[Federal Register Volume 59, Number 39 (Monday, February 28, 1994)]
[Unknown Section]
[Page ]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-4413]
[Federal Register: February 28, 1994]
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Part III
Department of Housing and Urban Development
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Office of Assistant Secretary for Public and Indian Housing
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NOFA for Public and Indian Housing Family Investment Centers; Notice
DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
Office of Assistant Secretary for Public and Indian Housing
[Docket No. N-94-3714; FR-3397-N-01]
NOFA for Public and Indian Housing Family Investment Centers
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 a total of $74 million in funding,
including FYs 1993 and 1994 appropriations of $25,000,000 and
$25,674,991, respectively, for Family Investment Centers for families
living in public and Indian housing. This program provides grants to
public housing agencies and Indian housing authorities (collectively
HAs) to provide families living in public and Indian housing with
better access to education and job opportunities to achieve self-
sufficiency and independence. The grants will be of up to three to five
years in duration, depending upon the activities undertaken.
Regulations on this program will be published in a consolidated rule on
resident initiatives that the Department anticipates publishing in
early 1994.
In the body of this document is information concerning the purpose
of the NOFA, eligibility, available amounts, ranking factors, and
application processing, including how to apply and how selections will
be made.
DATES: Application kits will be available beginning March 24, 1994. The
application deadline will be 4:30 p.m., local time, on June 22, 1994.
ADDRESSES: An application kit may be obtained from the local HUD Field
Office with delegated responsibilities over an applicant public/Indian
housing agency (See Appendix for listing), or by calling the HUD
Resident Initiatives Clearinghouse toll free number 1-800-955-2232.
Telephone requests must include your name, mailing address, or post
office address (including zip code), telephone number (including area
code), and should refer to document FR-3397-N-01. This NOFA cannot be
used as the application.
FOR FURTHER INFORMATION CONTACT: Marcia Y. Martin, Office of Resident
Initiatives (ORI), or Dom Nessi, Director, Office of Native American
Programs (ONAP), Department of Housing and Urban Development, 451
Seventh Street SW., Washington, DC 20410; telephone numbers: ORI (202)
708-3611; and ONAP (202) 708-1015 (these are not toll-free numbers).
Hearing- or speech-impaired persons may use the Telecommunications
Devices for the Deaf (TDD) by contacting the Federal Information Relay
Service on 1-800-877-TDDY (1-800-877-8339) or 202-708-9300 (not a toll
free number) for information on the program.
SUPPLEMENTARY INFORMATION:
Paperwork Reduction Act Statement
The information collection requirements contained in this notice
have been submitted to the Office of Management and Budget (OMB) for
review under the Paperwork Reduction Act of 1980 (44 U.S.C. 3501-3520).
Information on the estimated public reporting burden was provided for
public comment in a separate notice published in the Federal Register
on February 17, 1994 (59 FR 8012). The Department expects that a
control number will be issued by OMB about March 22, 1994, after
completion of a 30-day comment period for the paperwork burden notice.
The OMB control number, when assigned, will be announced by separate
notice in the Federal Register.
No person may be subjected to a penalty for failure to comply with
the information collection requirements until they have been approved
and assigned an OMB control number. The public reporting burden for the
collection of information requirements contained in the February 17
notice is estimated to include the time for reviewing the instructions,
searching existing data sources, gathering and maintaining the data
needed, and completing and reviewing the collection of information. The
February 17 notice invites interested persons to submit comments on the
paperwork burden proposals to Joseph F. Lackey, Jr., OMB Desk Officer,
Office of Management and Budget, New Executive Office Building,
Washington, DC 20503.
I. Purpose and Substantive Description
A. Authority
Section 22 of the United States Housing Act of 1937 (42 U.S.C.
1437t) provides for the establishment of Family Investment Centers
(FIC). Implementing regulations for the program will be promulgated as
part of a consolidated rule on resident initiatives, which the
Department anticipates publishing next year. This NOFA is being issued
in conformity with the statutory requirements before the final rule is
in place in order to make funding available as soon as possible.
B. Allocation Amounts
In the Departments of Veterans Affairs and Housing and Urban
Development, and Independent Agencies Appropriations Act, 1993 (Pub. L.
102-389, approved October 6, 1992), Congress appropriated $25 million
for Family Investment Centers; an additional $25,674,991 is available
for the program through an appropriation in the Departments of Veterans
Affairs and Housing and Urban Development, and Independent Agencies
Appropriations Act, 1994 (Pub. L. 103-124, approved October 28, 1993).
These amounts are being combined with excess recaptured funds carried
over from FY 1993 to make a total of $75 million available for funding
Family Investment Center activities. An additional $10 million may
become available pending Secretarial and congressional actions.
Of the $75 million total current funds, $74 million is being made
available under this NOFA. The Department intends to use $1 million for
purposes of demonstrating ways for families living in public and Indian
housing in a neighborhood undergoing a concentrated effort of local
revitalization to gain access to education and employment activities to
achieve self-sufficiency and independence, by enabling HAs to develop
facilities for training and support services. These funds will be used
to mobilize public and private resources to expand and improve delivery
of services, to provide funding for essential training and support
services that cannot otherwise be funded, to improve the capacity of
management to assess the training and services needs of eligible
families, to coordinate the provision of training and services that
meet such needs and to ensure the long-term provision of such training
and services. HUD expects that this funding will demonstrate the
importance of comprehensive support services in contributing to the
local neighborhood revitalization. A separate Notice announcing these
funds and soliciting public comment is expected to be published soon in
the Federal Register.
To ensure that the program is implemented on a broad, nationwide
basis, each applicant may submit only one application under this NOFA
(published: February 28, 1994. A public housing agency/Indian housing
authority (collectively, HAs) may apply to establish one or more Family
Investment Centers for more than one public or Indian housing
development; however the maximum grant amount per applicant under this
NOFA is $1 million.
C. Overview and Policy
The stated purpose of section 22 is:
[T]o provide families living in public housing with better
access to educational and employment opportunities to achieve self-
sufficiency and independence by: (a) developing facilities in or
near public housing for training and support services; (b)
mobilizing public and private resources to expand and improve the
delivery of such services; (c) providing funding for such essential
training and support services that cannot otherwise be funded; and
(d) improving the capacity of management to assess the training and
service needs of families, coordinate the provision of training and
services that meet such needs, and ensure the long-term provision of
such training and services.
Although Section 22 is phrased in terms of families living in
public housing, the program is also available to Indian Housing
Authorities (IHAs), because of section 527 of the National Affordable
Housing Act (104 Stat. 4216; 42 U.S.C. 1437aa note) (NAHA). Section 527
extends the applicability of many NAHA provisions affecting Title I of
the 1937 Act (including section 515, which added Section 22) to housing
operated by an IHA.
FIC provides funding to HAs to access educational, housing, or
other social service programs to assist public and Indian housing
residents toward self-sufficiency. On May 13, 1993, 33 representatives
from public/Indian housing authorities, resident organizations, and
nonprofit housing agencies were convened to discuss and make
suggestions during the design stage of the Family Investment Centers
program. The Department envisions that FIC will complement other self-
sufficiency activities, such as the Family Self-Sufficiency (FSS)
Program (see 58 FR 30858 (May 27, 1993) for the interim rule that
currently governs the FSS programs) and the requirements of Section 3
of the Housing and Urban Development Act of 1968 (12 U.S.C. 1701u). As
an incentive to become self-sufficient, the earnings of public or
Indian Housing families participating in the FIC shall not be treated
as income for the purposes of any other program or provision of State
or Federal law, including rent assistance (see Section I.F(5) of this
NOFA). The FIC is administered by the Department's Office of Resident
Initiatives in the Office of Public and Indian Housing, with assistance
from a network of Resident Initiatives Coordinators (RICs) in HUD's
Regional and Field Offices.
D. Definitions
Eligible Residents means participating residents of a participating
HA. If the HA is combining FIC with the Family Self-Sufficiency (FSS)
program, the term also means Public Housing FSS and Section 8 families
participating in the FSS program.
Secretary means the Secretary of Housing and Urban Development.
Service Coordinator means, for purposes of this NOFA, any person
who is responsible for:
(1) Determining the eligibility of families to be served by the
FIC;
(2) Assessing training and service needs of eligible residents;
(3) Working with service providers to coordinate the provision of
services on a HA-wide or less than HA-wide basis, and to tailor the
services to the needs and characteristics of eligible residents;
(4) Mobilizing public and private resources to ensure that the
supportive services identified can be funded over the five-year period,
at least, following the initial receipt of funding under this NOFA;
(5) Monitoring and evaluating the delivery, impact, and
effectiveness of any supportive service funded with capital or
operating assistance under this program;
(6) Coordinating the development and implementation of the FIC
program with other self-sufficiency programs and other education and
employment programs; or
(7) Performing other duties and functions that are appropriate for
providing eligible residents with better access to educational and
employment opportunities.
Supportive Services means new or significantly expanded services
essential to providing families in public and Indian housing with
better access to educational and employment opportunities to achieve
self-sufficiency and independence. (HAs applying for funds to provide
supportive services must demonstrate that the services will be provided
at a higher level than currently provided). Supportive services may
include:
(1) Child care, of a type that provides sufficient hours of
operation and serves appropriate ages as needed to facilitate parental
access to education and job opportunities;
(2) Employment training and counseling (e.g., job training,
preparation and counseling, job development and placement, and follow-
up assistance after job placement);
(3) Computer skills training;
(4) Education (e.g., remedial education, literacy training,
completion of secondary or post-secondary education, and assistance in
the attainment of certificates of high school equivalency;
(5) Transportation, as necessary to enable any participating family
member to receive available services or to commute to his or her place
of employment;
(6) Personal welfare (e.g., substance/alcohol abuse treatment and
counseling, self-development counseling, etc.);
(7) Supportive Health Care Services (e.g., outreach and referral
services); and
(8) Any other services and resources, including case management,
that are determined to be appropriate in assisting eligible residents.
Vacant Unit means a dwelling unit that is not under an effective
lease to an eligible family. An effective lease is a lease under which
an eligible family has a right to possession of the unit and is being
charged rent, even if the amount of any utility allowance equals or
exceeds the amount of a total tenant payment that is based on income
and, as a result, the amount paid by the family to the HA is zero.
E. Eligibility
(1) Eligible Applicants. Funding for this program is limited to
public and Indian housing authorities. The factors for award reflect
that more than half of the points possible are for the provision of
supportive services, whether provided by the HA or through partnerships
with other social service agencies. Facilities assisted shall be on or
near the premises of public or Indian housing. Two or more HAs may
apply jointly if they demonstrate that it is feasible to run the
program together; however, the maximum grant per application under this
NOFA is $1,000,000.
Although the program is intended to benefit public and Indian
housing residents, an applicant that is otherwise eligible and is
combining FIC activities with FSS activities may use FIC funds to serve
both HA residents and section 8 families who are participating in the
FSS Program. For all other families using FIC services, costs incurred
are to be borne by other resources.
To be eligible under this NOFA, a HA cannot have serious
unaddressed, outstanding Inspector General audit findings or fair
housing and equal opportunity monitoring review findings or Field
Office management review findings. In addition, the HA must be in
compliance with civil rights laws and equal opportunity requirements. A
HA will be considered to be in compliance if:
(a) As a result of formal administrative proceedings, there are no
outstanding findings of noncompliance with civil rights laws unless the
HA is operating in compliance with HUD-approved compliance agreement
designed to correct the area(s) of noncompliance;
(b) There is no adjudication of a civil rights violation in a civil
action brought against it by a private individual, unless the HA
demonstrates that it is operating in compliance with a court order, or
implementing a HUD-approved resident selection and assignment plan or
compliance agreement, designed to correct the area(s) of noncompliance;
(c) There is no deferral of Federal funding based upon civil rights
violations;
(d) HUD has not deferred application processing by HUD under Title
VI of the Civil Rights Act of 1964, the Attorney General's Guidelines
(28 CFR 50.3) and HUD's Title VI regulations (24 CFR 1.8) and
procedures (HUD Handbook 8040.1) [PHAs only] or under section 504 of
the Rehabilitation Act of 1973 and HUD regulations (24 CFR 8.57) [PHAs
and IHAs];
(e) There is no pending civil rights suit brought against the HA by
the Department of Justice; and
(f) There is no unresolved charge of discrimination against the HA
issued by the Secretary under section 810(g) of the Fair Housing Act,
as implemented by 24 CFR 103.400.
(2) Eligible Activities. Program funds may be used for the
following activities:
(a) The renovation, conversion, or combination of vacant dwelling
units in a HA development to create common areas to accommodate the
provision of supportive services;
(b) The renovation of existing common areas in a HA development to
accommodate the provision of supportive services;
(c) The renovation of facilities located near the premises of one
or more HA developments to accommodate the provision of supportive
services;
(d) The provision of not more than 15 percent of the total cost of
supportive services (which may be provided directly to eligible
residents by the HA or by contract or lease through other appropriate
agencies or providers), but only if the HA demonstrates that:
(i) The supportive services are appropriate to improve the access
of eligible residents to employment and educational opportunities; and
(ii) The HA has made diligent efforts to use or obtain other
available resources to fund or provide such services; and
(e) The employment of service coordinators.
(3) Other Eligibility Related Requirements. (a) Grants used solely
for the activities listed in paragraphs (a), (b), or (c) of Section
I.E(2), ``Eligible Activities,'' of this NOFA, shall be completed
within three years of the effective date of the grant. Each applicant
should submit a description of the renovation or conversion to be
conducted, along with a budget and timetable for those activities.
Other eligible activities may be funded over a maximum five-year
period.
(b) Each applicant must submit a budget, timetable, and list of
milestones for the five-year period (following initial receipt of
funding), at least, covered by the applicant's description of
supportive services. Milestones shall include the number of families to
be served, types of services, and dollar amounts to be allocated over
the five-year period.
(c) Each applicant must demonstrate a firm commitment of assistance
from one or more sources ensuring that supportive services will be
provided for not less than one year following the completion of
activities funded under this NOFA.
(d) When a grant application is approved, the HA must receive
approval from HUD to conduct renovation or conversions. Approval must
be provided prior to drawing down funds.
(e) If a renovation is done off-site, the HA must provide
documentation that it has control of the proposed property. Control can
be evidenced through a lease agreement, ownership documentation, or
other appropriate documentation (see Sections III.B(3) and III.C(15) of
this NOFA).
F. Other Program Requirements
(1) Resident Involvement. The Department has a longstanding policy
of encouraging HAs to promote resident involvement, and to facilitate
cooperative partnerships to achieve specific and mutual goals.
Therefore, residents must be included in the planning and
implementation of this program. The HA shall develop a process that
assures that RC/RMC/RO representatives and residents are fully briefed
and have an opportunity to comment on the proposed content of the HA's
application in response to this NOFA. The HA shall give full
consideration to the comments and concerns of the residents. The
process shall include:
(a) Informing residents of the selected developments regarding the
preparation of the application, and providing for residents to assist
in the development of the application, as appropriate.
(b) Once a draft application has been prepared, the HA shall make a
copy available for reading in the management office; provide copies of
the draft to any resident organization representing the residents of
the development(s) involved; and provide adequate opportunity for
comment by the residents of the development and their representative
organizations prior to making the application final.
(c) Provide to any resident organization representing the
development a summary of the resident comments and its response to
them, and notify residents of the development(s) that this summary and
response are available for reading in the management office.
(d) After HUD approval of a grant, notify residents of the
development, and any representative organizations of approval, of the
grant; notify the residents of the availability of the HUD approved
implementation schedule in the management office for reading; and
develop a system to facilitate a regular resident role in all aspects
of program implementation.
(2) Training/Employment/Contracting of HA Residents. (a) Section 3
of the Housing and Urban Development Act of 1968 (12 U.S.C. 1701u)
(Section 3) requires that programs of direct financial assistance
administered by HUD provide, to the greatest extent feasible,
opportunities for job training and employment to lower income residents
in connection with projects in their neighborhoods. For purposes of
training and employment, the HA may offer opportunities to Section 3
residents in the following priority: (i) Residents of the housing
development for which the assistance is being provided; (ii) residents
who reside within a project area as defined in 24 CFR 135.15 and who
reside in developments managed by the HA that is expending the
assistance; and (iii) other residents of the Section 3 area. Therefore,
at a minimum each HA and each of its contractors and subcontractors
receiving funds under this program shall make best efforts to employ HA
residents to provide services and renovation or conversion work.
(b) For purposes of the requirements under Section 3, a best effort
means that the HA shall:
(1) Attempt to recruit HA residents from the appropriate areas
through local advertising media, signs placed at the proposed FIC
project site, and community organizations and public or private
institutions operating within the development area. The HA shall
include in its outreach and marketing efforts, procedures to attract
the least likely to apply for this program because it includes
construction/renovation type of activities, i.e., low-income households
headed by women and persons with disabilities; and
(2) Determine the qualifications of HA residents when they apply,
either on their own or on referral from any source, and employ HA
residents if their qualifications are satisfactory and the contractor
has openings. If the HA is unable to employ residents determined to be
qualified, those residents shall be listed for the first available
openings.
(3) Davis-Bacon Requirements. All laborers and mechanics employed
by contractors or the HA in renovation or conversion (including
combining of units) on the premises of the HA development to
accommodate the provision of supportive services under this program
shall be paid not less than the wages prevailing in the locality, as
predetermined by the Secretary of Labor pursuant to the Davis-Bacon Act
(40 U.S.C. 276a--276a-5). All architects, technical engineers,
draftsmen, and technicians employed with respect to such work shall be
paid not less than the wages prevailing in the locality as determined
by HUD. These requirements do not apply to volunteers under the
conditions set out in 24 CFR part 70.
(4) Resident Compensation. Residents employed to provide services
funded under this program or described in the application shall be paid
at a rate not less than the highest of:
(a) The minimum wage that would be applicable to the employees
under the Fair Labor Standards Act of 1938 (FLSA), if section 6(a)(1)
of the FLSA applied to the resident and if the resident were not exempt
under section 13 of the FLSA;
(b) The State or local minimum wage for the most nearly comparable
covered employment; or
(c) The prevailing rate of pay for persons employed in similar
public occupations by the same employer.
(5) Treatment of Income. (a) 1937 Act. As provided in section 22(i)
of the United States Housing Act of 1937 (1937 Act), no service
provided to a HA resident under this program may be treated as income
for the purpose of any other program or provision of State, Tribal, or
Federal law. Program participation shall begin on the first day the
resident enters training or begins to receive services. Furthermore,
the earnings of and benefits to any HA resident resulting from
participation in the FIC program shall not be considered as income in
computing the tenant's total annual income that is used to determine
the tenant rental payment during:
(i) The period that the resident participates in the program; and
(ii) The period that begins with the commencement of employment of
the resident in the first job acquired by the resident after completion
of the program that is not funded by assistance under the 1937 Act, and
ends on the earlier of:
(A) The date the resident ceases to continue employment without
good cause; or
(B) The expiration of the 18-month period beginning on the date of
commencement of employment in the first job not funded by assistance
under this program.
(b) NAHA. In addition, as provided in section 957 of NAHA, the rent
charged to a family whose monthly adjusted income increases as a result
of the employment of a member of the family who was previously
unemployed may not be increased as a result of the increased monthly
adjusted income due to such employment by more than 10 percent in each
12-month period during the 36-month period beginning upon such
employment.
(6) Reports. Each HA receiving a grant shall submit to HUD an
annual progress report, participant evaluation and assessment data and
other information, as needed, regarding the effectiveness of FIC in
achieving self-sufficiency.
G. Ranking Factors
Each application for grant award will be evaluated if it is
submitted as required under Section II.B of this NOFA and meets the
eligibility requirements in Section I.E of this NOFA. Applications
submitted for funds that include renovation, conversion, or combination
of dwelling unit activities will be competitively selected based on the
highest scores out of a possible 135 points. Applications submitted for
funds solely to implement supportive services will be competitively
selected based on the highest scores out of a possible 140 points.
Initially, HUD will distribute funds geographically in order to
seek diversity through an appropriate mix of public and Indian housing
authorities. Grants will be awarded to the two highest ranked eligible
applicants in each funding category per HUD region. In addition, grants
will be awarded to the two highest ranked eligible IHA applications in
each funding category on a nationwide basis. All of the remaining
applications will then be placed in overall nationwide ranking order,
with the remaining funds granted in order of rank until all funds are
awarded.
HUD will review and evaluate the application as follows, according
to whether the application seeks funds for supportive services only or
for other activities.
(1) Conversion/Renovation/Supportive Services Activities (Maximum
135 points).
Applications for funds for these activities will be scored on the
following factors:
(a) Evidence of the need for supportive services by eligible
residents [10 points];
(b) The extent to which the envisioned renovation, conversion and
combination activities are appropriate to facilitate the provision of
FIC services [15 points];
(c) The extent to which each service provider has evidenced that
supportive services and other resources will be provided until at least
the later of: (i) five years following the initial receipt of funding
under this NOFA; or (ii) one year following the completion of
activities funded under this NOFA [25 points];
(d) The extent to which the HA has demonstrated that it has
partnered with residents in the planning phase for the FIC, and will
further include the residents in the implementation phase [15 points];
(e) The extent to which the HA has demonstrated that it will
contract with or employ residents to provide services and conduct
conversion and renovation activities [15 points];
(f) Certification that the HA is implementing a FSS program. IHAs,
without FSS programs, that have established counseling programs such as
those found in Mutual Help (MH) may provide similar certification [5
points];
(g) The ability of the HA or designated service provider to provide
the supportive services [5 points];
(h) The extent to which the HA has coordinated implementation of
the program, including those in target areas such as Weed and Seed,
Distressed, etc., with tribal, State, or local social service agencies
[10 points]. In assigning points for this factor, HUD shall consider
the extent of the involvement of those agencies in the development of
the application and their commitment of assistance in the
implementation of the FIC. The commitment of these agencies may be
demonstrated through evidence of intent to provide direct financial
assistance or other resources, such as social services (i.e.,
counseling and training); the use of public/Indian housing funds
available through existing State and local programs; or other
commitments.
(i) The extent to which the HA has demonstrated success in
modernization activities under the Comprehensive Grant/Comprehensive
Improvement Assistance (CIAP) Programs (see 24 CFR part 968), the
extent to which the HA has a good record of maintaining and operating
public housing as determined by the Public Housing Management
Assessment Plan (PHMAP) (see 24 CFR part 901) [10 points], and has
utilized innovative and workable strategies to improve management
(e.g., LEAP, which uses highly skilled retired military personnel in
key management positions); and
(j) The extent to which the HA has demonstrated that it will commit
to its FIC part of its formula allocation of Comprehensive Grant
Program (CGP) funds for CGP-eligible activities that result in
employment, training, and contracting opportunities for eligible
residents [25 points].
(2) Supportive Services Only (Maximum 140 points). Applications for
funds for these activities will be scored on the following factors:
(a) Evidence of the need for supportive services by eligible
residents. [10 points];
(b) Certification that the HA has control of a site to facilitate
the provision of supportive services appropriate for the FIC program
[10 points];
(c) The extent to which each service provider has evidenced that
supportive services and other resources will be provided until at least
the later of: (i) five years following the initial receipt of funding
under this NOFA; or (ii) one year following the completion of
activities funded under this NOFA [25 points];
(d) The extent to which the HA has demonstrated that it has
included residents in the planning phase for the FIC, and will further
include the residents in the implementation phase [10 points];
(e) The extent to which the HA has demonstrated that it will
contract with or employ residents to provide services [15 points];
(f) Certification that the HA is implementing a FSS program. IHAs,
without FSS programs, that have established counseling programs such as
those found in Mutual Help (MH) may provide similar certification [5
points];
(g) Past experience in obtaining and providing similar services for
HA families [15 points];
(h) The ability of the HA or a designated service provider to
provide the supportive services [5 points];
(i) The extent to which the HA has a good record of maintaining and
operating public housing, as determined by its Public Housing
Management Assessment Plan (PHMAP), and has utilized innovative and
workable strategies to improve management (e.g., LEAP, which uses
highly skilled retired military personnel in key management positions)
[10 points];
(j) The extent to which the HA has coordinated implementation of
the program, including those in target areas such as Weed and Seed,
Distressed, etc., with tribal, State and/or local social service
agencies [10 points]. In assigning points for this factor, HUD shall
consider the involvement of those agencies in the development of the
application and their commitment of assistance in the implementation of
the FIC. The commitment of these agencies may be demonstrated through
evidence of intent to provide direct financial assistance or other
resources, such as social services (e.g., counseling and training); the
use of public/Indian housing funds available through existing State and
local programs; or other commitments; and
(k) Extent to which the HA has demonstrated that it will commit to
its FIC part of its formula allocation of Comprehensive Grant Program
(CGP) funds for CGP-eligible activities that result in employment,
training, and contracting opportunities for its residents [25 points].
H. Environmental Review
Any environmental impact regarding eligible activities will be
addressed through an environmental review of that activity as required
by 24 CFR part 50, including the applicable related laws and
authorities under section 50.4, to be completed by HUD, to ensure that
any environmental impact will be addressed before assistance is
provided to the HA. Grantees will be expected to adhere to all
assurances applicable to environmental concerns as contained in this
NOFA and grant agreements.
II. Application Submissions Process
A. Application Kit
An application kit is required as the formal submission to apply
for funding. The kit includes information and guidance on preparation
of a Plan and Budget for activities proposed by the applicant. This
process facilitates the execution of the grant for those selected to
receive funding. An application may be obtained from the local HUD
Field/Indian Offices with delegated responsibilities over an applying
HA (See Appendix A for listing), or by calling HUD's Resident
Initiatives Clearinghouse toll free number 1-800-955-2232. Requests for
application kits must include your name, mailing address or P.O. Box
(including zip code), and telephone number (including area code), and
should refer to document FR-3397-N-01. Applications may be requested
beginning March 24, 1994.
B. Application Submission
The original and two copies of the application must be submitted.
The Appendix lists addresses of HUD Field/Indian Offices that will
accept the completed application.
The application must be physically received by 4:30 p.m., local
time, on June 22, 1994. This application deadline is firm to date and
hour. In the interest of fairness to all competing applicants, the
Department will treat as ineligible for consideration any application
that is received after the deadline. Applicants should take this
practice into account and make early submission of their applications
to avoid any risk of loss of eligibility brought on by unanticipated
delays or other delivery-related problems. Facsimile and telegraphic
applications are not authorized and shall not be considered.
III. Checklist of Application Submission Requirements
The Application Kit will contain a checklist of all application
submission requirements to complete the application process.
A. Applications for Supportive Services Only must contain the
following information:
(1) Name and address (or P.O. Box) of the HA. Name and telephone
number of contact person (in the event further information or
clarification is needed during the application review process);
(2) SF-424A, Budget Information, Non-Construction Programs, and SF-
424B, Assurances, Non-Construction Programs;
(3) A description of the need for supportive services by eligible
residents;
(4) A description of the supportive services that are to be
provided over at least a 5-year period after the initial receipt of
funding under this NOFA, and how the supportive services will enhance
education and job opportunities for residents;
(5) Evidence of a firm commitment of assistance from one or more
sources ensuring that the supportive services will be provided for not
less than one year following the completion of activities funded under
this NOFA. Evidence shall be in the form of a letter or resolution. A
cost allocation plan shall be submitted outlining the one-year
commitment;
(6) A description of public or private sources of assistance that
can reasonably be expected to fund or provide supportive services,
including evidence of any intention to provide assistance expressed by
State and local governments, private foundations, and other
organizations (including profit and nonprofit organizations);
(7) A description of the plan for continuing operation of the FIC,
and the provision of services to families after completion of the later
of: (i) Five years following the initial receipt of funding under this
NOFA; or (ii) one year following the completion of activities funded
under this NOFA;
(8) A certification from an appropriate service agency (in the case
of FSS, the certification may be from the Coordinating Committee) that:
(a) The provision of supportive services is well designed to
provide families better access to educational and employment
opportunities; and
(b) There is a reasonable likelihood that such services will be
funded or provided for the entire five-year period, at least, after the
initial receipt of funding under this NOFA.
(9) A description of assistance for which the HA is applying;
(10) A narrative on the location of the FIC facility. Provide the
precise location of the facility to be used for FIC, and indicate its
accessibility to residents, including distance from the development(s),
and transportation necessary to receive services;
(11) Evidence that the HA has control of the FIC site. If the
facility is off-site, the HA shall include copies of the negotiated
lease and the terms, an option to lease, indicating that the facility
is available to the HA for use as a FIC for the period ending the later
of: (i) Five years following the initial receipt of funding under this
NOFA, or (ii) one year following the completion of activities funded
under this NOFA; lease and the terms, an option description of the
(12) A certification that the HA is implementing a FSS program, if
applicable. IHAs, without FSS programs, that have established
counseling programs such as those found in Mutual Help (MH) should
provide similar certification, if applicable;
(13) A certification that funds used to pay for a Service
Coordinator are not duplicate expenses from any other program,
including FSS;
(14) A description of the resident involvement in the planning and
implementation phases of this program;
(15) A description of the services that HA residents will be
employed to provide;
(16) Letters of commitment. The letters should identify all
commitments for additional resources to be made available to the
program from the applicant and other State, local, or private entities.
The description shall include, but is not limited to, the commitment
source, source committed, availability and use of funds, and other
conditions associated with the loan, grant, gift, donation,
contribution, etc. Commitments from State or local agencies may
include, but are not limited to, vocational, adult, and bilingual
education; Job Partnership Training Act (JTPA) and Family Support Act
of 1988 job training programs; child care; and social services
assistance, counseling or drug addiction services. Commitments may
include in-kind contributions, on-site journeymen or equivalent
instructors, transportation, or other resources for use by participants
of the FIC;
(17) Certification that efforts were made to use or obtain other
resources to fund or provide the services proposed;
(18) Certification of the extent to which the HA will commit to its
FIC part of its formula allocation of Comprehensive Grant Program funds
for CGP eligible activities that result in employment, training, and
contracting opportunities for eligible residents;
(19) A project budget, timetable and narrative;
(20) Certification that FIC funding will not duplicate any other
HUD funding, including CGP funding.
(21) Equal Opportunity Requirements. The HA must certify that it
will carry out activities assisted under the program in compliance
with:
(a) The requirements of the Fair Housing Act (42 U.S.C. 3601-3619)
and implementing regulations at 24 CFR parts 100, 107, 109, 110, and
121; and Executive Order 11063 (Equal Opportunity Housing implementing
regulations at 24 CFR Part 107; and Title VI of the Civil Rights Act of
1964 (42 U.S.C. 2000d) (Nondiscrimination in Federally Assisted
Programs) and implementing regulations issued at 24 CFR part 1;
(Note: Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d-
2000d-4), which prohibits discrimination on the basis of race, color
or national origin in federally assisted programs, and the Fair
Housing Act (42 U.S.C. 3601-3620), which prohibits discrimination
based on race, color, religion, sex or national origin in the sale
or rental of housing, do not apply to Indian housing authorities
(IHAs) established by exercise of a Tribe's powers of self-
government. Title VI and the Fair Housing Act (24 CFR parts 1 and
100) shall not be applicable to the development or operation of
projects by such IHAs.)
(b) The prohibitions against discrimination on the basis of age
under the Age Discrimination Act of 1975 (42 U.S.C. 6101-07) and
implementing regulations at 24 CFR part 146; the prohibition against
discrimination against individuals with a disability under section 504
of the Rehabilitation Act of 1973 (29 U.S.C. 794) and implementing
regulations at 24 CFR part 8; and the requirements of Executive Order
11246 and the implementing regulations issued at 41 CFR chapter 60;
(c) The requirements of section 3 of the Housing and Urban
Development Act of 1968, 12 U.S.C. 1701u and implementing regulations
at 24 CFR part 135; and
(d) The requirements of Executive Orders 11625, 12432, and 12138.
Consistent with HUD's responsibilities under these Orders, the grantee
must make efforts to encourage the use of minority and women's business
enterprises in connection with activities funded under this notice.
(22) Form HUD-2880, Applicant/Recipient Disclosure Update Report
must be completed in accordance with 24 CFR part 12, Accountability in
the Provision of HUD Assistance. A copy is provided in the application
kit.
(23) Drug-Free Workplace Certification. The Drug-Free Workplace Act
of 1988 (42 U.S.C. 701) requires grantees of federal agencies to
certify that they will provide drug-free workplaces. Each potential
recipient under this NOFA must certify that it will comply with drug-
free workplace requirements in accordance with the Act and with HUD's
rules at 24 CFR part 24, subpart F.
(24) Certification regarding Lobbying. Section 319 of the
Department of the Interior Appropriations Act, Public Law 101-121,
approved October 23, 1989 (31 U.S.C. 1352) (the ``Byrd Amendment'')
generally prohibits recipients of Federal contracts, grants, and 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 Department's regulations on these
restrictions on lobbying are codified at 24 CFR part 87. To comply with
24 CFR 87.110, any HA submitting an application under this announcement
for more than $100,000 of budget authority must submit a certification
and, if applicable, a Disclosure of Lobbying Activities (SF-LLL form).
(25) A certification that:
(a) The HA will include in any contract for renovation or
conversion (including combining of units) on the premises of the HA
development to accommodate the provision of supportive services under
this program, a requirement that all laborers and mechanics (other than
volunteers under the conditions set out in 24 CFR part 70) shall be
paid not less than the wages prevailing in the locality, as
predetermined by the Secretary of Labor pursuant to the Davis-Bacon Act
(40 U.S.C. 276a--276a-5);
(b) The HA will include in such contracts a requirement that all
architects, technical engineers, draftsmen, and technicians (other than
volunteers) shall be paid not less than the wages prevailing in the
locality as determined by HUD; and
(c) The HA will pay such wage rates to its own employees engaged in
this work.
B. Applications for Renovation/Conversion Activities Only must
contain the following information:
(1) Name and address (or P.O. Box) of the HA. Name and telephone
number of contact person (in the event further information or
clarification is needed during the application review process);
(2) A narrative on the location of the off-site facility. if
applicable. Provide the precise location of the FIC facility (street
address) and indicate its accessibility to residents, including
distance from the development(s), and transportation necessary to
receive services;
(3) Evidence that the HA has control of the proposed off-site
premises. This shall include copies of the negotiated lease and the
terms, an option to lease, indicating that the facility will be
available to the HA for use as a FIC for the period ending the later
of: (i) Five years following the initial receipt of funding under this
NOFA; or (ii) one year following the completion of activities funded
under this NOFA;
(4) A description of services that the HA expects to be provided,
to the greatest extent practicable, by HA residents, as described in
Section I.F(2) of this NOFA. The Description shall include the position
titles and numbers of residents expected to be employed for renovation/
conversion activities;
(5) Certification of the extent to which the HA will commit to its
FIC part of its formula allocation of Comprehensive Grant Program (CGP)
funds for CGP eligible activities that result in employment, training,
and contracting opportunities for eligible residents;
(6) A project budget, timetable and narrative;
(7) Certification that FIC funding will not duplicate any other HUD
funding, including CGP funding.
(8) Equal Opportunity Requirements. The HA must certify that it
will carry out activities assisted under the program in compliance
with:
(a) The requirements of the Fair Housing Act (42 U.S.C. 3601-3619)
and implementing regulations at 24 CFR parts 100, 107, 109, 110, and
121; and Executive Order 11063 (Equal Opportunity Housing implementing
regulations at 24 CFR Part 107; and Title VI of the Civil Rights Act of
1964 (42 U.S.C. 2000d) (Nondiscrimination in Federally Assisted
Programs) and implementing regulations issued at 24 CFR part 1;
(Note: Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d-
2000d-4), which prohibits discrimination on the basis of race, color
or national origin in federally assisted programs, and the Fair
Housing Act (42 U.S.C. 3601-3620), which prohibits discrimination
based on race, color, religion, sex or national origin in the sale
or rental of housing, do not apply to Indian housing authorities
(IHAs) established by exercise of a Tribe's powers of self-
government. Title VI and the Fair Housing Act (24 CFR parts 1 and
100) shall not be applicable to the development or operation of
projects by such IHAs.)
(b) The prohibitions against discrimination on the basis of age
under the Age Discrimination Act of 1975 (42 U.S.C. 6101-07) and
implementing regulations at 24 CFR part 146; the prohibition against
discrimination against individuals with a disability under section 504
of the Rehabilitation Act of 1973 (29 U.S.C. 794) and implementing
regulations at 24 CFR part 8 and Title II or the Americans with
Disabilities Act of 1009 (42 U.S.C. 12131) and implementing regulation
at 28 CFR part 35; and the requirements of Executive Order 11246 and
the implementing regulations issued at 41 CFR chapter 60;
(c) The requirements of section 3 of the Housing and Urban
Development Act of 1968, 12 U.S.C. 1701u and implementing regulations
at 24 CFR part 135; and
(d) The requirements of Executive Orders 11625, 12432, and 12138.
Consistent with HUD's responsibilities under these Orders, the grantee
must make efforts to encourage the use of minority and women's business
enterprises in connection with activities funded under this notice.
(8) Evidence of a firm commitment of assistance from one or more
sources ensuring that the supportive services will be provided for not
less than one year following the completion of activities funded under
this NOFA. Evidence shall be in the form of a letter or resolution. A
cost allocation plan shall be submitted outlining the one-year
commitment;
(9) Form HUD-2880, Applicant/Recipient Disclosure Update Report
must be completed in accordance with 24 CFR part 12, Accountability in
the Provision of HUD Assistance. A copy is provided in the application
kit.
(10) Drug-Free Workplace Certification. The Drug-Free Workplace Act
of 1988 (42 U.S.C. 701) requires grantees of federal agencies to
certify that they will provide drug-free workplaces. Each potential
recipient under this NOFA must certify that it will comply with drug-
free workplace requirements in accordance with the Act and with HUD's
rules at 24 CFR part 24, subpart F.
(11) Certification regarding Lobbying. Section 319 of the
Department of the Interior Appropriations Act, Public Law 101-121,
approved October 23, 1989 (31 U.S.C. 1352) (the ``Byrd Amendment'')
generally prohibits recipients of Federal contracts, grants, and 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 Department's regulations on these
restrictions on lobbying are codified at 24 CFR part 87. To comply with
24 CFR 87.110, any HA submitting an application under this announcement
for more than $100,000 of budget authority must submit a certification
and, if applicable, a Disclosure of Lobbying Activities (SF-LLL form).
(12) A certification that:
(a) The HA will include in any contract for renovation or
conversion (including combining of units) on the premises of the HA
development to accommodate the provision of supportive services under
this program, a requirement that all laborers and mechanics (other than
volunteers under the conditions set out in 24 CFR part 70) shall be
paid not less than the wages prevailing in the locality, as
predetermined by the Secretary of Labor pursuant to the Davis-Bacon Act
(40 U.S.C. 276a--276a-5);
(b) The HA will include in such contracts a requirement that all
architects, technical engineers, draftsmen, and technicians (other than
volunteers) shall be paid not less than the wages prevailing in the
locality as determined by HUD; and
(c) The HA will pay such wage rates to its own employees engaged in
this work.
C. Applications for Both Supportive Services and Renovation/
Conversion Activities must contain the following information:
(1) Name and address (or P.O. Box) of the HA. Name and telephone
number of contact person (in the event further information or
clarification is needed during the application review process);
(2) SF-424A, Budget Information, Non-Construction Programs, and SF-
424B, Assurances, Non-Construction Programs;
(3) A description of assistance for which the HA is applying;
(4) A description of the need for supportive services by eligible
residents;
(5) Evidence of a firm commitment of assistance from one or more
sources ensuring that the supportive services will be provided for not
less than one year following the completion of activities funded under
this NOFA. Evidence shall be in the form of a letter or resolution. A
cost allocation plan shall be submitted outlining the one-year
commitment;
(6) A description of the plan for continuing operation of the FIC
and the provision of supportive services to families after the later
of: (i) five years following the initial receipt of funding under this
NOFA; or (ii) one year following the completion of activities funded
under this NOFA;
(7) A description of services that the HA expects to be provided,
to the greatest extent practicable by HA residents as provided under
Section I.F(2) of this NOFA;
(8) A description of the positions and numbers of residents
expected to be employed for renovation, conversion, and other eligible
activities;
(9) A certification that the HA is implementing a FSS program, if
applicable. IHAs, without FSS programs, that have established
counseling programs such as those found in Mutual Help (MH) should
provide similar certification, if applicable;
(10) A description of the resident involvement in the planning and
implementation phases of this program.
(11) Certification of the extent to which the HA will commit to its
FIC part of its formula allocation of Comprehensive Grant Program (CGP)
funds for CGP eligible activities that result in employment, training,
and contracting opportunities for eligible residents;
(12) A project budget, timetable, and narrative;
(13) Letters of commitment. Identify all commitments for additional
resources to be made available to the program from the applicant and
other State, local, or private entities. The description shall include,
but is not limited to, the commitment source, source committed,
availability and use of funds, and other conditions associated with the
loan, grant, gift, donation, contribution, etc. Commitments from State
or local agencies may include, but are not limited to, vocational,
adult, and bilingual education; JTPA and Family Support Act of 1988 job
training programs; child care; and social services assistance,
counseling or drug addiction services. Commitments may include in-kind
contributions, on-site journeymen or equivalent instructors,
transportation, or other resources for use by participants of the FIC.
(14) A narrative on the location of the off-site facility. if
applicable. Provide the precise location of the FIC facility (street
address) and its accessibility to residents including distance from the
development(s), and transportation necessary to receive services;
(15) Evidence that the HA has control of the proposed off-site
premises. This shall include copies of the negotiated lease and the
terms, an option to lease, indicating that the facility will be
available to the HA for use as a FIC for the period ending the later
of: (i) Five years following the initial receipt of funding under this
NOFA; or (ii) one year following the completion of activities funded
under this NOFA;
(16) Certification that FIC funding will not duplicate any other
HUD funding, including CGP funding.
(17) Equal Opportunity Requirements. The HA must certify that it
will carry out activities assisted under the program in compliance
with:
(a) The requirements of the Fair Housing Act (42 U.S.C. 3601-3619)
and implementing regulations at 24 CFR parts 100, 107, 109, 110, and
121; and Executive Order 11063 (Equal Opportunity Housing implementing
regulations at 24 CFR Part 107; and Title VI of the Civil Rights Act of
1964 (42 U.S.C. 2000d) (Nondiscrimination in Federally Assisted
Programs) and implementing regulations issued at 24 CFR part 1;
(Note: Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d-
2000d-4), which prohibits discrimination on the basis of race, color
or national origin in federally assisted programs, and the Fair
Housing Act (42 U.S.C. 3601-3620), which prohibits discrimination
based on race, color, religion, sex or national origin in the sale
or rental of housing, do not apply to Indian housing authorities
(IHAs) established by exercise of a Tribe's powers of self-
government. Title VI and the Fair Housing Act (24 CFR parts 1 and
100) shall not be applicable to the development or operation of
projects by such IHAs.)
(b) The prohibitions against discrimination on the basis of age
under the Age Discrimination Act of 1975 (42 U.S.C. 6101-07) and
implementing regulations at 24 CFR part 146; the prohibition against
discrimination against individuals with a disability under section 504
of the Rehabilitation Act of 1973 (29 U.S.C. 794) and implementing
regulations at 24 CFR part 8 and Title II of the Americans with
Disabilities Act of 1009 (42 U.S.C. 12131) and implementing regulation
at 28 CFR Part 35; and the requirements of Executive Order 11246 and
the implementing regulations issued at 41 CFR chapter 60;
(c) The requirements of section 3 of the Housing and Urban
Development Act of 1968, 12 U.S.C. 1701u and implementing regulations
at 24 CFR part 135; and
(d) The requirements of Executive Orders 11625, 12432, and 12138.
Consistent with HUD's responsibilities under these Orders, the grantee
must make efforts to encourage the use of minority and women's business
enterprises in connection with activities funded under this notice.
(17) Form HUD-2880, Applicant/Recipient Disclosure Update Report
must be completed in accordance with 24 CFR part 12, Accountability in
the Provision of HUD Assistance. A copy is provided in the application
kit.
(18) Drug-Free Workplace Certification. The Drug-Free Workplace Act
of 1988 (42 U.S.C. 701) requires grantees of federal agencies to
certify that they will provide drug-free workplaces. Each potential
recipient under this NOFA must certify that it will comply with drug-
free workplace requirements in accordance with the Act and with HUD's
rules at 24 CFR part 24, subpart F.
(19) Certification regarding Lobbying. Section 319 of the
Department of the Interior Appropriations Act, Public Law 101-121,
approved October 23, 1989 (31 U.S.C. 1352) (the ``Byrd Amendment'')
generally prohibits recipients of Federal contracts, grants, and 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 Department's regulations on these
restrictions on lobbying are codified at 24 CFR part 87. To comply with
24 CFR 87.110, any HA submitting an application under this announcement
for more than $100,000 of budget authority must submit a certification
and, if applicable, a Disclosure of Lobbying Activities (SF-LLL form).
(20) A certification that:
(a) The HA will include in any contract for renovation or
conversion (including combining of units) on the premises of the HA
development to accommodate the provision of supportive services under
this program, a requirement that all laborers and mechanics (other than
volunteers under the conditions set out in 24 CFR part 70) shall be
paid not less than the wages prevailing in the locality, as
predetermined by the Secretary of Labor pursuant to the Davis-Bacon Act
(40 U.S.C. 276a--276a-5);
(b) The HA will include in such contracts a requirement that all
architects, technical engineers, draftsmen, and technicians (other than
volunteers) shall be paid not less than the wages prevailing in the
locality as determined by HUD; and
(c) The HA will pay such wage rates to its own employees engaged in
this work.
IV. Corrections to Deficient Applications
After the submission deadline date, HUD will screen each
application to determine whether it is complete. If an application
lacks certain technical items, such as certifications or assurances, or
contains a technical error, such as an incorrect signatory, HUD will
notify the applicant in writing that it has 14 calendar days from the
date of HUD's written notification to cure the technical deficiency. If
the applicant fails to submit the missing material within the 14-day
cure period, HUD will disqualify the application.
This 14-day cure period applies only to nonsubstantive deficiencies
or errors. Deficiencies capable of cure will involve only items not
necessary for HUD to assess the merits of an application against the
ranking factors specified in this NOFA.
V. Other Matters
A. Other Federal Requirements
In addition to the Equal Opportunity Requirements set forth in
Section III, Checklist of Application Submission Requirements, of this
NOFA, grantees must comply with the following requirements:
(1) Ineligible contractors. The provisions of 24 CFR part 24
relating to the employment, engagement of services, awarding of
contracts, or funding of any contractors or subcontractors during any
period of debarment, suspension, or placement in ineligibility status.
(2) Flood insurance. No building proposed for acquisition,
construction, reconstruction, repair, or improvement to be assisted
under this program may be located in an area that has been identified
by the Federal Emergency Management Agency (FEMA) as having special
flood hazards, unless the community in which the area is situated is
participating in the National Flood Insurance Program and the
regulations thereunder (44 CFR parts 59-79), or less than a year has
passed since FEMA notification regarding such hazards, and the grantee
ensures that flood insurance on the structure is obtained in compliance
with section 102(a) of the Flood Disaster Protection Act of 1973 (42
U.S.C. 4001 et seq.).
(3) Lead-based paint. The requirements, as applicable, of the Lead-
Based Paint Poisoning Prevention Act (42 U.S.C. 4821-4846), and
implementing regulations at 24 CFR parts 35, 965 and 968.
(4) Applicability of OMB Circulars. The policies, guidelines, and
requirements of OMB Circular Nos. A-110 and A-122 with respect to the
acceptance and use of assistance by private nonprofit organizations.
(5) Relocation and Real Property Acquisition. The Uniform
Relocation Assistance and Real Property Acquisition Policies Act of
1970 and HUD Handbook 1378, Tenant Assistance, Relocation and Real
Property Acquisition, apply to the acquisition of real property for an
assisted project and the displacement of any person (family,
individual, business, nonprofit organization, or farm) as a direct
result of acquisition, rehabilitation, or demolition for the project.
B. Environmental Review
A finding of no significant impact with respect to the environment
has been made in accordance with HUD regulations in 24 CFR part 50 that
implement section 102(2)(C) of the National Environmental Policy Act of
1969. (42 U.S.C. 4332). The finding of no significant impact is
available for public inspection and copying Monday through Friday
during regular business hours at the Office of the Rules Docket Clerk,
Office of General Counsel, Room 10276, Department of Housing and Urban
Development, 451 Seventh Street SW., Washington, DC 20410.
C. Executive Order 12612, Federalism
The General Counsel, as the Designated Official under section 6(a)
of Executive Order 12612, Federalism, has determined that the policies
contained in this notice 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,
the notice is not subject to review under the Order. The notice
announces the availability of funds to provide families living in
public or Indian housing with better access to education and job
opportunities to achieve self-sufficiency and independence.
D. Executive Order 12606, the Family
The General Counsel, as the Designated Official under Executive
Order 12606, The Family, has determined that this notice has potential
for a significant impact on family formation, maintenance, and general
well-being. The purpose of the notice is to provide funding to assist
families living in public or Indian housing with better access to
education and job opportunities to achieve self-sufficiency and
independence, and, thus, could benefit families significantly. However,
because the impact on families is beneficial, no further review is
considered necessary.
E. Section 102 HUD Reform Act: 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 at 24 CFR part 15. In addition, HUD will
include the recipients of assistance pursuant to this NOFA in its
quarterly Federal Register notice of all recipients of HUD assistance
awarded on a competitive basis. (See 24 CFR 12.14(a) and 12.16(b), and
the notice published in the Federal Register on January 16, 1992 (57 FR
1942), for further information on these 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)
became effective on June 12, 1991. That regulation, codified as 24 CFR
part 4, applies to the funding competition announced today. The
requirements of the rule continue to apply until the announcement of
the selection of successful applicants.
HUD employees involved in the review of applications and in the
making of funding decisions are restrained by part 4 from providing
advance information to any person (other than an authorized employee of
HUD) concerning funding decisions, or from otherwise giving any
applicant an unfair competitive advantage. Persons who apply for
assistance in this competition should confine their inquiries to the
subject areas permitted under 24 CFR part 4.
Applicants who have questions should contact the HUD Office of
Ethics (202) 708-3815 (voice/TDD). (This is not a toll-free number.)
The Office of Ethics can provide information of a general nature to HUD
employees, as well. However, a HUD employee who has specific program
questions, such as whether particular subject matter can be discussed
with persons outside the Department, should contact his or her Regional
or Field Office Counsel, or Headquarters counsel for the program to
which the question pertains.
G. Section 112 of the Reform Act
Section 13 of the Department of Housing and Urban Development Act
(42 U.S.C. 3537b) contains two provisions dealing with efforts to
influence HUD's decisions with respect to financial assistance. The
first imposes disclosure requirements on those who are typically
involved in these efforts--those who pay others to influence the award
of assistance or the taking of a management action by the Department
and those who are paid to provide the influence. The second restricts
the payment of fees to those who are paid to influence the award of HUD
assistance, if the fees are tied to the number of housing units
received or are based on the amount of assistance received, or if they
are contingent upon the receipt of assistance.
Section 13 was implemented by final rule published in the Federal
Register on May 17, 1991 (56 FR 22912). If readers are involved in any
efforts to influence the Department in these ways, they are urged to
read the final rule, particularly the examples contained in Appendix A
of the rule.
Any questions about the rule should be directed to the Office of
Ethics, room 2158, Department of Housing and Urban Development, 451
Seventh Street SW., Washington, DC 20410-3000. Telephone: (202) 708-
3815 (voice/TDD) (This is not a toll-free number.) Forms necessary for
compliance with the rule may be obtained from the local HUD office.
H. Freedom of Information Act
Applications submitted in response to this NOFA are subject to
disclosure under the Freedom of Information Act (FOIA). To assist the
Department in determining whether to release information contained in
an application in the event a FOIA request is received, and applicant
may, through clear earmarking, or otherwise, indicate those portions of
its application that it believes should not be disclosed. The
applicants's views will be used solely to aid the Department in
preparing its response to a FOIA request; however, the Department is
required by the FOIA to make an independent evaluation of the
information.
HUD suggests that an applicant provide a basis, when possible, for
its belief that confidential treatment is appropriate; general
assertions or blanket requests for confidentiality, without more
information, are of limited value to the Department in making
determinations concerning the release of information under FOIA. The
Department is required to segregate disclosable information from
nondisclosable items, so an applicant should be careful to identify
each portion of the application for which confidential treatment is
requested.
The Department emphasizes that the presence or absence of comments
or earmarking regarding confidential information will have no bearing
on the evaluation of applications submitted in response to this
solicitation.
I. 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 of
Fiscal Year 1990 (31 U.S.C. 1352) (the ``Byrd Amendment'') and the
implementing regulations at 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. The
Department has determined that an IHA established by an Indian Tribe as
a result of the exercise of its sovereign power is not subject to the
Byrd Amendment, but an IHA established under State law is subject to
those requirements and prohibitions.
Authority: 42 U.S.C. 1437t and 3535(d).
Dated: February 7, 1994.
Joseph Shuldiner,
Assistant Secretary for Public and Indian Housing.
[FR Doc. 94-4413 Filed 2-25-94; 8:45 am]
BILLING CODE 4210-33-P
