[Federal Register Volume 61, Number 44 (Tuesday, March 5, 1996)]
[Notices]
[Pages 8824-8830]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-5081]
[[Page 8823]]
_______________________________________________________________________
Part VI
Department of Housing and Urban Development
_______________________________________________________________________
NOFA for Emergency Shelter Grants Set-Aside for Indian Tribes and
Alaskan Native Villages; Notice
Federal Register / Vol. 61, No. 44 / Tuesday, March 5, 1996 /
Notices
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[[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.
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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
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Percent
------------------------------------------------------------------------
Eastern/Woodlands............................................. 16.70
Southern Plains............................................... 19.75
Northern Plains............................................... 18.92
Southwest..................................................... 26.70
Northwest..................................................... 8.60
Alaska........................................................ 9.33
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Total..................................................... 100.00
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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