[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  
=======================================================================
-----------------------------------------------------------------------

[[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