applicant is

either $2.0 million or the amount

allocated to the applicant’s Area ONAP

office, whichever is less.

3. LIMIT ON GRANTS THAT ARE

NOT CLOSED OUT. An applicant may

not have more than two HOME grants at

a time. An application from an

applicant with two or more HOME

grants that are not closed out pursuant

to the requirements of § 954.504 will be

set aside and not rated.

4. 60 POINT APPLICATION

ELIGIBILITY REQUIREMENT. After

rating, a project must receive at least 60

points to be considered for funding.

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

Indian HOME program are codified at

24 CFR part 954.

The HOME Act was amended by the

Housing and Community Development

Act of 1992 (HCDA 1992) (Pub. L. 102–

550, approved October 28, 1992) and the

Multifamily Housing Property

Disposition Reform Act of 1994

(MHPDRA) (Pub. L. 102–233, approved

April 11, 1994).

(b) Allocation Amounts

(1) Fiscal Year 1997 Funding. The

Departments of Veterans’ Affairs and

Housing and Urban Development, and

Independent Agencies Appropriations

Act, 1996 appropriated $1.4 billion for

the HOME program of which 1.5 percent

was designated as an Indian Tribes setaside. For the fiscal year ending

September 30, 1997, $21 million is

available for the Indian HOME program.

HOME funds will be allocated to the

Area ONAPs as follows:

1. Eastern/Woodlands

ONAP ................................ $1,554,550

2. Southern Plains ONAP .... 3,956,950

3. Northern Plains ONAP .... 3,305,650

4. Southwest ONAP ............. 9,370,150

5. Northwest ONAP ............. 1,137,250

6. Alaska ONAP ................... 1,675,450

Total .............................. 21,000,000
Federal Register / Vol. 62, No. 70 / Friday, April 11, 1997 / Notices 17993

(2) Project Grant Amount. The

maximum grant amount per applicant is

either $2.0 million or the amount

allocated to the applicant’s Area ONAP

office, whichever is less. Grants may be

funded at less than applied for levels. In

determining appropriate grant amounts

to be awarded, the Area 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, and the amount of funds

required to achieve project objectives.

(3) If an insufficient number of

fundable applications is received in any

one Area ONAP, any surplus funds may

be assigned to other Area ONAPs which

have unfunded fundable applications.

(c) Eligibility

(1) Eligible Applicants. (i) Eligible

applicants for HOME funds for Indian

tribes are any Indian Tribe, band, group,

or nation, including Alaskan Indians,

Aleuts, and Eskimos, and any Alaskan

native village of the United States which

is considered an eligible recipient under

Title I of the Indian Self-Determination

and Education Assistance Act (25 U.S.C.

450) or which had been an eligible

recipient under the State and Local

Fiscal Assistance Act of 1972 (31 U.S.C.

1221). Eligible recipients under the

Indian Self-Determination and

Education Assistance Act will be

determined by the Bureau of Indian

Affairs and eligible recipients under the

State and Local Fiscal Assistance Act of

1972 are those that have been

determined eligible by the Department

of Treasury, Office of Revenue Sharing.

(ii) Tribal organizations which are

eligible under Title I of the Indian SelfDetermination and Education

Assistance Act may apply for funds

under this NOFA on behalf of any

Indian Tribe, band, group, nation, or

Alaskan native village eligible under

that Act when one or more of these

entities have authorized the Tribal

organization to do so through

concurring resolutions. Such resolutions

must accompany the application for

funding. Eligible Tribal organizations

under Title I of the Indian SelfDetermination and Education

Assistance Act will be determined by

the Bureau of Indian Affairs or Indian

Health Service.

(iii) Only eligible applicants shall

receive grants. However, eligible

applicants may contract or otherwise

agree with non-eligible entities such as

States, cities, counties, or other

organizations to assist in the preparation

of applications and to help implement

assisted activities.

(iv) To apply for funding in a given

fiscal year, an applicant must be eligible

as an Indian Tribe or Alaskan native

village, as provided in paragraph (i) of

this section, or as a Tribal organization,

as provided in paragraph (ii) of this

section, by the application submission

date.

(v) Applicants must have the

administrative capacity to undertake the

project proposed, including systems of

internal control necessary to administer

these projects effectively. An applicant

must submit a determination by an OIG

or non-federal auditor that the applicant

has adequate accounting/administrative

control. An applicant that has

participated in the Indian HOME

program must have performed

adequately. In cases of previously

documented deficient performance, the

applicant must have taken appropriate

corrective action to improve its

performance prior to submitting an

Indian HOME application to HUD.

Examples of deficient performance may

include; not being current in meeting its

audit responsibilities, unresolved

serious audit findings and failure to

initiate a previous grant. The Area

ONAP will determine whether or not a

grantee is eligible to participate in a

particular funding round.

(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, provide

a geographical description of the

operating area of the applicant 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 954.105,

projects that may be funded under the

HOME Indian program include: (A)

housing rehabilitation (moderate and

substantial), (B) acquisition of housing,

and (C) new housing construction.

These project types 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.

(3) Eligible Activities. Eligible

activities, in accordance with 24 CFR

954.300, 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 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; and to pay administrative

costs. The specific eligible costs for

these activities are set forth in § 954.303.

(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) 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 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 1997 HOME

Indian Program grant funds, only a prorated share of the site improvements

may be charged to the HOME grant.

(4) Multiple Projects. An applicant

may apply for grant assistance for more

than one project. If so, each project is

limited to no more than one category

(i.e., acquisition, rehabilitation, new

construction) and stands on its own.

The total grant amount requested by the

applicant may not exceed the maximum

allowed. Each project will be rated

independently and ranked

independently. For each project grant

request, where appropriate and to assure

maximum point award, applicants must

provide individual responses to

application information requirements.
17994 Federal Register / Vol. 62, No. 70 / Friday, April 11, 1997 / Notices

(d) Selection Criteria and Rating Factors

Each project submitted for grant

funding shall be evaluated using the

three criteria provided in 24 CFR

954.105, 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

60 points to be considered for funding.

The complete rating and ranking

process is described in detail at section

I.(e)(5) of this NOFA.

All the potential points which can be

earned are summarized as follows:

Need and Design ................................ 30

Need ................................................ (15)

Need/Quantity/Documentation .. 4

Need/Quantity/Demographics ... 3

Responsiveness ........................... 3

Benefits ....................................... 5

Project Feasibility .......................... (15)

Planning and Implementation .......... 40

Financial ......................................... (15)

Property/Cost/Ability to Pay ...... 6

Cashflow thru Completion ......... 3

Feasibility thru Affordability Period .......................................... 3

Cost Effectiveness Test ............... 3

Legal and Administrative .............. (10)

Staffing Plan during Implementation .............................................. (15)

Leveraging .......................................... 30

HUD urges each applicant to screen

its application using the Checklist of

Eligibility Requirements and

Application Submission Requirements

to ensure that the application meets

each requirement.

In responding to each of the

components which address the selection

criteria, HUD requests that each

applicant:

—Use separate tabs for each selection

criterion and sub-criterion. In order to

be rated, make sure the response is

beneath the appropriate heading.

—Keep its responses in the same order

as the NOFA.

—Provide the necessary data and the

explanation, not exceeding 200

words, that supports the response.

Include all relevant material to a

response under the same tab. Do not

assume the reviewer will search for

the answer or information to support

the answer elsewhere in the

application.

—Do a preliminary rating for its own

project, providing a score according to

the scoring guide. This will help to

show the applicant how its project

might be scored by the reviewers. It

will also help to show the applicant

whether the application meets the

eligibility requirements and the

minimum point score requirement (50

points), and where the strengths and

weaknesses of the application are

located. Then, the applicant can

strengthen the weaker parts of the

application and retain the stronger

parts.

The HOME program is for low-income

and very low-income persons. In the

application, applicants must provide

information on the median income for

the community in which the proposed

project is located. The low-income and

very low-income limits for each

applicant community are available from

the Area ONAPs.

FIGURE 1.—INDIAN HOME PROGRAM

SCORING

Selection criteria Maximum

points

Need and Design .......................... 30

Planning and Implementation ....... 40

Leveraging .................................... 30

(1) NEED AND DESIGN—30 points

maximum.

The first of the three criteria provided

in 24 CFR 954.105 addresses the degree

to which the application:

(a) Identifies the housing needs of the

tribe,

(b) Describes the demographic

characteristics of needy, very low and

low-income families,

(c) Describes the characteristics of the

homes to be provided,

(d) Is from an applicant with a high

ratio of unmet need to total need, and

(e) Proposes homes which meet the

requirements of the needy. This first

criterion is divided into two parts that

will be examined and evaluated

separately. These parts are: (i) Need and

(ii) Project Feasibility.

(i) Need—15 points maximum. The

degree to which the proposed project

addresses the housing need(s) of the

tribe as identified in the documentation

for the project. 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. Waiting lists from the IHA

must identify whether the list is for

rental housing or ownership housing,

e.g., mutual help. An IHA waiting list

for ownership housing is especially

important if the proposed project

contemplates the sale of units, e.g., new

construction.

(A) Housing Need Expressed in Terms

of Quantity (4 points maximum). The

tribe shall express its housing needs

within its reservation, service area, or

area of operation by:

—The number of affordable units, as

documented by the applicant;

—The size (number of bedrooms) of the

needy households as documented by

the applicant;

—The type of assistance needed, e.g.,

rehabilitation vs. new construction, as

documented by the applicant; and

—The tenure type of the housing

needed, i.e., homeownership or

rental, as documented by the

applicant.

Documentation that contains a recent

formal survey prepared by a tribe, a

State, the Federal government or a

commission authorized by a tribe, a

State, or the Federal government, or a

recent formal survey authorized by a

tribe, State, the Federal Government or

a tribe authorized commission and

actually performed by a third party,

such as a consultant or university, shall

receive four points. Documentation

supporting housing need other than a

formal survey shall receive 0 or 2 points

depending upon the quality of the

documentation presented. See Table 1.

TABLE 1.—SCORING GUIDE

Quantity of housing need—quality of documentation—[in points]

Good Fair Unsatisfactory

4 2 0

(B) Demographic Information

Regarding Indian Households in Need of

Affordable Housing (3 points

maximum). The demographic

characteristics of low-income and very

low-income Indian households that are

in need of the housing identified in (A),

above, shall quantify the number of

Indian households and number of

family members in the household, their

age, and gender, as well as the number

of households for which an accessible

unit is needed. An application which

contains this data shall receive 3 points.

A current IHA waiting list may be used

to supply this data. Waiting lists must

identify whether the list is for rental

housing or ownership housing, i.e.,

mutual help. A waiting list for

ownership housing is especially

important if the proposed project

contemplates the sale of units, e.g., new

construction.

Partial supporting documentation

shall receive 2 points. If the

documentation is unclear or missing

entirely, 0 points. See Table 2.
Federal Register / Vol. 62, No. 70 / Friday, April 11, 1997 / Notices 17995

TABLE 2.—SCORING GUIDE

Quantity of housing need—demographic

characteristics—

Complete or

with correct

IHA list

(points)

Partial documentation

(points)

Unclear or

missing

(points)

3 2 0

(C) Proposed Supply by Quantity,

Size, Tenure, and Type (3 points

maximum). Documentation in the

application must identify the housing to

be supplied by the proposed project.

Supply must be described by the

following characteristics:

—The number of affordable units to be

provided;

—The size (number of bedrooms) of the

units to be provided;

—The type of assistance to be provided,

e.g., rehabilitation vs. new

construction; and

—The tenure type of the housing to be

provided, i.e., homeownership or

rental.

An application that provides this

information shall receive 3 points. An

application that does not respond to all

these requirements shall receive 2 or 0

points depending upon its

responsiveness to this factor. See Table

3.

TABLE 3.—SCORING GUIDE

Responsiveness to housing supply factors

Very responsive (points)Fairly responsive (points)Not responsive (points)

3 2 0

(D) Benefits to Very Low-Income and

Low-Income Families of the Tribe (5

points maximum). Under this factor, the

applicant with the larger ratio of unmet

low-income and very low-income need

for affordable housing receives more

points. The ratio consists of a

numerator, which is the number of very

low-income and low-income families of

the tribe in need of affordable housing

divided by a denominator, which is the

total number of very low-income and

low-income families of the tribe. The

result is multiplied by 5 to determine

the number of points received under

this criterion. The number of points

should be rounded to 2 decimal places.

In the response to this criterion, the

applicant may use data for ‘‘members’’

or ‘‘families,’’ whichever one is

available. Whichever one is chosen, it

must be used in both the numerator and

the denominator of the ratio. If data is

chosen for ‘‘families,’’ ‘‘families’’ must

be used in both the numerator and

denominator. The applicant must

provide the source for the data. Failure

to identify the source of the data will

result in the loss of one point. See Table

4.

The total of all the low-income and

very low-income families with unmet

housing needs is the number that is

considered for the numerator in the

formula used in this criterion, regardless

of the particular activity for which

funding is sought in the application.

The denominator is the total number of

low-income and very low-income

families of the tribe. For example, say:

—the total number of low-income and

very low-income families of the tribe

is 1,000,

—the applicant is applying for funds to

rehabilitate 10 units, and

—there are 100 low-income and very

low-income families in need of

rehabilitated units,

—But the total number of low-income

and very low-income families with

housing needs of all types (rental,

new construction, and rehabilitation)

is 500.

Then, the number that would be used

in the formula as the numerator is 500;

the denominator is 1,000. If the project

is mixed, that fact is of no consequence

in using the formula. A mixed project

may be mixed as to tenure of the

families to be assisted, i.e., rental or

home ownership, but it may not be

mixed as to type of project activity, i.e.,

a combination of acquisition,

rehabilitation, new construction.

For example, a tribe has 20 lowincome and very low-income families in

need of affordable housing and a total of

100 low-income and very low-income

families. No source for the data is

identified. Substitute these values in the

formula:

5 × (20/100) =

5 × 0.20 =

1.00 point.

The formula results in a preliminary

score of 1.00 point. Then, deduct one

point because the source for the data is

not given and the final point score for

this item becomes zero.

TABLE 4.—SCORING GUIDE

Benefits to very low-income and low-income families

5 × (low-income and very low-income families in need of affordable housing/total of low-income and very low-income families). Round to 2 decimal places. Deduct 1 point if source of data is not provided.

(ii) Project feasibility. Match Between

Demand and Supply by

Characteristics.—15 points maximum.

Project feasibility as measured here is

the degree to which the characteristics

of housing units in the proposed project

are responsive to need of actual lowincome and very low-income families

for affordable housing that was

identified in the previous evaluation

factor. A project which provides a

number of units with the appropriate

characteristics less than or equal to the

identified need will receive more

points. A project which provides a

number of units with the appropriate

characteristics greater than the demand

will receive less points. Thus, there is

a penalty if supply is greater than

demand. To evaluate the degree to

which the proposed project addresses

the housing needs of the tribe as

identified in the application, points will

be awarded based upon:

(A) The relationship between the

number of affordable units to be

provided as compared to the number

needed, as documented by the

applicant;

(B) The size (number of bedrooms) of

the units to be provided relative to sizes

of needy households as documented by

the applicant;

(C) The type of assistance to be

provided, e.g., rehabilitation vs. new

construction, compared with the type of

assistance necessary, as documented by

the applicant; and

(D) The tenure type of the housing to

be provided, i.e., homeownership or

rental, compared with the type of

assistance required, desired, or

necessary as documented by the

applicant, and;

(E) The project plan must indicate a

schedule for the implementation of the

expanded housing opportunities.
17996 Federal Register / Vol. 62, No. 70 / Friday, April 11, 1997 / Notices

The documentation for a project shall

receive 15 points if it: (1) shows that the

quantity of housing units to be made

available for very low-income and lowincome families of the tribe is equal to

or less than the demand, (2) shows that

the sizes of the units to be made

available meet but do not exceed the

needs of the very low-income and lowincome families, (3) shows that the type

of assistance (rehabilitation, new

construction) to be provided meets the

type of assistance needed, (4) shows that

the tenure type (ownership, rental) to be

provided is the tenure type needed, and

(5) describes the delivery schedule. The

documentation for a project shall

receive 8 points if it clearly responds to

four of the five items. The

documentation for a project shall

receive 0 points if it does not clearly

respond to four of the five items. See

Table 5.

TABLE 5.—SCORING GUIDE

Match Between Proposed Supply and Documented Demand (points)

Good Fair Unsatisfactory

15 8 0

(2) PLANNING AND

IMPLEMENTATION—40 points

maximum.

The second of the three criteria

provided in 24 CFR 954.105 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 carrying out the

project, and must describe their own

administrative capability, existing or

planned, to carry out this project. The

applicant must demonstrate, using

complete cost and revenue estimates for

the project, including loans if necessary,

that the proposed project is financially

feasible and meets the regulatory

affordability requirements. This second

criterion is divided into three parts that

will be examined and evaluated

separately. These three parts are: (i)

Financial; (ii) Legal and Administrative

Actions; and (iii) Staffing Plan during

Implementation.

(i) Financial—15 points maximum.

(A) Property identification and

comparison of project cost and ability of

needy family to pay (6 points

maximum). The applicant must

demonstrate that the proposed very lowand low-income families who will be

the owners or tenants shall be able to

afford to buy or rent this housing in

accordance with the affordability

requirements under 24 CFR 954.306:

‘‘qualification as affordable housing and

income targeting: rental housing,’’ and

24 CFR 954.307: ‘‘qualification as

affordable housing: home ownership.’’

This evaluation is to include the results

of market surveys for acquisition,

rehabilitation, or new construction of

housing and/or the identification of the

actual properties to be acquired,

rehabilitated, or constructed.

In addition to information concerning

the supply of homes, the applicant must

provide information to support the

demand for homes. This market

information must indicate that there is

a demand for the type of tenure being

proposed for the home at the price being

proposed. If the project is for

homeownership, what evidence is there

that there is sufficient demand of

interested and eligible applicants? Have

applicants been identified? Selected? If

the proposed applicants are renting, is

there evidence they want to buy? Is

there evidence they can afford to buy?

As an indication of credit worthiness,

have applicants been pre-qualified for a

loan?

For all types of projects, but

especially for an owner-occupied

rehabilitation project, include a

discussion of funding for routine

maintenance and property taxes, which

may increase due to an increase in the

unit value, and energy conservation.

Since the units to be rehabilitated with

the HOME grant became substandard

because they were not maintained,

include a discussion of provisions to

pay for training and education, and for

major repair and replacement as a result

of damage or loss through wear and tear.

For example: After the unit is

rehabilitated with this HOME grant,

how will it be maintained? Are funds

being set aside to maintain the unit?

Whose funds are they—the owner’s,

tenant’s, owner/occupant’s? Is there a

plan included in the application to

address this? Will the applicant provide

for energy efficient construction/

rehabilitation which goes beyond

regulatory requirements so as to

minimize occupant expenditure for

utilities? Will the applicant employ

construction/rehabilitation techniques/

materials which will help minimize the

upkeep and maintenance costs to the

occupant/owner? For scoring, see Table

6. Points will be awarded based upon

the completeness and adequacy of

responding to pertinent questions.

TABLE 6.—SCORING GUIDE

Property Identification and Cost vs. Ability To

Pay (points)

Good Fair Unsatisfactory

6 3 0

(B) Cash flow projection through

project completion (3 points maximum).

This requirement deals with the year by

year cash flow for the proposed project.

For example, for a new construction

project by the applicant of a single

family detached unit that is to be sold

to a low income family that will occupy

the unit, the cash flow projection would

show the cost of construction, the

construction payments, any equity or

debt using HOME or non-HOME funds,

any down payment and any mortgage

loan made in the sale of the unit to the

family, and the monthly mortgage

payment and the source of funds to

make those payments.

The applicant must provide a year-byyear cash flow projection which

includes an estimate of all project costs

and revenues. The project must be

financially feasible from the start. The

costs and the revenues must be realistic.

The housing opportunities must be

achievable for the amounts shown. The

costs must not be unrealistically low,

showing more product for less money.

There must be a projection of costs

and revenues for the time the work is

being carried out as well as the time of

maintenance and repair. The costs and

revenues projection identifies what the

maintenance and repair and major

replacement costs for the long term (i.e.,

not less than the minimum period of

affordability, 24 CFR 92.614) are going

to be and how they will be paid. The

projection must identify what the costs

and revenues are. If the source of

revenue is a grant, the grant must be

identified. The costs and revenues and

the cash flow must cover the

construction period and the marketing

period (if there will be a marketing

period); the period of maintenance and

repair must be projected separately. The

applicant must identify whether there is

a need for short-term borrowing for

rehabilitation or whether rehabilitation

is paid for entirely from HOME and

leveraged funds; any years of negative

cash flow; and the cumulative negative

cash flow. If the project requires

financing, i.e., borrowing, to get through

periods of negative cash flow, the

applicant must show the financing in

the cash flow projection. For scoring,

see Table 7. Points will be awarded

based on completeness in adequately

addressing the pertinent questions.
Federal Register / Vol. 62, No. 70 / Friday, April 11, 1997 / Notices 17997

TABLE 7—SCORING GUIDE

[In points]

Cash flow projection through project completion

Good

(points)

Fair

(points)

Unsatisfactory

(points)

3 2 0

(C) Financial feasibility during the

affordability period (3 points

maximum). This requirement deals with

the financial feasibility of the housing

during the affordability period

beginning after project completion, i.e.,

after completion of the acquisition,

rehabilitation, or new construction. The

affordability period can be from 5 years

to 20 years (24 CFR 954.306). The

housing has costs and revenues

throughout the affordability period.

Identify all of the costs and revenues,

year by year, and display them to ensure

that all of the costs shall be paid by

revenues reasonably anticipated to

occur.

The housing must be financially

feasible for the affordability period,

while at the same time remaining

affordable as prescribed by the

requirements at 24 CFR 954.306 and

954.307. Arrangements to be made for

long-term costs must be shown. If

during this period developer borrowing

is required to get through periods of

cumulative negative cash flow, the

applicant must show the borrowing. The

applicant must show buyer mortgage

payments, if any.

As costs occur for the units that are

occupied (e.g., owner-occupied

rehabilitation, or new construction of

rental housing), the application must

discuss who will pay those costs and

how they will be paid; whether any

borrowing will be involved; whether the

owner is expected to make the payments

and when the payments will occur. The

costs and revenues for maintenance,

repair, and major replacements must be

included in the affordability period cash

flow projection. For a rental project, the

projection must include how the project

management staffing costs described in

the staffing plan will be paid. For

scoring, see Table 8. Points will be

awarded for completeness in addressing

the pertinent questions.

TABLE 8.—SCORING GUIDE

Financial feasibility during the affordability period

Good (points) Fair (points) Unsatisfactory (points)

3 2 0

(D) Cost effectiveness test (3 points

maximum). The cost effectiveness test is

related to leverage because the more

non-HOME grant money brought to the

project, the lower the amount of HOME

grant money needed. The cost

effectiveness test gives more points to

projects that use less HOME funds. The

cost effectiveness test also rewards

projects which use HOME funds most

efficiently. To score a project in the cost

effectiveness test, a maximum allowable

expenditure of HOME funds is

identified for each project type with

respect to the total development cost

(TDC).

(1) Housing Rehabilitation. For

rehabilitation projects, the maximum

allowable expenditure of HOME funds

shall be no more than 62.5% of the cost

of new construction (i.e., no more than

62.5% of the TDC) for substantial

rehabilitation (‘‘substantial’’ means an

expenditure of $25,000 or more per

home) and no more than 50% of the

TDC of new construction for moderate

rehabilitation. If the HOME assistance is

less than 20% of the maximum

allowable expenditure of HOME funds,

the project receives 3 points; for 20% to

60%, 2 points; for 61% to 99%, 1 point.

If it is 100% of the maximum allowable,

the project receives 0 points. See Table

9.

(2) Acquisition. For acquisition

projects, the maximum allowable

expenditure of HOME funds shall be no

more than 62.5% of the cost of new

construction (i.e., no more than 62.5%

of the TDC) if the property has been

substantially rehabilitated and no more

than 50% of the cost of new

construction if the property has been

moderately rehabilitated. If the HOME

assistance is less than 20% of the

maximum allowable amount, the project

receives 3 points; for 20% to 60%, 2

points; for 61% to 99%, 1 point. If the

HOME assistance is 100% of the

maximum allowable amount, the project

receives 0 points. See Table 9.

(3) New Construction. For new

construction projects, the maximum

allowable expenditure of HOME funds

shall be less than or equal to 100% of

the TDC. If the HOME assistance

amount is less than 20% of the

maximum allowable amount, the project

receives 3 points; for 20% to 60%, 2

points; for 61% to 99%, 1 point. If the

HOME assistance amount is 100% of the

maximum allowable expenditure of

HOME funds, the project receives 0

points. See Table 9.

TABLE 9.—SCORING GUIDE

Cost effectiveness test

0% to 19% (pts.) 20% to 60% (pts.) 61% to 99% (pt.) 100% (pts.)

3 2 1 0.

(ii) Legal and Administrative

Actions—10 points maximum. All

policies, procedures, standards, criteria,

and planning documents necessary for

the type of project proposed must be

included in the documentation for the

project. Where rental housing is

envisioned, this includes the tenant

selection requirements for rental

housing at 24 CFR 954.402(e). Where

assistance for homeowners is

contemplated, this includes the

requirements for rehabilitation at 24

CFR 954.307. If the applicant is assisting

homebuyers, the applicant must

establish guidelines determined by HUD

to be appropriate for the subsequent

resale of the housing units, required

under 24 CFR 954.307. Planning

documents must include a discussion of

steps that will be taken to ensure

maintenance of housing quality

throughout the affordability period. See

Table 10. Points will be awarded based

on the completeness of the application

and sample documentation in

addressing the pertinent factors:

(A) Housing Rehabilitation. Data

submitted must include adopted

rehabilitation policies, including

adopted rehabilitation standards that

meet applicable local codes and/or

ordinances; maximum rehabilitation

cost per unit; rehabilitation selection

criteria; and project planning

documents.

(B) Acquisition. Data submitted must

include adopted standards for houses

that shall be acquired, including

maximum purchase price per unit;
17998 Federal Register / Vol. 62, No. 70 / Friday, April 11, 1997 / Notices

participant selection criteria, and

project planning documents.

(C) New Construction. Data submitted

must include adopted standards for

construction that meet applicable or

local codes and ordinances and that

meet HUD prescribed energy-efficiency

standards; maximum cost per unit;

participant selection criteria; and

project planning documents.

TABLE 10.—SCORING GUIDE

Other legal and administrative

Good (points) Fair (points) Unsatisfactory (points)

10 5 0

(iii) Staffing Plan—15 points

maximum. The applicant must provide

a staffing plan. The plan must relate the

steps in the project execution timetable

with the personnel skills required for

this project.

(A) For a grantee administered

project, the staffing plan must identify

the key personnel skills and experience

requirements for the particular steps in

the execution of this project, and relate

this information to the project timetable,

i.e., during acquisition, rehabilitation,

construction. In order to be properly

rated, experience identified must

demonstrate the ability of key personnel

in relation to the tasks required. If an

applicant does not currently have

personnel which possess the skills and

experience requirements, the

application must state how the

applicant intends to obtain personnel

which do have the experience and

skills, and provide a list of available

people who do have the necessary

experience and skills. Resumes which

show the experience and skills of these

people may also be included in the

application. A staffing plan which

relates tasks, time, and personnel skills

will receive 15 points. If the personnel

requirements are for individuals who

are experienced in the administration/

management of programs which are

somewhat similar to, but not the same

as, the proposed program, 7 points will

be awarded. Failure to submit a staffing

plan or the submission of a plan which

identifies personnel requirements for

individuals whose experience would

not have prepared them for the

administration/management of the

proposed program will result in the

award of 0 points. Points will be

awarded in accordance with Table 11

below.

(B) If the tribe has an agreement for

the tribal IHA (or any other entity) to

implement the project, a copy of the

agreement must be included, as well as

a staffing plan of the IHA (or other

entity), which includes the addition of

this project, and a description of the

impact on the entity due to

administering this project. The staffing

plan must identify the key personnel

skills and experience requirements for

the particular steps in the execution of

this project, and relate this information

to the project timetable, i.e., during

acquisition, rehabilitation, construction.

In order to be properly rated, experience

identified must demonstrate the ability

of key personnel in relation to the tasks

required. A staffing plan which relates

tasks, time, and personnel skills will

receive 15 points. If the personnel

requirements are for individuals who

are experienced in the administration/

management of programs which are

somewhat similar to, but not the same

as, the proposed program, 7 points will

be awarded. Failure to submit a staffing

plan or the submission of a plan which

identifies personnel requirements for

individuals whose experience would

not have prepared them for the

administration/management of the

proposed program will result in the

award of 0 points. Points will be

awarded in accordance with Table 11

below.

TABLE 11—SCORING GUIDE

Staffing plan

Good (points) Fair (points) Unsatisfactory (points)

15 7 0

(3) Leveraging—30 points maximum.

The third of the three criteria

provided in 24 CFR 954.105 is:

Leveraging of HOME funds. Leveraging

means using HOME funds to attract or

bring in other dollars. Leveraging is the

degree to which other sources of

assistance (including—but not limited

to—loans, advances, equity investments,

interest subsidies, State funds, and

private contributions) are used in

conjunction with HOME funds to carry

out the proposed project. The

application must identify the leveraged

funding for the HOME project and

whether the leveraged funding will be

used to pay for an eligible HOME

project cost. For example, a Bureau of

Indian Affairs-funded road is only

counted for leveraging purposes if it’s a

site improvement and then only to the

extent it benefits the HOME project

units (and that amount becomes part of

the development cost). If the proposed

HOME project is being funded with

resources other than the HOME grant,

the application must identify those

resources and explain how they will be

used. The application may propose

some or all of those resources for

leverage points. Proportionate amounts

of each resource and the HOME grant

should be expended at the same time,

but if not, the application must explain

why and identify when the HOME

funds and the non-HOME funds will be

spent.

Resources will be counted for leverage

points only if they are in the possession

of, or legally obligated to, the applicant

before or within 90 calendar days of

notification of grant award. For

example, the contribution of land,

goods, and services which come in or

become available, or the

prequalification of buyers for mortgage

loans with a mortgage lender, before or

within 90 calendar days of notification

of grant award, fulfills this criterion.

Contributions to a low-income housing

tax credit program (LIHTC) where the

funds do not become available to be

expended for eligible project costs until

90 calendar days after notification of

grant award do not fulfill this criteria.

The use by the grantee of HOME grant

funds for acquisition, rehabilitation, or

construction will be conditioned upon

the fulfillment of this criterion. If

fulfillment does not occur, the grant will

be withdrawn.

For consideration as leverage points,

applicants must not submit information

about the category of costs called

indirect costs in OMB circular A–87.

Such amounts are not counted for

leverage points.

The phrase ‘‘in-kind’’ has been

removed for leveraging points. Submit

information about financial assistance

for leverage points and identify it as

land, goods, or services.

Whether or not leverage points are

awarded, the use of additional funding

to the tribe or family, including

mortgage loans and LIHTC funding, is

encouraged.

Applicants must provide

documentation of the amount and

sources of additional funds, including

mortgage insurance, tribal funds, private

contributions, tribal contributions

directly related to the activity (labor,

material, and equipment, as well as for

soft costs, e.g., architectural and

engineering costs), which are to be used

in conjunction with HOME funds to

carry out the proposed project.

Land already owned by the tribe shall

not be counted. In the case of land

donated by individuals or entities, it

will be counted if the donation was

contingent upon the receipt of the

HOME award. Land value will be

counted as a contribution only to the

extent of its appraised value. All
Federal Register / Vol. 62, No. 70 / Friday, April 11, 1997 / Notices 17999

appraisals shall be in conformance with

established and generally recognized

appraisal practices and procedures in

common use by professional appraisers.

Donated services will be accepted,

provided that: 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.

Donated labor on construction work that

is otherwise subject to prevailing wages

under 24 CFR 954.4(f) must meet the

requirements of § 954.4(f)(2) or (3).

The amounts recognized as leverage

can include any other Federal grant or

assistance program. However, do not

propose to use Indian Health Service

funding for leverage points; IHS funding

is not being made available for HOME

projects. Loans secured through

mortgage loan insurance programs (e.g.,

section 184 loan guarantee) may be

recognized as leverage.

Points will be awarded as presented

in Table 12. Ratio as a percentage is

calculated 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. 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, fifteen (15)

points are earned.

TABLE 12.—SCORING GUIDE

Leveraging

Ratio Points

100% or more ............................... 30

80% but less than 100% .............. 20

60% but less than 80% ................ 15

40% but less than 60% ................ 10

20% but less than 40% ................ 5

Less than 20% .............................. 0

(e) Application Review

(1) Receipt, eligibility, correctable

deficiencies, and non-correctable

deficiencies.

(i) Receipt. Upon receipt of the

application, the Area ONAP will note

the date and time and provide written

acknowledgement to the applicant

indicating the date and time the

application was received.

(ii) Eligibility. Each application will

be screened at the Area ONAP for

eligibility requirements. For the

application to be rated and ranked, it

must meet each eligibility requirement.

(iii) Correctable deficiencies. The

opportunity to correct a technical, nonsubstantive deficiency is only given for

those deficiencies which would not

affect the evaluation of the application.

Therefore, only minor administrative

deficiencies are correctable. To assure

uniform treatment, these are limited to

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,

prior to a final determination on

funding, the Area ONAP shall notify the

applicant in writing of the correctable

deficiencies and require their correction

by the applicant within 14 calendar

days of the issuance of notification.

(iv) Non-correctable deficiencies. If

the application does not include all the

items identified as non-correctable

eligibility requirements, the Area ONAP

shall not request any corrections for

correctable deficiencies. The Area

ONAP shall set the application aside.

When HUD announces its decisions

concerning the funding competition, the

Area ONAP shall notify the applicant

whose application did not meet the

eligibility requirements.

(2) Eligibility requirements.

Completeness will be determined by the

Area ONAP as to whether the

application includes all the noncorrectable items, properly prepared

and executed, identified in the Checklist

of Eligibility Requirements and

Application Submission Requirements

under Appendix 2 of this NOFA. The

Area ONAP screening does not include

determining whether the application

meets the minimum point score

requirement. After screening, each

application which meets the eligibility

and application submission

requirements set forth in this NOFA and

those which are complete except for

correctable deficiencies will be rated.

(3) Rating and ranking. Rating and

ranking of applications will be carried

out by a panel of HUD staff. The panel

will review and rate each application

which meets the eligibility

requirements. The application ratings

will be used to create an Initial

Application Ranking List.

(i) Ranking. After the applications

from all applicants have been rated by

the Area ONAP panel of HUD staff,

projects will be ranked by the scores

into a single list. There will be a single

list for each Area ONAP. For multiproject applications, each project will be

rated and ranked individually.

(ii) Computation. Scores for ranking

will be carried out to two decimal

places (e.g., 12.34).

(4) 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 60 out of 100

points. Project applications scoring

lower than 60 points will be set aside as

non-responsive and ineligible. After

rating and ranking, applicants with the

highest scores will be selected and

offered awards to the extent that funds

are available.

Note: The grantee must carry out an

environmental review before any HOME

funds are committed to an activity requiring

such a review (acquisition, rehabilitation, or

new construction, generally; administrative

costs are exempt) and obtain approval of its

request for release of funds under 24 CFR

part 58, in accordance with 24 CFR 954.4.

(5) Tie Breaker. When rating results in

a tie among projects, projects will be

approved in the following order:

(i) Those that can be fully funded over

those that cannot be fully funded;

(ii) Projects that benefit the greatest

number of very low-income and lowincome persons; and

(iii) Projects that benefit the highest

percentage of the total population of the

tribe.

(6) Errors. Area ONAP Administrators

may make a determination that an

arithmetic error has occurred in the

rating or ranking of applications.

Applicants may bring arithmetic errors

in the rating and ranking of applications

to the attention of Area ONAP within 90

days of being informed of their score. If

an Area ONAP review determines that

there was an arithmetic error that

denied funding to the applicant, the

Area ONAP will construct a

hypothetical distribution that would

have existed if the error had not been

made, and the Area ONAP will

determine what the funding would have

been for the applicant subject to the

funds that were available at the time.

The applicant will be funded out of

remaining funds in the challenged

round of funding, or out of the next

available round of funding.
18000 Federal Register / Vol. 62, No. 70 / Friday, April 11, 1997 / Notices

II. Application Process

(a) Application Packages

Although this NOFA provides the

public with notice of, and salient

information about, the FY 1997 HOME

program for Indian applicants, it is the

application kit that provides applicants

with further necessary 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 Area ONAP

listed in Appendix 1.

(b) Submittal of Complete Application

Completed applications must be

submitted to the Area 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 grant assistance to the

Area ONAP having jurisdiction over the

applicant after the publication of this

NOFA in the Federal Register but before

3:00 P.M. Area ONAP local time on June

20, 1997. 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 deliveryrelated problems. Facsimile (‘‘FAX’’)

copies of applications will not be

accepted.

III. Findings and Certifications

(a) Environment

This NOFA provides funding under,

and does not alter the environmental

requirements of, regulations in 24 CFR

part 954. Accordingly, under 24 CFR

50.19(c)(5), this NOFA is categorically

excluded from environmental review

under the National Environmental

Policy Act of 1969 (42 U.S.C. 4321).

Applicants must comply with the

regulations in part 954, including the

environmental review requirements in

24 CFR 954.4(d).

(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. (Note: 24 CFR

954.401 provides: ‘‘Newly constructed

housing must meet the current edition

of the Model Energy Code published by

the Council of American Building

Officials.’’) See also 24 CFR 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. The NOFA is

limited to providing funds to Indian

tribes in accordance with a program to

expand the supply of affordable

housing. As a result, the NOFA is not

subject to review under the order.

(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 Federal Register notice of

all recipients of HUD assistance

awarded on a competitive basis. (See 24

CFR 4.7 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 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 part 4 subpart

A, 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) is

codified at 24 CFR part 4 subpart B. Part

4 subpart B 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 or employees who have

ethics related questions should contact

the HUD’s Ethics Law Division (202)

708–3815. (This is not a toll-free

number.) For HUD employees who have

specific program questions, such as

whether particular subject matter can be

discussed with persons outside HUD,

the employee should contact the

appropriate Field Office Counsel, or

Headquarters counsel for the program to

which the question pertains.

Prohibition Against Lobbying

Activities. Section 319 of the

Department of Interior and Related

Agencies Appropriation Act for Fiscal

Year 1991, 31 U.S.C. Section 1352 (the

Byrd Amendment), which is

implemented in regulations at 24 CFR

part 87, prohibits applicants for Federal

contracts and grants from using

appropriated funds to attempt to

influence Federal Executive or

legislative officers or employees in

connection with obtaining such

assistance, or with its extension,
Federal Register / Vol. 62, No. 70 / Friday, April 11, 1997 / Notices 18001

continuation, renewal, amendment or

modification. The Byrd Amendment

applies to the funds that are the subject

of this NOFA. Therefore, applicants

must file a certification stating that they

have not made and will not make any

prohibited payments and, if any

payments or agreement to make

payments of nonappropriated funds for

these purposes have been made, a form

SF-LLL disclosing such payments must

be submitted.IHAs established by an

Indian tribe as a result of the exercise of

the tribe’s sovereign power are excluded

from coverage of the Byrd Amendment,

but IHAs established under State law

are not excluded from the statute’s

coverage.

(g) Section 3

24 CFR part 135. Economic

Opportunities for Low and Very Low

Income Persons. All applicants are

herein notified that section 3 of the

Housing and Urban Development Act of

1968 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. Applicants that receive Indian

HOME Program assistance which

exceeds $200,000 for housing

rehabilitation or new construction 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 SelfDetermination and Education

Assistance Act (25 U.S.C. 450e(b)).

Catalog of Federal Domestic Assistance

(The Catalog of Federal Domestic

Assistance number for this program is

14.239.)

Authority: 42 U.S.C. 3535(d) and 12701–

12839.

Dated: April 2, 1997.

Kevin Emanuel Marchman,

ActingAssistant Secretary for Public

andIndian Housing.

APPENDIX 1.—LIST OF LOCAL OFFICES OF NATIVE AMERICAN PROGRAMS

Tribes located Area ONAP address

East of the Mississippi River, Minnesota

andIowa.

Eastern/Woodlands Office of Native American Programs, 5P,Metcalfe Federal Building,77

West Jackson Boulevard,Chicago, Illinois 60604–3507,(312) 886–4532 or (800) 735–

3239,TDD Numbers: 1–800–927–9275 or 312–886–3741.

Louisiana, Missouri, Kansas, Oklahoma, and

Texas (except for Isleta del Sur).

Southern Plains Office of Native American Programs, 6.IPI,500 West Main Street, Suite

400,Oklahoma City, Oklahoma 73102,(405) 553–7525.

Colorado, Montana, Nebraska, North Dakota,

South Dakota, Utah, and Wyoming.

Northern Plains Office of Native American Programs, 8P,First Interstate Tower North,633 17th

Street,Denver, Colorado 80202–3607,(303) 672–5457,TDD Number: 303–844–6158.

Arizona, California, New Mexico, Nevada, and

Isleta del Sur in Texas.

Southwest Office of Native American Programs, 9EPID,Two Arizona Center,400 North Fifth

Street, Suite 1650,Phoenix, Arizona 85004–2361,(602) 379–4197,TDD Number: 602–379–

4461,

or

Albuquerque Division of Native American Programs, 9EPID,Albuquerque Plaza,201 3rd Street,

NW, Suite 1830,Albuquerque, New Mexico 87102–3368,(505) 766–1372.

Idaho, Oregon, and Washington ......................... Northwest Office of Native American Programs, 10PI,909 First Avenue, Suite 200,Seattle,

Washington 98104–1000,(206) 220–5271,TDD Number: (206) 220–5185.

Alaska ................................................................. Alaska Office of Native American Programs, 10.1PI,949 East 36th Avenue, Suite

401,Anchorage, Alaska 99508–4399,(907) 271–4603,TDD Number: (907) 271–4328.

Appendix 2—Checklist of Eligibility

Requirements and Application

Submission Requirements

Applications must meet the

requirements in (1) and (2), below.

Except for the certifications in (2)(iii)

and (2)(iv), these requirements are noncorrectable after the closing of the

application submission period.

(1) Each application must be:

(i) lll From an eligible applicant.

(ii) lll 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. (A resolution may

be attached which authorizes another

entity, e.g., a housing authority, to

prepare the application on behalf of the

tribe; however, the tribe must be the

applicant and sign the application.)

(iii) lll There is no information to

indicate that the eligible applicants and

involved IHA lack the administrative

capacity to undertake the project

proposed.

(iv) lll For one or more Indian

HOME Program eligible projects.

(v) lll For not more than a $2.0

million grant.

(vi) lll For a grant amount not in

excess of 115% of the maximum perunit subsidy amount (24 CFR 954.400).

The maximum per-unit subsidy

amount is the total development cost

standard for the area. Maximum

allowable Total Development Costs

(‘‘TDCs’’) are established by location

and by unit size (size is expressed as

number of bedrooms). Maximum

allowable TDCs are available from the

Area ONAP for each applicant

community. To determine whether the

HOME grant amount requested satisfies

this limitation, multiply the maximum

allowable TDC for each size by the

proposed number of units, add the

products, multiply by 115%, and

compare the result to the HOME grant

amount requested. The grant amount

request may not be more than this

amount.

(vii) lll Submitted with an

original and one copy.

(viii) lll From an applicant with

not more than one HOME grant. An

application from an applicant with two

or more HOME grants that are not

closed out pursuant to the requirements

of § 954.504 will be set aside and not

rated.

(2) Each application must contain the

following:

(i) lll Transmittal Letter.

(ii) lll Standard Form-424,

Application for Federal Assistance.

Complete side one only. Name of the

eligible applicant, e.g., a tribe or an

authorized Tribal organization, must be

in field 5, legal applicant. A resolution

may be attached which authorizes

another entity, e.g., a housing authority,

to prepare the application on behalf of

the eligible applicant; however, the

eligible applicant must be the applicant

and sign the application. The Catalog of

Federal Domestic Assistance identifies

this program as program number 14.239.
18002 Federal Register / Vol. 62, No. 70 / Friday, April 11, 1997 / Notices

(iii) lll Form HUD–4126, which

contains the following certifications:

(A) 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

24 CFR 954.4.

(B) A certification that the applicant

shall use HOME funds in compliance

with all the requirements of 24 CFR part

954, the Indian HOME program final

rule.

(C) Drug-free workplace. The

certification with regard to the drug-free

workplace required by 24 CFR part 24,

subpart F.

(D) 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.

(E) Audits. A certification that the

applicant does not have an outstanding

Indian HOME or ICDBG obligation to

HUD that is in arrears, or it has agreed

to a repayment schedule. A certification

that the applicant does not have an

overdue or unsatisfactory response to an

audit finding(s).

(F) Fire Safety. A certification that the

applicant shall comply with the

requirements of the Fire Authorization

Administration Act of 1992 (Pub. L.

102–522).

(G) Economic Opportunities for LowIncome and Very Low-Income Persons.

A certification that the applicant shall

comply with the requirements of

Section 3 of the Housing and Urban

Development Act of 1968 and the

regulations in 24 CFR part 135 to the

maximum extent consistent with, but

not in derogation of, compliance with

section 7(b) of the Indian SelfDetermination and Education

Assistance Act (25 U.S.C. 450e(b)).

(iv) lll Drug-free workplace. In

order to fulfill OMB requirements, a

separate, complete text certification

with regard to the drug-free workplace

required by 24 CFR part 24, subpart F.

(v) lll Form HUD–2880,

Applicant/Recipient Disclosure/Update

Report, as required under subpart A of

24 CFR part 4, Accountability in the

Provision of HUD Assistance.

(vi) lll 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.

(vii) lll Form HUD–4122-I, Indian

HOME Program Grants. Project

Summary; component that addresses the

summary description of the proposed

project.

(viii) lll Operation Plan. All

proposed projects that shall be operated

as rental projects MUST include a

management and maintenance plan and

a staffing plan for these functions. An

agreement with the tribal IHA to manage

the units is not sufficient as a

management and maintenance staffing

plan; the IHA must include projected

staffing to carry out these functions.

(ix) lll Form HUD–4125-I, Indian

HOME Program Grants. Implementation

Schedule.

(x) lll Form HUD–4123-I, Indian

HOME Program Grants. Cost Summary.

(xi) lll Project location map.

(xii) lll 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.(d)(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.

[FR Doc. 97–9306 Filed 4–10–97; 8:45 am]

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