NOFA for Emergency Shelter Grants Set-Aside for Indian Tribes and Alaskan Native Villages

[[Page 8824]]

DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

Office of the Assistant Secretary for Public and Indian Housing

[Docket No. FR-4002-N-01]

NOFA for Emergency Shelter Grants Set-Aside for Indian Tribes and

Alaskan Native Villages

AGENCY: Office of the Assistant Secretary for Public and Indian

Housing, HUD.

ACTION: Notice of funding availability.

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

SUMMARY: This NOFA announces the availability of approximately

$1,150,000 in funds for emergency shelter grants to be allocated to

Indian tribes and Alaskan Native villages by competition for Fiscal

Year (FY) 1996. Assistance provided to Indian tribes and Alaskan Native

villages under this NOFA will be used to help improve the quality of

existing emergency shelters for the homeless, to make available

additional emergency shelters, to meet the costs of operating emergency

shelters and of providing essential social services to homeless

individuals, and to help prevent homelessness. This ESG set-aside

allocation will increase the availability and expedite receipt of

program funds to Native American communities. This NOFA contains: (1)

Information concerning eligible applicants, (2) Information on funding

available within each HUD Indian program region, (3) Information on

application requirements and procedures, and (4) A description of

applicable statutory changes to the ESG program.

Note: The Congress has not yet enacted an FY 1996 appropriation

for HUD. However, HUD is publishing this notice in order to give

potential applicants adequate time to prepare applications. The

amount of funds announced in this NOFA is an estimate of the amount

likely to be enacted in 1996. HUD is not bound by the estimate set

forth in this notice. The estimated amount may be adjusted based on

the enacted 1996 appropriation.

DATES: Applications must be received by the appropriate HUD Office of

Native American Programs (ONAP) by no later than 3:00 p.m. local time

(i.e., the time in the office to which the application is submitted) on

April 19, 1996.

ADDRESSES: Application packages are available from the HUD Offices of

Native American Programs (ONAPs) listed in Appendix 2 to this NOFA. The

Office of Native American Programs (ONAP) serving the area in which the

applicant's project is located must receive an original application and

one copy by the deadline described in the ``Dates'' section of this

NOFA.

FOR FURTHER INFORMATION CONTACT: Applicants may contact the appropriate

Office of Native American Programs (ONAPs) for further information.

Appendix 2 to this NOFA contains a complete list of these offices with

their addresses and telephone numbers.

SUPPLEMENTARY INFORMATION:

Paperwork Reduction Act Statement

The information collection requirements contained in this Notice of

Funding Availability (NOFA) have been approved by the Office of

Management and Budget (OMB) in accordance with the Paperwork Reduction

Act (44 U.S.C. 3501-3520), and assigned OMB control number 2577-0205.

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.

I. Purpose and Substantive Description

A. Authority and Purpose

The Emergency Shelter Grants (ESG) program was first established in

section 101(g) of Public Law 99-500 (approved October 18, 1986), making

appropriations for Fiscal Year (FY) 1987 as provided in H.R. 5313. The

program was reauthorized with amendments in the Stewart B. McKinney

Homeless Assistance Act, as amended (42 U.S.C. 11371-11378) (McKinney

Act). Section 832(f) of the National Affordable Housing Act (NAHA)

(Pub. L. 101-625, approved November 28, 1990) provided for the explicit

eligibility of Indian tribes for ESG program assistance, and

established a set-aside allocation for Indian tribes that is equal to 1

percent of the amounts appropriated for the ESG program. Regulations

governing the ESG program are in 24 CFR part 576, except as superseded

by statutory amendments under NAHA and the Housing and Community

Development Act of 1992 (1992 Act) (Pub. L. 102-550, approved October

28, 1992), as discussed below.

Approximately $1,150,000 is available for the Indian Emergency

Shelter Grants (ESG) Program as authorized by subtitle B, title IV of

the Stewart B. McKinney Homeless Assistance Act, as amended. The

proposed rule on Emergency Shelter Grants Program; Set-Aside Allocation

for Indian Tribes and Alaskan Native Villages, published in the Federal

Register on April 5, 1993 (58 FR 17764), describes the method for

allocating these funds.

Note: The Congress has not yet enacted an FY 1996 appropriation

for HUD. However, HUD is publishing this notice in order to give

potential applicants adequate time to prepare applications. The

amount of funds announced in this NOFA is an estimate of the amount

likely to be enacted in 1996. HUD is not bound by the estimate set

forth in this notice. The estimated amount may be adjusted based on

the enacted 1996 appropriation.

These grants will be governed by all provisions applicable to the

ESG program, including the provisions in the Housing and Community

Development Act of 1992 that became effective upon that law's

enactment, such as the authorization to make eligible the use of grant

funds for staff costs relating to the operation of emergency shelters

up to a maximum amount of 10 percent of the grant, and the requirement

that the recipient establish a ``formal process'' in order to terminate

assistance under the program.

Assistance provided to Indian tribes and Alaskan Native villages

under this NOFA will be used to help improve the quality of existing

emergency shelters for the homeless, make available additional

emergency shelters, meet the costs of operating emergency shelters and

of providing essential social services to homeless individuals, and

help prevent homelessness. This ESG set-aside allocation will increase

the availability and expedite receipt of program funds to Native

American communities.

B. Statutory Amendments

This NOFA addresses section 832 of NAHA, which contains numerous

amendments to the McKinney Act, and several amendments to the ESG

program in the 1992 Act. These statutory amendments supersede

applicable provisions of the program regulations found in 24 CFR part

576. This NOFA describes these statutory changes to assist Indian

tribes in complying with program requirements, including the NAHA and

1992 Act amendments (see Appendix 1 of this NOFA for a listing of

statutory amendments that apply to this program).

II. Application Process

A. Allocation Amounts

This NOFA announces the availability of approximately $1,150,000 in

funding for FY 1996 to fund competitive grants to Indian tribes for

emergency shelter grants. Set-aside allocations of the total amount to

each area Office of Native American Programs (ONAP) are detailed in the

following chart:

[[Page 8825]]

Allocation of ESG Set-Aside for Indian Tribes by HUD Area ONAPs for FY

1996

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

Percent

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

Eastern/Woodlands............................................. 16.70

Southern Plains............................................... 19.75

Northern Plains............................................... 18.92

Southwest..................................................... 26.70

Northwest..................................................... 8.60

Alaska........................................................ 9.33

---------

Total..................................................... 100.00

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

HUD reserves the right to negotiate reductions in the amounts

requested by applicants based on the overall demand for the funds. HUD

further reserves the right to reallocate these amounts as provided in

section II.F, Ranking and Selection, of this NOFA. Each Indian tribe

must spend all of the grant amounts it is awarded within 24 months of

the date of the grant award by HUD. Any emergency shelter grant amounts

that are not spent within this time period may be recaptured and added

to the following fiscal year's ESG set-aside for Indian tribes.

B. Eligibility and Threshold Requirements

(1) Eligible Applicants

Eligible applicants 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 State and Local Fiscal Assistance Act of

1972 are those that have been determined eligible by the Department of

the Treasury, Office of Revenue Sharing.

Tribal organizations which are eligible under title I of the Indian

Self-Determination and Education Assistance Act may apply on behalf of

any Indian Tribe, band, group, nation, or Alaskan native village

eligible under that act for funds under this part 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

Self-Determination and Education Assistance Act will be determined by

the Bureau of Indian Affairs.

Only eligible applicants shall receive grants. However, eligible

applicants may contract or otherwise agree with noneligible entities

such as States, cities, counties, or other organizations to assist in

the preparation of applications and to help implement assisted

activities. For instance, private nonprofit organizations are not

eligible to apply directly to HUD for a grant, but may receive funding

from a grantee if the grantee determines that the nonprofit has the

financial and organizational capacity to carry out the proposed

activities.

(2) Thresholds

The selection process for the Indian tribe set-aside program

includes a preliminary threshold review. The applicant must clearly

demonstrate and HUD will review each application to determine whether:

(a) The application is adequate in form, time, and completeness;

(b) The applicant is eligible; and

(c) The proposed activities and persons to be served are eligible

for assistance under the program.

C. Obtaining Applications

Application packages are available from the HUD area Offices of

Native American Programs listed in Appendix 2 to this NOFA.

D. Submitting Applications

The ONAP serving the area in which the applicant's project is

located must receive an original application and one copy no later than

3:00 p.m. local time (i.e., the time in the office to which the

application is submitted) on the deadline date April 19, 1996.

Applications transmitted by FAX will not be accepted. A determination

that an application was received on time will be made solely on receipt

of the original application at the appropriate Office of Native

American Programs serving the applicant's project.

The deadline is firm as to date and hour. In the interest of

fairness to all competing applicants, HUD will treat any application

that is received after the deadline as ineligible for consideration.

Applicants should take this practice into account and make early

submission of their materials to avoid any risk of ineligibility

brought about by unanticipated delays or other delivery-related

problems.

E. Rating Criteria

Applications that fulfill each of the threshold review requirements

described in Section II.B, Eligibility and Threshold Requirements, of

this NOFA will be rated up to 100 points based on the following

criteria.

(1) Applicant capacity (30 points). HUD will award up to 30 points

to an applicant that demonstrates the ability to carry out activities

under its proposed program within a reasonable time, and in a

successful manner, after execution of the grant agreement by HUD.

Reviewers' knowledge of the applicant's previous experience will weigh

heavily in the scoring. Documented evidence of poor or slow performance

will enter strongly into that determination. The applicants that rate

highest on this criterion will show substantial experience as an

organization and/or staff in past endeavors that are directly related

to the proposed project.

The applicant will receive the following points if it:

30 Shows substantial experience as an organization and/or staff in

past endeavors that are directly and comprehensively related to the

proposed projects; and demonstrates assurance of assisting the homeless

within a reasonable time.

20 Shows substantial experience as an organization and/or staff in

past endeavors that are closely (but not directly or comprehensively)

related to the proposed project; and shows promise of assisting the

homeless within a reasonable time.

10 Shows limited experience as an organization and/or staff in past

endeavors that are closely (but not directly or comprehensively)

related to the proposed project; and shows promise of assisting the

homeless within a reasonable time.

5 Shows limited experience as an organization and/or staff in past

endeavors that are only remotely related to the proposed project; or

some evidence exists that brings into question the organization's

capacity to implement the proposed project; and it is unclear whether

the organization will be able to assist the homeless within a

reasonable time.

0 Shows no evidence as an organization and/or staff in past endeavors

that relate to the demands of the proposed project; and substantial

evidence exists that the organization is incapable of implementing the

proposed project; and documented evidence exists that the organization

will not be able to assist the homeless within a reasonable time.

(2) Need (20 points). HUD will award up to 20 points to an

applicant that demonstrates the existence of an unmet need for the

proposed project in the area to be served. The applicants that rate

[[Page 8826]]

highest on this criterion will: (a) clearly define the unmet housing

and essential services needs of the homeless population proposed to be

served in the area to be served by the project, (b) demonstrate in-

depth knowledge of the population to be served and its needs, and (c)

set forth an outreach strategy that assures that the intended

population will be served.

The applicant will receive the following points if it:

20 Clearly defines the unmet housing and supportive services needs of

the homeless population(s) to be served in the area to be served by the

project. That unmet need (as described) is great relative to other

applications reviewed. Presents evidence of use of credible surveys or

other data gathering mechanisms to support claims made. Application

reveals in-depth understanding of the population(s) to be served and of

its unmet housing and supportive services needs. Entry and outreach

policies will ensure that the population(s) proposed to be served will

actually be served by the project.

15 Generally defines the unmet housing and supportive services needs

of a homeless population(s) to be served, but not as is comparable in

magnitude to most other applications reviewed. Presents evidence of use

of acceptable surveys or other data gathering mechanisms to support

claims made. Application reveals in-depth understanding of the

population(s) to be served and of its unmet housing and supportive

services needs. Entry and outreach policies will ensure that the

population(s) proposed to be served will actually be served by the

project.

10 Generally defines the unmet housing and supportive service needs of

a homeless population(s) to be served, but not as clearly in the

specific area to be served. That unmet need (as described) is

comparable in magnitude to most other applications reviewed. Presents

evidence of use of acceptable surveys or other data gathering

mechanisms to support claims made. Application reveals general

understanding of the population(s) to be served and of its unmet

housing and supportive services needs. Entry and outreach policies will

likely ensure that the population(s) proposed to be served will

actually be served.

5 Offers a fragmentary description of the unmet housing and supportive

services needs of the homeless population(s) to be served by the

project with minimal evidence supporting the claim. That unmet need (as

described) is less in magnitude than most other applications reviewed.

Supportive documentation is very limited or tangential to the unmet

needs described. Application reveals only limited understanding of the

population(s) proposed to be served or of its unmet needs. Entry and

outreach policies relate only indirectly to the population(s) that the

applicant proposes to serve.

0 Fails to delineate the unmet housing and supportive services needs

of the homeless population(s) to be served by the project. Application

reveals a complete absence of understanding of the population(s) to be

served or of its unmet housing and supportive services needs.

(3) Service to homeless population (20 points). HUD will award up

to 20 points to an applicant that proposes to serve that part of the

Indian homeless population that is most difficult to reach and serve,

i.e., those persons having a primary nighttime residence that is a

public or private place not designed for, or ordinarily used as,

sleeping accommodations for human beings. In urban areas, this is

usually referred to as living ``on the street.'' To the extent that

Indians living on reservations live in such situations (e.g., sleeping

in cars, abandoned structures, out in the open), they meet the

definition of living in conditions similar to living on the street.

HUD will focus upon proposed outreach and intake plans, and

especially the degree to which such plans would maximize the likelihood

that homeless persons would be served by the proposed project. The

outreach strategy/intake procedures to seek out and evaluate the needs

of the population to be served should be clearly described in the

application.

The applicant will receive the following points if it:

20 Clearly specifies the reasons that individuals will be hard to

reach in terms of their geographic location, specific problems, or

their willingness to enter into the program; and states clearly how

outreach to these individuals will be achieved by the applicant or with

other organizations; and specifically reveals how intake process will

be used to identify the needs of the population to be served.

10 States only that individuals will be hard to reach and does not

contain any description of their geographic location, specific

problems, or their willingness to enter into the program; and does not

describe what outreach process will be used to seek out those

individuals by the applicant or with other organizations; and states

that an intake process will be used to identify the needs of the

population to be served.

5 States only that individuals will be hard to reach and does not

contain any description of their geographic location, specific

problems, or their willingness to enter into the program; and does not

describe what outreach process will be used to seek out those

individuals by the applicant or with other organizations; and contains

little information about what intake process will be used to identify

the needs of the population to be served.

0 Fails to delineate that the population is hard to reach or what

outreach measures will be used to contact the population to be served

by the project.

(4) Appropriateness of essential services (30 points). HUD will

award up to 30 points to an applicant that proposes essential services

that: (a) are appropriate to the needs of the population proposed to be

served; (b) are used or coordinated with existing sources of supportive

services and networks of support in the community; and (c) to the

degree possible, help to move residents to longer term housing

situations. Applicants should describe what services are available and

how they will make those services accessible to the people they serve.

In addition, HUD will evaluate the means by which the people to be

served will be assisted in moving to permanent housing that is

appropriate and affordable. Applicants should describe what resources

are available to assist the population they serve to find permanent

housing.

The applicant will receive the following points if it:

30 Proposes a program of essential services that is comprehensive and

that gives promise of being of very high quality; and that is generally

appropriate to the needs of the population proposed to be served,

responds to the changing needs of that population(s), offers a

personalized response to the individual needs of the residents served;

and coordinates extensively with other sources, public and

[[Page 8827]]

private, of essential services and networks of support already existing

within the community; and can demonstrate with reasonable certainty

that the results of the program are likely to be successful. The

applicant will have access to housing counseling, assistance with

applying for other Federal, State, or local housing assistance

programs, referrals to other organizations involved in these

activities, or other assistance such as moving assistance, security

deposits, or landlord/tenant negotiation directly related to entering

transitional or permanent adequate and affordable housing.

20 Proposes a program of essential services that is reasonably

comprehensive and that gives promise of being of good quality; that

responds to a genuine need, as identified in Element (3); proposes use

of other sources of essential services and existing networks of

support; and offers reasonable assurance that the results of the

program are likely to be successful. The applicant will have access to

housing counseling, assistance with applying for other Federal, State,

or local housing assistance programs, referrals to other organizations

involved in these activities, or other assistance such as moving

assistance, security deposits, or landlord/tenant negotiation directly

related to entering transitional or permanent adequate and affordable

housing.

10 Proposes a program of essential services that is reasonably

comprehensive and that gives promise of being of good quality; that

responds to a genuine need, as identified in Element (3); proposes use

of other sources of essential services and existing networks of

support; and offers reasonable assurance that the results of the

program are likely to be successful. The applicant will have access to

housing counseling, assistance with applying for other Federal, State,

or local housing assistance programs, or be able to make referrals to

other organizations involved in these activities.

5 Presents a proposed project with a few services that meet basic

needs but are not designed to encourage residents to move to greater

independence within an emergency shelter environment.

0 Presents a proposed project with no essential services or with

services that are clearly inappropriate to the population to be served;

success is highly unlikely. The application fails to indicate how or

when residents will be able to leave emergency shelter for transitional

or permanent housing.

F. Ranking and Selection

Applications from Indian tribes within the area served by the

applicable HUD Office of Native American Programs will be assigned a

rating score and placed in ranked order, based upon the rating criteria

listed in Section II.E of this NOFA. Only those applications receiving

at least 50 total points will be given funding consideration. In the

final stage of the selection process, qualified applicants will be

selected for funding in accordance with their ranked order within each

area ONAP, to the extent that funds are available within that area

ONAP's jurisdiction.

In the event of a tie between applicants, the applicant with the

highest total points for rating criterion (2), Need, in section II.E of

this NOFA, will be selected. In the event of a procedural error that,

when corrected, would warrant selection of an otherwise eligible

applicant under this NOFA, HUD may select that applicant when

sufficient funds become available.

Depending on the availability of funds, HUD may fund qualified

applications regardless of location. If an area ONAP has insufficient

funds to make awards to all of its qualified applicants, HUD may

reallocate funds to that office from any other area ONAP that has funds

remaining after making awards to all of its qualified applications.

III. Checklist for Application Submission Requirements

A checklist of submission requirements is provided at Appendix 3 to

this NOFA, to assist the applicant in preparing a complete application.

IV. Corrections To Deficient Applications

HUD will notify the applicant if there are any curable technical

deficiencies in the application. Curable technical deficiencies relate

to minimum eligibility requirements (such as certifications and

signatures) that are necessary for funding approval but that do not

relate to the quality of the applicant's program proposal under the

selection criteria. The applicant must submit corrections in accordance

with the information provided by HUD within 14 calendar days of the

date of the HUD notification.

In accordance with the provisions of 24 CFR part 4, subpart B, HUD

may contact an applicant to seek clarification of an item in an

applicant's application, or to request additional or missing

information. The clarification or the request for additional or missing

information shall not relate to items that would improve the

substantive quality of the application pertinent to the funding

decision.

V. Other Matters

A. Environmental Impact

A Finding of No Significant Impact with respect to the environment

has been made in accordance with HUD regulations at 24 CFR part 50,

which implement section 102(2)(C) of the National Environmental Policy

Act of 1969. This Finding is available for public inspection between

7:30 a.m. to 5:30 p.m. weekdays in the Office of the Rules Docket Clerk

in the Office of the General Counsel, Room 10276, Department of Housing

and Urban Development, 451 Seventh Street, SW., Washington, DC 20410-

0500.

B. 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 will 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,

this NOFA is not subject to review under the Order. This NOFA announces

the availability of funds set aside for Indian tribes for emergency

shelter activities and invites applications from eligible applicants.

C. Family Impact

The General Counsel, as the Designated Official for Executive Order

12606, The Family, has determined that this NOFA, to the extent the

funds provided under it are directed to families, has the potential for

a beneficial impact on family formation, maintenance, and general well-

being. Since any impact on families is beneficial, no further review is

considered necessary.

D. Economic Opportunities for Low- and Very Low-Income Persons

All applicants are herein notified that the provisions of section 3

of the Housing and Urban Development Act of 1968, as amended, and the

regulations in 24 CFR part 135 are applicable to funding awards made

under this NOFA. One of the purposes of the assistance is to give to

the greatest extent feasible, and consistent with existing Federal,

[[Page 8828]]

State, and local laws and regulations, job training, employment,

contracting, and other economic opportunities to section 3 residents

and section 3 business concerns. Tribes that receive HUD assistance

described in this part shall comply with the procedures and

requirements of this part to the maximum extent consistent with, but

not in derogation of, compliance with section 7(b) of the Indian Self-

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

E. Section 102 of the HUD Reform Act: Documentation and Public Access

Requirements; Applicant/Recipient Disclosures

Documentation and public access requirements. HUD will ensure that

documentation and other information regarding each application

submitted pursuant to this NOFA are sufficient to indicate the basis

upon which assistance was provided or denied. This material, including

any letters of support, will be made available for public inspection

for a five-year period beginning not less than 30 days after the award

of the assistance. Material will be made available in accordance with

the Freedom of Information Act (5 U.S.C. 552) and HUD's implementing

regulations in 24 CFR part 15. In addition, HUD will include the

recipients of assistance pursuant to this NOFA in its Federal Register

notice of all recipients of HUD assistance awarded on a competitive

basis. (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 will make available to the public for five years

all applicant disclosure reports (HUD Form 2880) submitted in

connection with this NOFA. Update reports (also Form 2880) will be made

available along with the applicant disclosure reports, but in no case

for a period less than three years. All reports--both applicant

disclosures and updates--will be made available in accordance with the

Freedom of Information Act (5 U.S.C. 552) and HUD's implementing

regulations in 24 CFR part 15. (See 24 CFR part 12, 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 in the Federal Register on May 13, 1991 (56 FR 22088), and

became effective on June 12, 1991. That regulation, codified as 24 CFR

part 4, applies to this funding competition. The requirements of the

rule continue to apply until the 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 Office of

Ethics at (202) 708-3815. (This is not a toll-free number.) For HUD

employees who have specific program questions, such as whether a

particular subject matter can be discussed with persons outside HUD,

the employee should contact the appropriate Regional or Field Office

Counsel, or Headquarters counsel for the program to which the question

pertains.

G. Prohibition Against Lobbying Activities

The use of funds awarded under this NOFA is subject to the

disclosure requirements and prohibitions of section 319 of the

Department of Interior and Related Agencies Appropriations Act for

Fiscal Year 1990 (31 U.S.C. 1352) (the Byrd Amendment), and the

implementing regulations in 24 CFR part 87. These authorities prohibit

recipients of Federal contracts, grants, or loans from using

appropriated funds for lobbying the executive or legislative branches

of the Federal government in connection with a specific contract,

grant, or loan. The prohibition also covers the awarding of contracts,

grants, cooperative agreements, or loans unless the recipient has made

an acceptable certification regarding lobbying. Under 24 CFR part 87,

applicants, recipients, and subrecipients of assistance exceeding

$100,000 must certify that no Federal funds have been or will be spent

on lobbying activities in connection with the assistance. Indian

Housing Authorities (IHAs) established by an Indian tribe as a result

of the exercise of their sovereign power are excluded from coverage,

but IHAs established under State law are not excluded from coverage.

I. The Catalog of Federal Domestic Assistance program number is

14.231.

Authority: 42 U.S.C. 11376; 42 U.S.C. 3535(d).

Dated: January 26, 1996.

Kevin Emanuel Marchman,

Acting Assistant Secretary for Public and Indian Housing.

Appendix 1--Statutory Amendments (Section I.B)

National Affordable Housing Act Amendments: Sections (1)-(6)

below describe the relevant NAHA amendments.

(1) Extension of eligibility to Indian tribes. Section 832(f) of

NAHA (42 U.S.C. 11371-11378) expressly extends eligibility for

assistance under the ESG program to Indian tribes, and has the

effect of applying the same formula as used in the Community

Development Block Grant (CDBG) program for determining the amount of

ESG funds to be set aside for Indian tribes. The 1 percent figure

for the Indian tribe set-aside is dictated by sections 832(f)(3) and

913(b) of NAHA (42 U.S.C. 5306).

(2) Administrative costs. Section 832(b)(1) of NAHA (42 U.S.C

11378) permits recipients to use up to 5 percent of an ESG program

grant for administrative purposes. This amount equals 5 percent of

the total of amounts of ESG funds requested for all other eligible

activities. Administrative costs include: costs of accounting for

the use of grant funds, preparing reports for submission to HUD or

to the State, obtaining program audits, conducting environmental

reviews, coordinating program activities, and similar costs related

to administering the grant. These costs do not include the costs of

carrying out other activities eligible under the ESG program.

(3) Use of funds for essential services. Section 832(c) of NAHA

(42 U.S.C. 11374(a)(2)(B)) increased the percentage of a grant that

may be used to provide essential services from 20 percent to 30

percent. Consistent with this amendment, HUD will apply its waiver

authority in section 414(b) of the McKinney Act to the new, higher

30 percent limitation. As with the previous 20 percent limit, the 30

percent limit is to be measured against the aggregate amount of each

emergency shelter grant to an Indian tribe. Section 832(f)(6) of

NAHA makes the limitations on the provision of essential services

applicable to Indian tribes.

(4) Use of funds for prevention of homelessness. Homelessness

prevention was added as a category of eligible activities by section

423 of the Stewart B. McKinney Homeless Assistance Amendments Act

(Pub. L. 100-688, approved November 7, 1988), which also treated

these activities as ``essential services.'' However, section 832(d)

of NAHA (42 U.S.C 11374(a)(4)) withdraws homelessness prevention

activities from categorization as ``essential services,'' and

imposes a separate limit of 30 percent of the aggregate amount of

assistance to any recipient, including an Indian tribe, that may be

used for efforts to prevent homelessness.

Thus, under NAHA, essential services and homelessness prevention

are now each subject to a 30 percent cap. However, unlike

[[Page 8829]]

the category of essential services, there is no statutory authority to

permit a waiver of the cap on the amount of assistance that may be

used for homelessness prevention activities. By its express terms,

the statutory waiver is available only in the category of essential

services.

(5) Confidentiality of records for family violence services.

Section 832(e) of NAHA (42 U.S.C. 11375(c)(5)) requires each

recipient to certify that it will develop and implement procedures

to ensure the confidentiality of records pertaining to any

individual provided family violence prevention or treatment services

with ESG program assistance. In addition, the address or location of

any ESG-assisted housing used as a family violence shelter may not

be made public without the written authorization of persons

responsible for the operation of the shelter. This new certification

is included in the application kit, as provided in Section III of

this NOFA.

(6) Establishes habitability standards. Section 832(g) of NAHA

(42 U.S.C. 11376(c)) requires the Secretary to prescribe the minimum

standards of habitability appropriate to ensure that emergency

shelters assisted by this program are environments that provide

appropriate privacy, safety, and sanitary and other health-related

conditions for homeless persons and families. A description of the

Minimum Habitability Standards and the required certification is

included in the application kit, as provided in Section III of this

NOFA. The Habitability Standards that have been developed under

section 832(g) of NAHA to apply to emergency shelters are as

follows:

(a) Structure and materials. The shelter shall be structurally

sound so as not to pose any threat to the health and safety of the

occupants and so as to protect the occupants from the environment.

(b) Access. The shelter shall be accessible and capable of being

utilized without unauthorized use of other private properties. The

building shall provide an alternate means of egress in case of fire.

(c) Space and security. Each occupant shall be afforded adequate

space and security for the occupant's person and belongings. Each

occupant shall be provided an acceptable place to sleep.

(d) Interior air quality. Every room or space shall be provided

with natural or mechanical ventilation. The shelter shall be free of

pollutants in the air at levels that threaten the health of the

occupants.

(e) Water supply. The water supply shall be free from

contamination at levels that threaten the health of the recipients.

(f) Sanitary facilities. Shelter occupants shall have access to

sanitary facilities that are in proper operating condition, can be

used in privacy, and are adequate for personal cleanliness and the

disposal of human waste.

(g) Thermal environment. The shelter shall have adequate heating

and cooling facilities in proper operating condition.

(h) Illumination and electricity. The shelter shall have

adequate natural or artificial illumination to permit normal indoor

activities and to support the health and safety of occupants.

Sufficient electrical sources shall be provided to permit use of

essential electrical appliances while assuring safety from fire.

(i) Food preparation and refuse disposal. All food preparation

areas shall contain suitable space and equipment to store, prepare,

and serve food in a sanitary manner.

(j) Sanitary condition. The shelter and its equipment shall be

maintained in sanitary condition.

Housing and Community Development Act of 1992 Amendments:

Sections (7)-(9) below describe the relevant changes of the 1992

Act.

(7) Certification of involvement of homeless individuals and

families. The recipient must certify that, to the maximum extent

practicable, it will involve homeless individuals and families,

through employment, volunteer services, or otherwise, in providing

services and in constructing, renovating, maintaining, and operating

facilities, when assistance is provided for those activities under

the program.

(8) Termination of assistance. The recipient may terminate

assistance provided to an individual or a family only in accordance

with a formal process established by the recipient that recognizes

the rights of the individuals affected, which may include a hearing.

(9) Eligibility of staff costs. Staff costs relating to the

operation of emergency shelters are specifically recognized as an

eligible activity, but not more than 10 percent of the amount of any

grant may be used for these costs. Staff costs for maintenance of

and security for emergency shelters will not be counted against the

10 percent cap.

Appendix 2.--HUD Offices of Native American Programs

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

Tribes and IHAs located ONAP address

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

East of the Mississippi River Eastern/Woodlands Office of Native

(including all of Minnesota American Programs, 5P, Metcalfe Federal

and Iowa). Building, 77 West Jackson Boulevard,

Chicago, Illinois 60604-3507, (312) 353-

1282 or (800) 735-3239, TDD Numbers: 1-

800-927-9275 or 312-886-3741.

Louisiana, Missouri, Kansas, Southern Plains Office of Native American

Oklahoma, and Texas except Programs, 6.IPI, 500 W. Main, Suite 400,

for Isleta del Sur. Oklahoma City, Oklahoma 73102, (405) 553-

7428, TDD Numbers: 405-231-4181 or 405-

231-4891.

Colorado, Montana, Nebraska, Northern Plains Office of Native American

North Dakota, South Dakota, Programs, 8P, First Interstate Tower

Utah, and Wyoming. North, 633 17th Street, Denver, Colorado

80202-3607, (303) 672-5462, TDD Number:

303-672-5248.

Arizona, California, New Southwest Office of Native American

Mexico, Nevada, and Isleta Programs, 9EPID, Two Arizona Center, 400

del Sur in Texas. North Fifth Street, Suite 1650, Phoenix,

Arizona 85004-2361, (602) 379-4156, TDD

Number: 602-379-4461.

or

Albuquerque Division of Native American

Programs, 9EPIDI, Albuquerque Plaza, 201

3rd Street, N.W., Suite 1830,

Albuquerque, New Mexico 87102-3368,

(505) 766-1372, TDD Number: None.

or

Northern California Division of Native

American Programs, 450 Golden Gate

Avenue, 8th Floor, Box 36003, San

Francisco, CA 94102-3448, (415) 436-

8121, TDD Number: (415) 556-8357.

Idaho, Oregon, and Washington Northwest Office of Native American

Programs, 10PI, 909 First Avenue, Suite

300, Seattle, Washington 98104-1000,

(206) 220-5270, 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) 271-4633, TDD Number: (907) 271-

4328.

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

Appendix 3--Checklist of Application Submission Requirements

Applicants must complete and submit applications in accordance

with the instructions contained in the application kit. The

following is a checklist of the application contents that will be

specified in the application kit:

--(1) Applicant Information, including name, address, contact

person, and telephone number;

--(2) Standard Form 424;

--(3) Certifications of compliance with the requirements of:

--(a) 24 CFR 576.21(a)(4)(ii), concerning assistance provided

for homelessness prevention activities; Sec. 567.51(b)(2)(v),

concerning the funding of ESG activities

[[Page 8830]]

in commercial facilities; Sec. 576.73, concerning the continued use of

buildings as emergency shelters for the population to be served;

Sec. 576.75, concerning building standards; 576.77, concerning

assistance to the homeless; and Sec. 576.80, concerning displacement

and relocation;

--(b) The Indian Civil Rights Act (25 U.S.C. 1301), and section

7(b) of the Indian Self-Determination and Education Assistance Act

(25 U.S.C. 450e(b));

--(c) Section 504 of the Rehabilitation Act of 1973 (29 U.S.C.

794);

--(d) The Age Discrimination Act of 1975 (42 U.S.C. 6101-07);

--(e) Executive Orders 11625, 12432, and 12138, promoting the

use of minority business enterprises and women-owned businesses to

the maximum extent consistent with the Indian Self-Determination and

Education Assistance Act;

--(f) The requirements of 24 CFR part 24, concerning the Drug-

Free Workplace Act of 1988;

--(g) Section 832(e)(2)(C) of NAHA, concerning the

confidentiality of records pertaining to any individual provided

family violence prevention or treatment services;

--(h) Section 832(g) of NAHA, concerning minimum habitability

standards prescribed by the Department;

--(i) Section 104(g) of the Housing and Community Development

Act of 1974 and 24 CFR part 58, concerning assumption of the HUD

environmental review responsibilities;

--(j) Section 576.71(b)(2)(vii), concerning compliance with

Tribal law in the submission of an application for an emergency

shelter grant, and possession of legal authority to carry out

emergency shelter grant activities;

--(k) Prohibitions on the use of Federal funds for lobbying, and

the completion of SF-LLL, Disclosure Form to Report Lobbying, if

applicable;

--(l) 42 U.S.C. 11375(c)(7), as added by the Housing and

Community Development Act of 1992, concerning the involvement

through employment, volunteer services, or otherwise, to the maximum

extent practicable, of homeless individuals and families in

constructing, renovating, maintaining, and operating facilities

assisted under the ESG program, and in providing services for

occupants of these facilities;

--(m) Section 3 of the Housing and Urban Development Act of

1968, as amended, and the regulations in 24 CFR part 135;

--(4) Form HUD-2880, Applicant/Recipient Disclosure/Update Form, if

applicable;

--(5) Project Summary and Proposed Budgets;

--(6) Description of the homeless population to be served;

--(7) Facility Description;

--(8) Narrative addressing the rating criteria;

--(9) Matching funds certification as required under

Sec. 576.51(b)(2)(ii), Sec. 576.71, and section 415 of the McKinney

Act (42 U.S.C. 11375(a)). Each grantee must match the funding

provided by HUD with an equal amount of funds from sources other

than under this part.

These funds must be provided after the date of the grant award

to the grantee.

[FR Doc. 96-5081 Filed 3-4-96; 8:45 am]

BILLING CODE 4210-33-P