[Federal Register Volume 63, Number 83 (Thursday, April 30, 1998)]
[Notices]
[Pages 23876-23956]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-11392]
[[Page 23875]]
_______________________________________________________________________
Part III
Department of Housing and Urban Development
_______________________________________________________________________
Super Notice of Funding Availability (SuperNOFA) for Economic
Development and Empowerment Programs; Notice
Federal Register / Vol. 63, No. 83 / Thursday, April 30, 1998 /
Notices
[[Page 23876]]
DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
[Docket No. FR-4363-N-01]
Super Notice of Funding Availability (SuperNOFA) for Economic
Development and Empowerment Programs
AGENCY: Office of the Secretary, HUD.
ACTION: Super Notice of Funding Availability (SuperNOFA) for Economic
Development and Empowerment Programs.
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SUMMARY: This Super Notice of Funding Availability (SuperNOFA)
announces the availability of approximately $176,000,000 in HUD program
funds covering ten (10) Economic Development and Empowerment Programs
operated and managed by the following HUD Offices: Community Planning
and Development (CPD), Housing-Federal Housing Administration (FHA),
Public and Indian Housing (PIH), and the Office of Lead Hazard Control
(OLHC). The General Section of this SuperNOFA contains the procedures
and requirements applicable to all programs. The applications for
funding for these programs have been consolidated into four
applications. The Programs Section of this SuperNOFA contains a
description of the specific programs for which funding is made
available under this SuperNOFA and additional procedures and
requirements that are applicable to each.
APPLICATION DUE DATES: The information contained in this ``APPLICATION
DUE DATES'' section applies to all programs contained in this
SuperNOFA. Completed applications must be submitted to HUD no later
than the deadline established for the program for which you are seeking
funding. Applications may not be sent by facsimile (FAX). See the
Program Chart for specific application due dates.
ADDRESSES AND APPLICATION SUBMISSION PROCEDURES: Addresses. Completed
applications must be submitted to the location specified in the
Programs Section of this SuperNOFA. When submitting your application,
please refer to the program name for which you are seeking funding.
For Applications to HUD Headquarters. Applications to be submitted
to HUD Headquarters are due at: Department of Housing and Urban
Development, 451 Seventh Street, SW, Room ________ (See Program Chart
or Programs Section for room location), Washington DC 20410.
For Applications to HUD Field Offices. For those programs for which
applications are due to the HUD Field Offices, please see the Programs
Section for the locations for submission.
Applications Procedures--Mailed Applications. Applications will be
considered timely filed if postmarked on or before 12:00 midnight on
the application due date and received by the designated HUD Office on
or within ten (10) days of the application due date.
Applications Sent by Overnight/Express Mail Delivery. Applications
sent by overnight delivery or express mail will be considered timely
filed if received before or on the application due date, or upon
submission of documentary evidence that they were placed in transit
with the overnight delivery service by no later than the specified
application due date.
Hand Carried Applications. For applications submitted to HUD
Headquarters, hand carried applications delivered before and on the
application due date must be brought to the specified location and room
number between the hours of 8:45 am to 5:15 pm, Eastern time.
Applications hand carried on the application due date will be accepted
in the South Lobby of the HUD Headquarters Building at the above
address from 5:15 pm until 12:00 midnight, Eastern time. Applications
due to HUD Field Office or Area Office of Native American Programs
locations must be delivered to the appropriate HUD Field Office or Area
Office of Native American Programs in accordance with the instructions
specified in the Programs Section of the SuperNOFA.
For applications submitted to the HUD Field Offices or Area Offices
of Native American Programs, hand carried applications will be accepted
during normal business hours before the application due date. On the
application due date, business hours will be extended to 6:00 pm.
(Please see the Appendix A to this SuperNOFA listing the hours of
operations for the HUD Field Offices.) COPIES OF APPLICATIONS TO HUD
OFFICES. The Programs Section of this SuperNOFA may specify that, to
facilitate processing and review of your submission, a copy of the
application also be sent to an additional HUD location (for example, a
copy to the HUD Field Office or Area Office of Native American Programs
if the original application is to be submitted to HUD Headquarters, or
a copy to HUD Headquarters, if the original application is to be
submitted to a HUD Field Office or Area Office of Native American
Programs). Please follow the requirements of the Programs Section to
ensure that you submit your application to the proper location. HUD
requests additional copies in order to expeditiously review your
application and appreciates your assistance in providing the copies.
Please note that for those applications for which copies are being
submitted to the local HUD Offices and HUD Headquarters, timeliness of
submission will be based on the time the application is received at HUD
Headquarters.
FOR APPLICATION KITS, FURTHER INFORMATION AND TECHNICAL ASSISTANCE: The
information contained in this section is applicable to all programs
contained in this SuperNOFA, unless otherwise specifically provided in
the applicable programs section.
For Application Kits and SuperNOFA User Guide. HUD is pleased to
provide you with application kits and/or a guidebook to all HUD
programs. When requesting an application kit, please refer to the
program name of the application kit you are interested in receiving.
Please be sure to provide your name, address (including zip code), and
telephone number (including area code).
Requests for application kits should be made immediately to ensure
sufficient time for application preparation. We will distribute
application kits as soon as they become available.
The SuperNOFA Information Center (1-800-HUD-8929) can provide you
with assistance, application kits, and guidance in determining which
HUD Office(s) should receive a copy of your application. Persons with
hearing or speech impairments may call the Center's TTY number at 1-
800-HUD-2209.
Consolidated Application Submissions. Where an applicant can apply
for funding under more than one program in this SuperNOFA, the
applicant need only submit one originally signed SF-424 and one set of
original signatures for the other required assurances and
certifications, accompanied by the matrix contained in each application
kit (provided that the required assurances and certifications are
identical). As long as the applicant submits one originally signed set
of these documents with an application, only copies of these documents
are required to be submitted with any additional application submitted
by the applicant. The application should identify the program for which
the original signatures for assurances and certifications is being
submitted.
For Further Information. For answers to your questions about this
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SuperNOFA, you have several options. You may call the HUD Office or
Processing Center serving your area at the telephone number listed in
your program area section to this SuperNOFA, or you may contact the
SuperNOFA Information Center at 1-800-HUD-8929. Persons with hearing or
speech impairments may call the Center's TTY number at 1-800-HUD-2209.
Information on this SuperNOFA also may be obtained through the HUD web
site on the Internet at http://www.HUD.gov.
For Technical Assistance. Before the application due date, HUD
staff will be available to provide general guidance and technical
assistance about this SuperNOFA. Current law does not permit HUD staff
to assist in preparing the application. Following selection of
applicants, but prior to award, HUD staff will be available to assist
in clarifying or confirming information that is a prerequisite to the
offer of an award or Annual Contributions Contract (ACC) by HUD.
Introduction To The SuperNOFA Process
To further HUD's objective, under the direction of Secretary Andrew
Cuomo, of improving customer service and providing the necessary tools
for revitalizing communities and improving the lives of people within
those communities, HUD will publish three SuperNOFAs in 1998, which
coordinate program funding for 40 competitive programs and cut across
traditional program lines.
(1) The first is the SuperNOFA and consolidated application process
for Housing and Community Development Programs, covering 19 Housing and
Community Development Programs. This SuperNOFA was published in the
Federal Register on March 31, 1998.
(2) The second is the SuperNOFA and consolidated application
process for Economic Development and Empowerment Programs, published in
today's Federal Register. This second SuperNOFA includes funding for
the following programs and initiatives: Brownfields; Economic
Development Initiative; Youthbuild; three Tenant Opportunity Programs;
Economic Development and Supportive Services; Mark to Market Outreach
and Training; Mark to Market Technical Assistance Intermediaries Grant
Administration; and the Local Lead Hazard Awareness Campaign.
(3) The third is the SuperNOFA and consolidated application process
for Targeted Housing and Homeless Assistance Programs. This third
SuperNOFA includes the following programs and initiatives: Housing
Opportunities for Persons with AIDS; Continuum of Care Homeless
Assistance Programs; Section 202 Supportive Housing for the Elderly;
and Section 811 Supportive Housing for Persons with Disabilities. This
third SuperNOFA is published elsewhere in today's Federal Register.
All three SuperNOFAs and all consolidated applications, to the
greatest extent possible, given statutory, regulatory and program
policy distinctions, will have one set of rules that, together, offer a
``menu'' of approximately 40 programs. From this menu, communities will
be made aware of funding available for their jurisdictions. Nonprofits,
public housing agencies, local and State governments, tribal
governments and tribally designated housing entities, veterans service
organizations, faith-based organizations and others will be able to
identify the programs for which they are eligible for funding.
The National Competition NOFA
In addition to the three SuperNOFAs, HUD is publishing elsewhere in
today's Federal Register a single NOFA for three national competitions:
the Fair Housing Initiatives Program National Competition; the National
Lead Hazard Awareness Campaign; and the Housing Counseling National
Competition.
Assisting Communities To Make Better Use of Available Resources
These SuperNOFAs represent a marked departure from, and HUD
believes a significant improvement over, HUD's past approach to the
funding process. In the past, HUD has issued as many as 40 separate
NOFAs, all with widely varying rules and application processing
requirements. This individual program approach to funding, with NOFAs
published at various times throughout the fiscal year, did not
encourage and, at times, unintentionally impeded local efforts directed
at comprehensive planning and development of comprehensive local
solutions. Additionally, the old approach seemed to require communities
to respond to HUD's needs rather than HUD responding to local needs.
Secretary Cuomo brings to the leadership of HUD the experience of
successfully implementing a consolidated planning process in HUD's
community development programs. As Assistant Secretary for Community
Planning and Development, Secretary Cuomo consolidated the planning,
application, and reporting requirements of several community
development programs. The Consolidated Plan rule, published in 1995,
established a renewed partnership among HUD, State, and local
governments, public and private agencies, tribal governments, and the
general citizenry by empowering field staff to work with other entities
in fashioning creative solutions to community problems.
The SuperNOFA approach builds upon Consolidated Planning
implemented by Secretary Cuomo in HUD's community development programs,
and also reflects the Secretary's organizational changes for HUD, as
described in the Secretary's management reform plan. On June 26, 1997,
Secretary Cuomo released the HUD 2020 Management Reform Plan, which
calls for significant consolidation of like programs to maximize
efficiency and dramatically improve customer service. The plan also
calls for HUD to improve customer service by adopting a principle of
``menus not mandates.''
By announcing the funding of these ten programs in one NOFA, HUD
hopes to assist communities in making better use of available resources
to address their economic development needs and the needs of those
living within the communities in a holistic and effective fashion.
These funds are available for eligible applicants to support individual
program objectives, as well as cross-cutting and coordinated approaches
to improving the overall effective use of available HUD program funds.
To date, HUD has been consolidating and simplifying the submission
requirements of many of its formula grant and discretionary grant
programs to offer local communities a better opportunity to shape
available resources into effective and coordinated neighborhood housing
and community development strategies that will help revitalize and
strengthen their communities, physically, socially and economically. To
complement this overall consolidation and simplification effort, HUD
designed this process to increase the ability of applicants to consider
and apply for funding under a wide variety of HUD programs in response
to a single NOFA. Everyone interested in HUD's grant programs can
benefit from having this information made available in one NOFA.
Coordination, Flexibility, and Simplicity in the HUD Funding Process
The SuperNOFA approach places heavy emphasis on the coordination of
activities to provide (1) greater flexibility and responsiveness in
meeting local housing and community development needs, and (2) greater
flexibility to eligible applicants to determine what HUD program
resources
[[Page 23878]]
best fit the community's needs, as identified in local Consolidated
Plans and Analysis of Impediments to Fair Housing Choice (``Analysis of
Impediments'' (AI)).
The SuperNOFA approach is designed to simplify the application
process; promote effective and coordinated use of program funds in
communities; reduce duplication in the delivery of services and
economic development and empowerment programs; allow interested
applicants to seek to deliver a wider, more integrated array of
services; and improve the system for potential grantees to be aware of,
and compete for program funds.
HUD encourages applicants to work together to coordinate and, to
the maximum extent possible, join their activities to form a seamless
and comprehensive program of assistance to meet identified needs in
their communities, and address barriers to fair housing and equal
opportunity that have been identified in the community's Consolidated
Plan and Analysis of Impediments in the geographic area(s) in which
they are seeking assistance.
As part of the simplification of this funding process, and to avoid
duplication of effort, the SuperNOFA provides for consolidated
applications for several of the programs for which funding is available
under this NOFA. HUD programs that provide assistance for, or
complement similar activities, for example, the economic development
initiative (EDI) and the brownfields economic development initiative
(BEDI), or the tenant opportunity and economic development supportive
services programs, have consolidated applications that reduce the
administrative and paperwork burden applicants may otherwise encounter
in submitting an application for each program.
The funding of these ten programs through this SuperNOFA will not
affect the ability of eligible applicants to seek HUD funding. Eligible
applicants are able, as they have been in the past, to apply for
funding under as few as one or as many as all programs for which they
are eligible.
The specific statutory and regulatory requirements of each of the
ten separate programs continue to apply to each program. The SuperNOFA
reflects, where necessary, the statutory requirements and differences
applicable to the specific programs. Please pay careful attention to
the individual program requirements that are identified for each
program. Also, you will note that not all applicants are eligible to
receive assistance under all ten programs identified in this SuperNOFA.
The SuperNOFA contains two major sections. The General Section of
the SuperNOFA contains the procedures and requirements applicable to
all applications. The Programs Section of the SuperNOFA describes each
program for which funding is made available in the NOFA. As in the
past, each program provides a description of eligible applicants,
eligible activities, factors for award, and any additional requirements
or limitations that apply to the program. Please read carefully both
the General Section and the Programs Section of the SuperNOFA for the
program(s) to which you are applying. This will ensure that you apply
for program funding for which your organization is eligible to receive
funds and you fulfill all the requirements for that program(s).
The Programs of This SuperNOFA and the Amount of Funds Allocated
The ten programs for which funding availability is announced in
this SuperNOFA are identified in the following chart. The approximate
available funds for each program are listed as expected funding levels
based on appropriated funds. Should recaptured or other funds become
available for any program, HUD reserves the right to increase the
available program funding amounts by the amount available.
The chart also includes the application due date for each program,
the OMB approval number for the information collection requirements
contained in the specific program, and the Catalog of Federal Domestic
Assistance (CFDA) number.
BILLING CODE 4210-32-P
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[GRAPHIC] [TIFF OMITTED] TN30AP98.005
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[GRAPHIC] [TIFF OMITTED] TN30AP98.006
BILLING CODE 4210-32-C
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Paperwork Reduction Act Statement
For those programs listed in the chart above which have OMB
approval numbers, the information collection requirements contained in
this SuperNOFA for those programs have been approved by the Office of
Management and Budget (OMB) in accordance with the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501-3520). For those programs listed in the
chart for which an OMB approval number is pending, the approval number
when received will be announced by HUD in the Federal Register. 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.
General Section of the SuperNOFA
I. Authority; Purpose; Amount Allocated; Eligible Applicants and
Eligible Activities
(A) Authorities
Unless otherwise specified in the Programs Section of the
SuperNOFA, the authority for Fiscal Year 1998 funding availability
under this SuperNOFA is the Department of Veterans Affairs and Housing
and Urban Development and Independent Agencies Appropriations Act, 1998
(Pub.L. 105-65, approved October 27, 1997) (FY 1998 HUD Appropriations
Act). Where applicable, additional authority for each program in this
SuperNOFA is identified in the Programs Section.
(B) Purpose
The purpose of this SuperNOFA is to:
(1) Make funding available through a variety of programs to empower
communities and their residents, particularly the poor and
disadvantaged, to develop viable communities, provide decent housing
and a suitable living environment for all citizens, without
discrimination in order to improve themselves both as individuals and
as a community.
(2) Simplify and streamline the application process for funding
under HUD programs. By making available to State and local governments,
public housing agencies, tribal governments, non-profit organizations
and others, the application requirements for HUD housing and community
development programs in one NOFA, HUD hopes that the result will be a
less time consuming and less complicated application process. This new
process also allows an applicant to submit one application for funds
for several programs. Except where statutory or regulatory requirements
or program policy mandate differences, the SuperNOFA strives to provide
for one set of rules, standardized rating factors, and uniform and
consolidated application procedures.
(3) Enhance the ability of applicants to make more effective and
efficient use of housing and community development funding when
addressing community needs and implementing coordinated housing and
community development strategies established in local Consolidated
Plans, which is the single application for HUD housing and community
development and other formula funds submitted by the local or State
government. Through this SuperNOFA process, applicants are encouraged
to: (i) create opportunities for strategic planning and citizen
participation in a comprehensive context at the local level in order to
establish a full continuum of housing and services; and (ii) promote
methods for developing more coordinated and effective approaches to
dealing with urban, suburban, and rural problems by recognizing the
interconnections among the underlying problems and ways to address them
through layering of available HUD programs;
(4) Promote the ability of eligible non-profit organizations to
participate in many of the programs contained in this SuperNOFA;
provide an increased opportunity to assist communities in developing
job training, economic development and empowerment programs, directed
at revitalizing neighborhoods and obtaining self-sufficiency for low
and moderate income families; and
(5) Recognize and make better use of the expertise that each of the
programs, and organizations eligible for funding under this SuperNOFA,
can contribute when developing and implementing local housing and
community development plans, the Consolidated Plan, and the HUD
required Analysis of Impediments to Fair Housing Choice.
(C) Amounts Allocated
The amounts allocated to specific programs in this SuperNOFA are
based on appropriated funds. Should recaptured funds become available
in any program, HUD reserves the right to increase the available
funding amounts by the amount of funds recaptured.
(D) Eligible Applicants and Eligible Activities
The eligible applicants and eligible activities for each program
are identified and described for the program in the Programs Section of
the SuperNOFA.
II. Requirements and Procedures Applicable to all Programs
Except as may be modified in the Programs Section of this Super
NOFA, or as noted within the specific provisions of this Section II,
the following principles apply to all programs. Please be sure to read
the program area section of the SuperNOFA for additional requirements
or information.
(A) Statutory Requirements
All applicants must meet and comply with all statutory and
regulatory requirements applicable to the program for which they are
seeking funding in order to be awarded funds. Copies of the regulations
are available from the SuperNOFA Information Center or through the
Internet at http://www.HUD.gov. HUD may reject an application from
further funding consideration if the activities or projects proposed
are ineligible, or HUD may eliminate the ineligible activities from
funding consideration and reduce the grant amount accordingly.
(B) Threshold Requirements--Compliance With Fair Housing and Civil
Rights Laws
All applicants, with the exception of Federally recognized Indian
tribes, must comply with all Fair Housing and civil rights laws,
statutes, regulations and executive orders as enumerated in 24 CFR
5.105(a). Federally recognized Indian tribes must comply with the Age
Discrimination Act of 1975, Section 504 of the Rehabilitation Act of
1973, and the Indian Civil Rights Act. If an applicant (1) has been
charged with a violation of the Fair Housing Act by the Secretary; (2)
is the defendant in a Fair Housing Act lawsuit filed by the Department
of Justice; or (3) has received a letter of noncompliance findings
under Title VI of the Civil Rights Act, Section 504 of the
Rehabilitation Act, or Section 109 of the Housing and Community
Development Act, the applicant is not eligible to apply for funding
under this SuperNOFA until the applicant resolves such charge, lawsuit,
or letter of findings to the satisfaction of the Department.
(C) Additional Nondiscrimination Requirements
Applicants must comply with the Americans with Disabilities Act,
and Title IX of the Education Amendments Act of 1972.
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(D) Affirmatively Furthering Fair Housing
Unless otherwise specified in the Programs Section of this
SuperNOFA, each successful applicant will have a duty to affirmatively
further fair housing. Where directed by the applicable program section,
applicants should include in their work plans the specific steps that
they will take to (1) address the elimination of impediments to fair
housing that were identified in the jurisdiction's Analysis of
Impediments (AI) to Fair Housing Choice; (2) remedy discrimination in
housing; or (3) promote fair housing rights and fair housing choice.
Further, applicants have a duty to carry out the specific activities
cited in their responses to the rating factors that address
affirmatively furthering fair housing in the Programs Section of this
SuperNOFA.
(E) Economic Opportunities for Low and Very Low-Income Persons (Section
3).
Certain programs in this SuperNOFA require recipients of HUD
assistance to comply with section 3 of the Housing and Urban
Development Act of 1968, 12 U.S.C. 1701u (Economic Opportunities for
Low and Very Low-Income Persons) and the HUD regulations at 24 CFR part
135, including the reporting requirements subpart E. Section 3 provides
that recipients shall ensure that training, employment and other
economic opportunities, to the greatest extent feasible, be directed to
(1) low and very low income persons, particularly those who are
recipients of government assistance for housing and (2) business
concerns which provide economic opportunities to low and very low
income persons. Section 3 is applicable to the following programs in
this SuperNOFA: Brownfields Economic Development; Economic Development
Initiative; Economic Development and Supportive Services; Tenant
Opportunity Program; and Youthbuild.
(F) Relocation
Any person (including individuals, partnerships, corporations or
associations) who moves from real property or moves personal property
from real property as a direct result of a written notice to acquire or
the acquisition of the real property, in whole or in part, for a HUD-
assisted activity is covered by acquisition policies and procedures and
the relocation requirements of the Uniform Relocation Assistance and
Real Property Acquisition Policies Act of 1970, as amended (URA), and
the implementing governmentwide regulation at 49 CFR part 24. Any
person who moves permanently from real property or moves personal
property from real property as a direct result of rehabilitation or
demolition for an activity undertaken with HUD assistance is covered by
the relocation requirements of the URA and the governmentwide
regulation.
(G) Forms, Certifications and Assurances
Each applicant is required to submit signed copies of the standard
forms, certifications, and assurances, listed in this section, unless
the Programs Section specifies otherwise. Additionally, the Programs
Section may specify additional forms, certifications, assurances, or
other information, that may be required for a particular program in
this SuperNOFA.
(1) Standard Form for Application for Federal Assistance (SF-424);
(2) Standard Form for Budget Information--Non-Construction Programs
(SF-424A) or Standard Form for Budget Information-Construction Programs
(SF-424C), as applicable;
(3) Standard Form for Assurances--Non-Construction Programs (SF-
424B) or Standard Form for Assurances--Construction Programs (SF-424D),
as applicable;
(4) Drug-Free Workplace Certification (HUD-50070);
(5) Certification and Disclosure Form Regarding Lobbying (SF-LLL);
(Tribes and tribally designated housing entities (THDEs) established by
an Indian tribe as a result of the exercise of the tribe's sovereign
power are not required to submit this certification. Tribes and TDHEs
established under State law are required to submit this certification.)
(6) Applicant/Recipient Disclosure Update Report (HUD-2880);
(7) Certification that the applicant will comply with the
requirements of the Fair Housing Act, Title VI of the Civil Rights Act
of 1964, section 504 of the Rehabilitation Act of 1973, and the Age
Discrimination Act of 1975, and will affirmatively further fair
housing. CDBG recipients also must certify to compliance with section
109 of the Housing and Community Development Act. Federally recognized
Indian tribes must certify that they will comply with the requirements
of the Age Discrimination Act of 1975, section 504 of the
Rehabilitation Act of 1973, and the Indian Civil Rights Act.
(8) Certification required by 24 CFR 24.510. (The provisions of 24
CFR part 24 apply to the employment, engagement of services, awarding
of contracts, subgrants, or funding of any recipients, or contractors
or subcontractors, during any period of debarment, suspension, or
placement in ineligibility status, and a certification is required.)
(H) OMB Circulars
The policies, guidances, and requirements of OMB Circular No. A-87
(Cost Principles Applicable to Grants, Contracts and Other Agreements
with State and Local Governments), OMB Circular No. A-122 (Cost
Principles for Nonprofit Organizations), 24 CFR part 84 (Grants and
Agreements with Institutions of Higher Education, Hospitals, and other
Non-Profit Organizations) and 24 CFR part 85 (Administrative
Requirements for Grants and Cooperative Agreements to State, Local, and
Federally recognized Indian tribal governments) apply to the award,
acceptance and use of assistance under the programs of this SuperNOFA,
and to the remedies for noncompliance, except when inconsistent with
the provisions of the FY 1998 HUD Appropriations Act, other Federal
statutes or the provisions of this SuperNOFA. Compliance with
additional OMB Circulars may be specified for a particular program in
the Programs Section of the SuperNOFA. Copies of the OMB Circulars may
be obtained from EOP Publications, Room 2200, New Executive Office
Building, Washington, DC 10503, telephone (202) 395-7332 (this is not a
toll free number).
(I) Environmental Requirements
For programs under this SuperNOFA that assist physical development
activities or property acquisition, grantees are generally prohibited
from acquiring, rehabilitating, converting, leasing, repairing or
constructing property, or committing or expending HUD or non-HUD funds
for these program activities, until one of the following has occurred:
(1) HUD has completed an environmental review in accordance with 24 CFR
part 50; or (2) for programs subject to 24 CFR part 58, HUD has
approved a grantee's Request for Release of Funds (HUD Form 7015.15)
following a Responsible Entity's completion of an environmental review.
Applicants should consult the Programs Section for the applicable
program to determine the procedures for, timing of, and any exclusions
from environmental review under a particular program.
(J) Conflicts of Interest
Consultants or experts assisting HUD in rating and ranking
applicants for funding under this SuperNOFA are subject to 18 U.S.C.
208, the Federal criminal conflict of interest statute, and
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to the Standards of Ethical Conduct for Employees of the Executive
Branch regulation published at 5 CFR part 2635. As a result,
individuals who have assisted or plan to assist applicants with
preparing applications for this SuperNOFA may not serve on a selection
panel or as a technical advisor to HUD for this SuperNOFA. All
individuals involved in rating and ranking this SuperNOFA, including
experts and consultants, must avoid conflicts of interest or the
appearance of conflicts. If the selection or non-selection of any
applicant under this NOFA affects the individual's financial interests
set forth in 18 U.S.C. 208 or involves any party with whom the
individual has a covered relationship under 5 CFR 2635.502, that
individual must, prior to participating in any matter regarding this
NOFA, disclose this fact to the General Counsel or the Ethics Law
Division.
III. Application Selection Process
(A) General
To review and rate applications, HUD may establish panels including
persons not currently employed by HUD to obtain certain expertise and
outside points of view, including views from other Federal agencies.
(1) Rating. All applications for funding in each program listed in
this SuperNOFA will be evaluated and rated against the criteria in this
SuperNOFA. The rating of the ``applicant'' or the ``applicant's
organization and staff'' for technical merit or threshold compliance,
unless otherwise specified, will include any sub-contractors,
consultants, sub-recipients, and members of consortia which are firmly
committed to the project.
(2) Ranking. Applicants will be ranked within each program.
Applicants will be ranked only against others that applied for the same
program funding and where there are set-asides within the competition,
the applicant would only compete against applicants in the same set-
aside competition.
(B) Threshold Requirements
HUD will review each application to determine whether the
application meets all of the threshold criteria described for program
funding made available under this SuperNOFA. Applications that meet all
of the threshold criteria will be eligible to be rated and ranked,
based on the criteria described, and the total number of points to be
awarded.
(C) Factors for Award Used To Evaluate and Rate Applications
For all of the programs for which funding is available under this
SuperNOFA, the points awarded for the factors total 100. Where
applicable (as provided in the Programs Section of the SuperNOFA),
applicants may be eligible for additional points as discussed in this
Section III(C).
(1) Bonus Points. The SuperNOFA provides for the award of up to two
bonus points for eligible activities/projects that are proposed to be
located in federally designated Empowerment Zones, Enterprise
Communities, or Urban Enhanced Enterprise Communities, and serve the
EZ/EC residents, and are certified to be consistent with the strategic
plan of the EZs and ECs. The application kit contains a certification
which must be completed for the applicant to be considered for EZ/EC
bonus points. In the BEDI competition, two bonus points are available
for federally designated Brownfields Showcase Communities. (Please see
BEDI section of this SuperNOFA for additional information). A listing
of the federally designated EZs, ECs, Enhanced ECs and Brownfields
Showcase Communities are available from the SuperNOFA Information
Center, or through the HUD web site on the Internet at http://
www.HUD.gov.
(2) Court-Ordered Consideration. Due to an order of the U.S.
District Court for the Northern District of Texas, Dallas, Division,
with respect to any application by the City of Dallas, Texas, for HUD
funds, HUD shall consider the extent to which the strategies or plans
in an application or applications submitted by the City of Dallas for
any program under this SuperNOFA will be used to eradicate the vestiges
of segregation in the Dallas Housing Authority's low income housing
programs. The City of Dallas should address the effect, if any, that
vestiges of racial segregation in Dallas Housing Authority's low income
housing programs have on potential participants in the programs covered
by this NOFA, and identify proposed actions for remedying those
vestiges. HUD may add up to 2 points to the score for any program based
on this consideration, as provided in Factor 3 by the individual
programs in the Programs Section of this SuperNOFA. (The points
provided in this Section III(C)(2) is limited to applications submitted
by the City of Dallas.)
(3) The Five Standard Rating Factors. The factors for rating and
ranking applicants are listed in this Section III(c)(2) and maximum
points for each factor, are provided in the Programs Section of the
SuperNOFA. Each applicant should carefully read the factors for award
as described in the program area section that they are seeking funding.
While HUD has established the following basic factors for award, these
may have been modified or adjusted to take into account specific
program needs, or statutory or regulatory limitations imposed on a
program. The standard factors for award, except as modified in the
program area section are:
Factor 1: Capacity of the Applicant and Relevant Organizational Staff
Factor 2: Need/Extent of the Problem
Factor 3: Soundness of Approach
Factor 4: Leveraging Resources
Factor 5: Comprehensiveness and Coordination
(D) Negotiation
After all applications have been rated and ranked and a selection
has been made HUD may require that all winners participate in
negotiations to determine the specific terms of the grant agreement and
budget. In cases where HUD cannot successfully conclude negotiations or
a selected applicant fails to provide HUD with requested information,
awards will not be made. In such instances, HUD may offer an award to
the next highest ranking applicant, and proceed with negotiations with
the next highest ranking applicant.
(E) Adjustments to Funding
HUD reserves the right to fund less than the full amount requested
in any application to ensure the fair distribution of the funds and to
ensure the purposes of the programs contained in this SuperNOFA are
met. HUD may choose not to fund portions of the applications that are
ineligible for funding under applicable program statutory or regulatory
requirements, or which do not meet the requirements of this General
Section of this SuperNOFA or the requirements in the Programs Section
for the specific program, and fund eligible portions of the
applications.
If funds remain after funding the highest ranking applications, HUD
may fund part of the next highest ranking application in a given
program area. If the applicant turns down the award offer, HUD will
make the same determination for the next highest ranking application.
If funds remain after all selections have been made, remaining funds
may be available for other competitions for each program area where
there is a balance of funds.
Additionally, in the event of a HUD procedural error that, when
corrected,
[[Page 23884]]
would result in selection of an otherwise eligible applicant during the
funding round of this SuperNOFA, HUD may select that applicant when
sufficient funds become available.
(F) Performance and Compliance Actions of Grantees
Performance and compliance actions of grantees will be measured and
addressed in accordance with applicable standards and sanctions of
their respective programs.
IV. Application Submission Requirements
As discussed earlier in the introductory section of this SuperNOFA,
part of the simplification of this funding process, is to reduce the
duplication of effort involved in completing and submitting similar
applications for HUD funded programs. This SuperNOFA provides for
consolidated applications for several of the programs for which funding
is available under this SuperNOFA.
V. Corrections to Deficient Applications
After the application due date, HUD may not, consistent with 24 CFR
part 4, subpart B, consider unsolicited information from an applicant.
HUD may contact an applicant, however, to clarify an item in the
application or to correct technical deficiencies. Applicants should
note, however, that HUD may not seek clarification of items or
responses that improve the substantive quality of the applicant's
response to any eligibility or selection criterion. Examples of curable
technical deficiencies include failure to submit the proper
certifications or failure to submit an application containing an
original signature by an authorized official. In each case, HUD will
notify the applicant in writing by describing the clarification or
technical deficiency. HUD will notify applicants by facsimile or by
return receipt requested. Applicants must submit clarifications or
corrections of technical deficiencies in accordance with the
information provided by HUD within 14 calendar days of the date of
receipt of the HUD notification. If the deficiency is not corrected
within this time period, HUD will reject the application as incomplete.
VI. Promoting Comprehensive Approaches to Housing and Community
Development
(A) General
HUD believes the best approach for addressing community problems is
through a community-based process that provides a comprehensive
response to identified needs. By making HUD's Economic Development and
Empowerment funding available in one NOFA, applicants may be able to
relate the activities proposed for funding under this SuperNOFA to the
recent and upcoming NOFAs and the community's Consolidated Plan and
Analysis of Impediments to Fair Housing Choice. A complete schedule of
NOFAs to be published during the fiscal year and those already
published appears under the HUD Homepage on the Internet, which can be
accessed at http://www.hud.gov/nofas.html.
(B) Linking Program Activities With AmeriCorps
Applicants are encouraged to link their proposed activities with
AmeriCorps, a national service program engaging thousands of Americans
on a full or part-time basis to help communities address their toughest
challenges, while earning support for college, graduate school, or job
training. For information about AmeriCorps, call the Corporation for
National Service at (202) 606-5000.
(C) Encouraging Visitability in New Construction and Substantial
Rehabilitation Activities
In addition to applicable accessible design and construction
requirements, applicants are encouraged to incorporate visitability
standards where feasible in new construction and substantial
rehabilitation projects involving housing. Visitability standards allow
a person with mobility impairments access into the home, but does not
require that all features be made accessible. Visitability means at
least one entrance at grade (no steps), approached by an accessible
route such as a sidewalk; the entrance door and all interior passage
doors are at least 2 feet 10 inches wide, allowing 32 inches of clear
passage space. Allowing use of 2'10'' doors is consistent with the Fair
Housing Act (at least for the interior doors), and may be more
acceptable than requiring the 3 foot doors that are required in fully
accessible areas under the Uniform Federal Accessibility Standards for
a small percentage of units. A visitable home also serves persons
without disabilities, such as a mother pushing a stroller, or a person
delivering a large appliance. Copies of the UFAS are available from the
Office of Fair Housing and Equal Opportunity, U.S. Department of
Housing and Urban Development, Room 5230, 451 Seventh Street, SW,
Washington, DC 20410, telephone (202) 755-5404 or the TTY telephone
number, 1-800-877-8399 (Federal Information Relay Service).
(D) Developing Healthy Homes
HUD's Healthy Homes Initiative is one of the initiatives developed
by the White House Task Force on Environmental Health Risks and Safety
Risks to Children that was established under Executive Order 13045
(``Protection of Children from Environmental Health Risks and Safety
Risks''). HUD encourages the funding of activities (to the extent
eligible under specific programs) that promote healthy homes, or that
promote education on what is a healthy home. These activities may
include, but are not limited to the following: educating homeowners or
renters about the need to protect children in their home from dangers
that can arise from items such as curtain cords, electrical outlets,
hot water, poisons, fire, and sharp table edges, among others;
incorporating child safety measures in the construction, rehabilitation
or maintenance of housing, which include but are not limited to: child
safety latches on cabinets, hot water protection devices, properly
ventilated windows to protect from mold, window guards to protect
children from falling, proper pest management to prevent cockroaches
which can cause asthma, and activities directed to control of lead-
based paint hazards. The National Lead Information Hotline is 1-800-
424-5323.
VII. Findings and Certifications
(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 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 during regular business hours in the
Office of the General Counsel, Regulations Division, Room 10276, U.S.
Department of Housing and Urban Development, 451 Seventh Street, SW,
Washington, DC 20410-0500.
(B) Federalism, Executive Order 12612
The General Counsel, as the Designated Official under section 6(a)
of Executive Order 12612, Federalism, has determined that the policies
contained in this SuperNOFA will not have substantial direct effects on
States or their political subdivisions, or on the relationship between
the Federal Government and the States, or on the distribution of power
and responsibilities among the various levels of government.
Specifically, the SuperNOFA solicits applicants to
[[Page 23885]]
expand their role in addressing community development needs in their
localities, and does not impinge upon the relationships between the
Federal government and State and local governments. As a result, the
SuperNOFA is not subject to review under the Order.
(C) Prohibition Against Lobbying Activities
Applicants for funding under this SuperNOFA are subject to the
provisions of section 319 of the Department of Interior and Related
Agencies Appropriation Act for Fiscal Year 1991, 31 U.S.C. 1352 (the
Byrd Amendment), which prohibits 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. Applicants are
required to certify, using the certification found at Appendix A to 24
CFR part 87, that they will not, and have not, used appropriated funds
for any prohibited lobbying activities. In addition, applicants must
disclose, using Standard Form LLL, ``Disclosure of Lobbying
Activities,'' any funds, other than Federally appropriated funds, that
will be or have been used to influence Federal employees, members of
Congress, and congressional staff regarding specific grants or
contracts. Tribes and tribally designated housing entities (THDEs)
established by an Indian tribe as a result of the exercise of the
tribe's sovereign power are excluded from coverage of the Byrd
Amendment, but tribes and TDHEs established under State law are not
excluded from the statute's coverage.
(D) Section 102 of the HUD Reform Act; Documentation and Public Access
Requirements
Section 102 of the Department of Housing and Urban Development
Reform Act of 1989 (42 U.S.C. 3545) (HUD Reform Act) and the
regulations codified in 24 CFR part 4, subpart A, contain a number of
provisions that are designed to ensure greater accountability and
integrity in the provision of certain types of assistance administered
by HUD. On January 14, 1992 (57 FR 1942), HUD published a notice that
also provides information on the implementation of section 102. The
documentation, public access, and disclosure requirements of section
102 apply to assistance awarded under this SuperNOFA as follows:
(1) Documentation and public access requirements. HUD will ensure
that documentation and other information regarding each application
submitted pursuant to this SuperNOFA 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 5-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.
(2) Disclosures. HUD will make available to the public for 5 years
all applicant disclosure reports (HUD Form 2880) submitted in
connection with this SuperNOFA. Update reports (also Form 2880) will be
made available along with the applicant disclosure reports, but in no
case for a period less than 3 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 at 24 CFR part 15.
(3) Publication of Recipients of HUD Funding. HUD's regulations at
24 CFR 4.7 provide that HUD will publish a notice in the Federal
Register on at least a quarterly basis to notify the public of all
decisions made by the Department to provide:
(i) Assistance subject to section 102(a) of the HUD Reform Act; or
(ii) Assistance that is provided through grants or cooperative
agreements on a discretionary (non-formula, non-demand) basis, but that
is not provided on the basis of a competition.
(E) Section 103 HUD Reform Act
HUD's regulations implementing section 103 of the Department of
Housing and Urban Development Reform Act of 1989 (42 U.S.C. 3537a),
codified in 24 CFR part 4, apply to this funding competition. The
regulations 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 limited by the
regulations 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 Ethics Law Division at (202) 708-3815. (This is not a
toll-free number.) For HUD employees who have specific program
questions, the employee should contact the appropriate field office
counsel, or Headquarters counsel for the program to which the question
pertains.
VIII. The FY 1998 SuperNOFA Process and Future HUD Funding Processes
In FY 1997, Secretary Cuomo took the first step at changing HUD's
funding process to better promote comprehensive, coordinated approaches
to housing and community development. In FY 1997, the Department
published related NOFAs on the same day or within a few days of each
other. In the individual NOFAs published in FY 1997, HUD advised that
additional steps on NOFA coordination may be considered for FY 1998.
The three SuperNOFAs to be published for FY 1998 represent the
additional step taken by HUD to improve HUD's funding process and
assist communities to make better use of available resources through a
coordinated approach. This new SuperNOFA process was developed based on
comments received from HUD clients and the Department believes it
represents a significant improvement over HUD's approach to the funding
process in prior years. For FY 1999, HUD may take even further steps to
enhance this process. HUD welcomes comments from applicants and other
members of the public on this process, and how it may be improved in
future years.
The description of program funding available under this second
SuperNOFA for Economic Development and Empowerment Programs follows.
Dated: April 23, 1998.
Saul N. Ramirez, Jr.,
Acting Deputy Secretary.
BILLING CODE 4210-32-P
Federal Register / Vol. 63, No. 83 / Thursday, April 30, 1998 /
Notices
[[Page 23887]]
[GRAPHIC] [TIFF OMITTED] TN30AP98.007
BILLING CODE 4210-22-C
Federal Register / Vol. 63, No. 83 / Thursday, April 30, 1998 /
Notices
[[Page 23889]]
Funding Availability for the Brownfields Economic Development
Initiative (BEDI)
Program Description: Approximately $25 million is available for
Brownfields Economic Development Initiative (BEDI) grants under Section
108(q) of the Housing and Community Development Act of 1974, as
amended. BEDI funds are used to enhance the security of the Section 108
guaranteed loan for the same project or to improve the viability of a
project financed with a Section 108-guaranteed loan. A BEDI grant is
required to be used in conjunction with a new Section 108 guaranteed
loan commitment.
Application Due Date: Completed applications (one original and two
copies) must be submitted no later than 12:00 midnight, Eastern time,
on August 10, 1998 to the addresses shown below. See the General
Section of this SuperNOFA for specific procedures governing the form of
application submission (e.g., mailed applications, express mail,
overnight delivery, or hand carried).
Addresses for Submitting Applications
To HUD Headquarters. The completed application (an original and one
copy) must be submitted to: Processing and Control Unit, Room 7255,
Office of Community Planning and Development, Department of Housing and
Urban Development, 451 Seventh Street, SW, Washington, D.C. 20410,
Attention: BEDI Grant, by mail or hand delivery.
To the Appropriate CPD Field Office. An additional copy should be
submitted to the Community Planning and Development Division of the
appropriate HUD Field Office for the applicant's jurisdiction.
When submitting your application, please refer to BEDI, and include
your name, mailing address (including zip code) and telephone number
(include area code).
For Application Kits, Further Information, and Technical Assistance
For Application Kits. For an application kit and any supplemental
information, please call HUD's SuperNOFA Information line toll free at
1-800-HUD-8929. Persons with hearing or speech impairments may call the
Center's TTY number at 1-800-HUD-2209 to obtain an application kit. The
application kit will also be available on the Internet through the HUD
web site at http://www.hud.gov. When requesting an application kit,
please refer to BEDI. Please be sure to provide your name, address
(including zip code), and telephone number (including area code).
For Further Information and Technical Assistance. Contact either
Stan Gimont or Paul Webster, Financial Management Division, Office of
Block Grant Assistance, Department of Housing and Urban Development,
451 Seventh Street, SW, Room 7178, Washington, DC 20410, telephone
(202) 708-1871 (this is not a toll-free number). Persons with speech or
hearing impairments may access this number via TTY by calling the toll-
free Federal Information Relay Service at 1-800-877-8339.
See the General Section of this SuperNOFA for guidance on technical
assistance. With respect to the Section 108 Loan Guarantee program,
which is not a competitive program and thus not subject to those
provisions of the HUD Reform Act pertaining to competitions, HUD staff
will be available to provide advice and assistance to develop Section
108 loan applications.
Additional Information
I. Authority; Definitions; Purpose; Amount Allocated; and
Eligibility
(A) Authority
Section 108(q), Title I, Housing and Community Development Act of
1974, as amended, (42 U.S.C. 5301-5320) (the Act); 24 CFR part 570.
(B) Definitions
Unless otherwise defined herein, terms defined in 24 CFR part 570
and used in this program section of this SuperNOFA shall have the
respective meanings given thereto in that part.
Brownfield means abandoned, idled, or under-used real property
(including industrial and commercial facilities) where expansion or
redevelopment is complicated by real or suspected contamination.
Brownfields Economic Development Initiative (BEDI) means the
competitive award of up to $25 million, as appropriated in the FY 1998
HUD Appropriations Act, for economic development grant assistance under
section 108(q) of the Act for the purpose of assisting public entities
in the redevelopment of brownfields.
CDBG funds means those funds as defined at 24 CFR 570.3, including
grant funds received pursuant to section 108(q) and this program
section of this SuperNOFA.
Economic Development Initiative (EDI) means the provision of
economic development grant assistance under section 108(q) of the Act,
as authorized by Section 232 of the Multifamily Housing Property
Disposition Reform Act of 1994 (Pub. L. 103-233, approved April 11,
1994).
Economic development project means an activity or activities
(including mixed use projects with housing components) that are
eligible under the Act and under 24 CFR 570.703, and that increase
economic opportunity for persons of low- and moderate-income or that
stimulate or retain businesses or jobs or that otherwise lead to
economic revitalization in connection with brownfields.
Empowerment Zone or Enterprise Community means an urban area so
designated by the Secretary of HUD pursuant to 24 CFR part 597, or a
rural area so designated by the Secretary of Agriculture pursuant to 7
CFR part 25, subpart B.
EPA means the U.S. Environmental Protection Agency.
Showcase Community means an applicant chosen by the Federal
Government's Brownfields National Partnership for inclusion in Federal
Government's Brownfields Showcase Communities program.
Strategic Plan means a strategy developed and agreed to by the
nominating local government(s) and State(s) and submitted in partial
fulfillment of the application requirements for an Empowerment Zone or
Enterprise Community designated pursuant to 24 CFR part 597.
(C) Purpose
(1) Background. HUD has multiple programs which are intended to
stimulate and promote economic and community development and can be
effectively employed to address and remedy brownfield conditions.
Primary among HUD's resources are the Community Development Block Grant
(CDBG) program and the Section 108 loan guarantee program.
The CDBG program provides grant funds ($4.195 billion in FY 1998)
to local governments (either directly or through States) to carry out
community and economic development activities. The Section 108 loan
guarantee program provides local governments with a source of financing
for economic development, housing rehabilitation, and other eligible
large scale physical development projects. HUD is authorized pursuant
to Section 108 to guarantee notes issued by CDBG entitlement
communities and non-entitlement units of general local government
eligible to receive funds under the State CDBG program. Regulations
governing the Section 108 program are found at 24 CFR part 570, subpart
M. It must be noted that the Section 108 program is subject to the
[[Page 23890]]
regulations of 24 CFR part 570 applicable to the CDBG program with the
exception of changes embodied in 24 CFR part 570, subpart M.
For FY 1998, the Section 108 program is authorized at $1.261
billion in loan guarantee authority. The full faith and credit of the
United States is pledged to the payment of all guarantees made under
Section 108. Under this program, communities (and States, if
applicable) pledge their future years' CDBG allocations as security for
loans guaranteed by HUD. The Section 108 program, however, does not
require CDBG funds to be escrowed for loan repayment (unless such an
arrangement is specifically negotiated as loan security). This means
that a community can continue to spend its existing allocation for
other CDBG purposes, unless needed for loan repayment.
(2) EDI Program. The EDI program was enacted in 1994 and is
intended to complement and enhance the Section 108 Loan Guarantee
program. The purpose of EDI (and BEDI) grant funds is to further
minimize the potential loss of future CDBG allocations:
(a) By strengthening the economic feasibility of the projects
financed with Section 108 funds (and thereby increasing the probability
that the project will generate enough cash to repay the guaranteed
loan);
(b) By directly enhancing the security of the guaranteed loan; or
(c) Through a combination of these or other risk mitigation
techniques.
(3) BEDI Program. For FY 1998, the Congress made a specific
appropriation of approximately $25 million for the EDI program to
assist in financing ``brownfields'' redevelopment. HUD intends the $25
million in Brownfields EDI (BEDI) funds available pursuant to this
program section of this SuperNOFA to be used with a particular emphasis
upon the redevelopment of brownfield sites consistent with the
statutory purpose of the FY 1998 HUD Appropriations Act. Accordingly,
BEDI funds shall be used as the stimulus for local governments and
private sector parties to commence redevelopment or continue phased
redevelopment efforts on brownfield sites where contamination is known
or suspected and redevelopment plans exist. HUD desires to see BEDI and
Section 108 funds used to finance projects and activities that will
provide near-term results and demonstrable economic benefits, such as
job creation and increases in the local tax base. HUD does not
encourage applications whose scope is limited only to site acquisition
and/or remediation (i.e., land banking).
(4) Redevelopment Focus. The redevelopment focus for BEDI-assisted
projects is also prompted by the need to provide additional security
for the Section 108 loan guarantee pursuant to 24 CFR 570.705(b)(3).
While public entities are required by the Act to pledge their current
and future CDBG funds as a source of security for the Section 108 loan
guarantee, the public entity will usually be required to furnish
additional collateral which, ideally, will be the assets financed with
the Section 108 loan funds. Clearly, a redevelopment focus for the BEDI
funds will help achieve this goal by enhancing the value and improving
the viability of projects assisted with Section 108 financing.
(5) Integration of Other Government Brownfield Programs. HUD
expects and encourages local governments which are designated through
the Federal Government's Brownfields Showcase Community program or
other brownfields programs (i.e., EPA's Assessment Pilot or Revolving
Loan Fund programs) or a State-supported brownfields program or related
economic development program to integrate efforts arising from those
programs in developing projects for assistance under HUD's BEDI and
Section 108 programs. Such applicants should elaborate upon these ties
in their response to the rating factors, where appropriate (e.g.
``Capacity of the Applicant,'' ``Soundness of Approach,'' or
``Leveraging Resources,''--Rating Factors 1, 3, and 4 respectively.)
(6) Typical Project Structures. Provided that proposals are
consistent with other CDBG requirements, including national objectives,
HUD envisions that the following project structures could be typical:
(a) Land Writedowns. Local governments may use a combination of
Section 108 and BEDI funds to acquire a brownfield site for purposes of
reconveying the site to a private developer at a discount from its
purchase price. This approach would provide the developer with an asset
of enhanced value which could be used as collateral for other sources
of funding. Such other sources of financing could be used to finance
environmental remediation or other development costs. In theory, the
level of BEDI assistance would approximate the difference between the
original cost of the site and its remediation in comparison to the
market value of the remediated property.
(b) Site Remediation Costs. Local governments may use BEDI funds in
any of several ways to address site remediation costs. If the local
government used Section 108 funds to acquire real property, BEDI funds
could be used to address assessment and site remediation costs as part
of demolition, clearance, or site preparation activities. If the local
government used Section 108 funds to make a loan to a developer, BEDI
funds could be granted to the developer for the purpose of addressing
remediation costs as part of an economic development activity.
(c) Funding Reserves. The cash flow generated by an economic
development project may be expected to be relatively ``thin'' in the
early stages of the project, i.e. potentially insufficient cash flows
to meet operating expenses and debt service obligations. The BEDI grant
can make it possible for reserves to be established in a way that
enhances the economic feasibility of the project.
(d) Over-Collateralizing the Section 108 Loan.
(i) The use of BEDI grant funds may be structured in appropriate
cases so as to improve the likelihood that project-generated cash flow
will be sufficient to cover debt service on the Section 108 loan and
directly to enhance the guaranteed loan. One technique for
accomplishing this approach is over-collateralization of the Section
108 loan.
(ii) An example is the creation of a loan pool made up of Section
108 and BEDI grant funds. The community would make loans to various
businesses from the combined pool at an interest rate equal to or
greater than the rate on the Section 108 loan. The total loan portfolio
would be pledged to the repayment of the Section 108 loan.
(e) Direct Enhancement of the Security of the Section 108 Loan. The
BEDI grant can be used to cover the cost of providing enhanced
security. An example of how the BEDI grant can be used for this purpose
is by using the grant funds to cover the cost of a standby letter of
credit, issued in favor of HUD. This letter of credit will be available
to fund amounts due on the Section 108 loan if other sources fail to
materialize and will, thus, serve to protect the public entity's future
CDBG funds.
(f) Provision of Financing to For-Profit Businesses at a Below
Market Interest Rate.
(i) While the rates on loans guaranteed under Section 108 are only
slightly above the rates on comparable U.S. Treasury obligations, they
may nonetheless be higher than can be afforded by businesses in
severely economically distressed neighborhoods. The BEDI grant can be
used to make Section 108 financing affordable.
(ii) BEDI grant funds could serve to ``buy down'' the interest rate
up front,
[[Page 23891]]
or make full or partial interest payments, allowing the businesses to
be financially viable in the early start-up period not otherwise
possible with Section 108 alone. This strategy would be particularly
useful where a community was undertaking a large commercial/retail
project in a distressed neighborhood to act as a catalyst for other
development in the area.
(g) Combination of Techniques. An applicant could employ a
combination of these or other techniques in order to implement a
strategy that carries out an economic development project.
(D) Amount Allocated
HUD has available a maximum of $25 million for the BEDI program, as
appropriated in the FY 1998 HUD Appropriations Act for the purpose of
assisting public entities in the redevelopment of brownfields.
(E) Eligibility to Apply for Grant Assistance
Any public entity eligible to apply for Section 108 loan guarantee
assistance in accordance with 24 CFR 570.702 may apply for BEDI grant
assistance under section 108(q). Eligible applicants are CDBG
entitlement units of general local government and non-entitlement units
of general local government eligible to receive loan guarantees under
24 CFR part 570, subpart M. Note that effective January 25, 1995, non-
entitlement public entities in the states of New York and Hawaii were
authorized to apply to HUD for Section 108 loans (see 59 FR 47510,
December 27, 1994). Thus non-entitlement public entities in all 50
states and Puerto Rico are eligible to participate in the Section 108
and BEDI programs.
(F) Related Section 108 Loan Guarantee Application
(1) Each BEDI application must be accompanied by a request for new
Section 108 loan guarantee assistance. Both the BEDI and Section 108
funds must be used in conjunction with the same economic development
project. This request may take any of several forms as defined below.
(a) A formal application for new Section 108 loan guarantee(s),
including the documents listed at 24 CFR 570.704(b);
(b) A brief description (not to exceed three pages) of a new
Section 108 loan guarantee application(s). Such 108 application(s) will
be submitted within 60 days, with HUD reserving the right to extend
such period for good cause on a case-by-case basis, of a notice of BEDI
selection. BEDI awards will be conditioned on approval of actual
Section 108 loan commitments. This description must be sufficient to
support the basic eligibility of the proposed project or activities for
Section 108 assistance. (See Section I(G) of this program section of
this SuperNOFA.);
(c) If applicable, a copy of a Section 108 loan guarantee approval
document with grant number and date of approval (which was approved
after the date of this SuperNOFA, except in conjunction with a previous
EDI award); or
(d) A request for a Section 108 loan guarantee amendment (analogous
to Section I(F)(1) (a) or (b) of this BEDI section of the SuperNOFA)
that proposes to increase the amount of a previously approved
application. However, any amount of Section 108 loan guarantee
authority approved before the date of this SuperNOFA is not eligible to
be used in conjunction with a BEDI grant under this SuperNOFA.
(2) Further, a Section 108 loan guarantee amount that is required
to be used in conjunction with a prior EDI grant award, whether or not
the Section 108 loan guarantee has been approved as of the date of this
SuperNOFA, is not eligible for a BEDI award under this SuperNOFA. For
example, if a public entity has a previously approved Section 108 loan
guarantee commitment of $12 million, even if none of the funds have
been utilized, or if the public entity had previously been awarded an
EDI grant of $1 million and had certified that it will submit a Section
108 loan application for $10 million in support of that EDI grant, the
public entity's application under this program section of this
SuperNOFA must propose to increase the amount of its total Section 108
loan guarantee commitments beyond those amounts (the $12 million or $10
million in this example) to which it has previously agreed.
(G) Eligible Activities and National Objectives
BEDI grant funds may be used for activities listed at 24 CFR
570.703, provided such activities are carried out as part of an
economic development project as defined in Section I(B) of this BEDI
section of this SuperNOFA. Each activity assisted with Section 108 loan
guarantee or BEDI funds must meet a national objective of the CDBG
program as described in 24 CFR 570.208. In the aggregate, a grantee's
use of CDBG funds, including any Section 108 loan guarantee proceeds
and section 108(q) (EDI) funds provided pursuant to this program
section of this SuperNOFA, must comply with the CDBG primary objectives
requirements as described in section 101(c) of the Housing and
Community Development Act of 1974, as amended, and 24 CFR 570.200(c)(3)
or 570.484 in the case of State grantees. The foregoing eligible
activities may also include:
(1) Payment of costs of private financial guaranty insurance
policies, letters of credit, or other credit enhancements for the notes
or other obligations guaranteed by HUD pursuant to Section 108,
provided that the proceeds of such notes or obligations are used to
finance an economic development project. Such enhancements shall be
specified in the contract required by 24 CFR 570.705(b)(1), and shall
be satisfactory in form and substance to HUD for security purposes; and
(2) The payment of interest due (and other costs such servicing,
underwriting, or other costs as may be authorized by HUD) on the notes
or other obligations guaranteed by HUD pursuant to the Section 108 loan
guarantee program.
(H) Limitations on Use of BEDI and Section 108 Funds
Certain restrictions shall apply to the use of BEDI and Section 108
funds:
(1) BEDI grants shall not be used as a resource to immediately
repay the principal of a loan guaranteed under Section 108. Repayment
of principal is only permissible with BEDI grant funds as a matter of
security if other sources projected for repayment of principal prove to
be unavailable.
(2) BEDI grant funds shall not be used in any manner by grantees to
provide public or private sector entities with funding to remediate
conditions caused by their actions, where the public entity (or other
known prospective beneficiary of the proposed BEDI grant) has been
determined responsible for causation and remediation by order of a
court or a Federal, State, or local regulatory agency, or is
responsible for the remediation as part of a settlement approved by
such a court or agency.
(3) Applicants may not propose projects on sites which are listed
or proposed to be listed on EPA's National Priority List (NPL).
Further, applicants are cautioned against proposing projects on sites
where the nature and degree of environmental contamination is not well
quantified or which are the subject of on-going litigation or
environmental enforcement action.
(4) Applicants are cautioned against using Section 108 funds to
finance activities which also include financing generated through the
issuance of federally tax exempt obligations. Pursuant to Office of
Management and Budget (OMB) Circular A-129 (Policies
[[Page 23892]]
for Federal Credit Programs and Non-Tax Receivables), Section 108
guaranteed loan funds may not directly or indirectly support federally
tax-exempt obligations.
(I) Limitations on Grant Amounts
(1) HUD expects to approve BEDI grant amounts for approvable
applications at a range of ratios of BEDI grant funds awarded to new
Section 108 loan guarantee commitments but the minimum ratio will be $1
of Section 108 loan guarantee commitments for every $1 of BEDI grant
funds. However, applicants that propose a leverage ratio of 1:1 will
not receive any points under the Rating Subfactor 4(1): ``Leverage of
Section 108 Funds.''
For example, an applicant requesting a BEDI grant of $1 million
will be required to leverage a minimum of at least $1 million in new
Section 108 loan guarantee commitments. This will be a special
condition of the BEDI grant award. Of course, even though there is a
minimum ratio of 1:1, applications with higher ratios will receive more
points under Rating Factor 4, ``Leveraging Resources/Financial Need''
and, all other things being equal, will be more competitive. Applicants
are encouraged to propose projects with a greater leverage ratio of new
Section 108 to BEDI grant funds (assuming such projects are financially
viable). For example $1 million of BEDI could leverage $12 million of
new Section 108 loan commitments. HUD intends that the BEDI funds will
be used for projects which leverage the greatest possible amount of
Section 108 loan guarantee commitments.
(2) HUD expects that the average grant size will be approximately
$1 million.
(3) In the event the applicant is awarded a BEDI grant that has
been reduced below the original request (e.g. the application contained
some activities that were ineligible or there were insufficient funds
to fund the last competitive application at the full amount requested),
the applicant will be required to modify its project plans and
application to conform to the terms of HUD approval before execution of
a grant agreement. HUD reserves the right to reduce or de-obligate the
BEDI award if approvable Section 108 loan guarantee applications are
not submitted by the grantee in the required amounts on a timely basis.
Any requested modifications must be within the scope of the original
BEDI application.
(4) In the case of requested amendments to a previously approved
Section 108 loan guarantee commitment (as further discussed in section
I(F)(1)(d) above), the BEDI assistance approved will be based on the
increased amount of Section 108 loan guarantee assistance.
(J) Timing of Grant Awards
(1) To the extent a full Section 108 application is submitted with
the BEDI grant application, the Section 108 application will be
evaluated concurrently with the request for BEDI grant funds. Note that
BEDI grant assistance cannot be used to support a Section 108 loan
guarantee approved prior to the date of the publication of this
SuperNOFA. However, the BEDI grant may be awarded prior to HUD approval
of the Section 108 commitment if HUD determines that such award will
further the purposes of the Act.
(2) HUD notification to the grantee of the amount and conditions
(if any) of BEDI funds awarded based upon review of the BEDI
application shall constitute an obligation of grant funds, subject to
compliance with the conditions of award and execution of a grant
agreement. BEDI funds shall not be disbursed to the public entity
before the issuance of the related Section 108 guaranteed obligations.
II. Program Requirements
In addition to the program requirements listed in the General
Section of this SuperNOFA, applicants are subject to the following
requirements.
(A) CDBG Program Regulations
The requirements of 24 CFR part 570, including subpart K (Other
Program Requirements).
(B) Environmental Review
After the completion of this competition and after HUD's award of
BEDI grant funds, pursuant to 24 CFR 570.604, each project or activity
assisted under this program is subject to the provisions of 24 CFR part
58, including limitations on the EDI grant and Section 108 public
entity's commitment of HUD and non-HUD funds prior to the completion of
environmental review, notification and release of funds. No such
assistance will be released by HUD until a request for release of funds
is submitted and the requirements of 24 CFR part 58 have been met. All
public entities, including nonentitlement public entities, shall submit
the request for release of funds and related certification, pursuant to
24 CFR part 58, to the appropriate HUD field office for each project to
be assisted.
(C) Environmental Justice
(1) Executive Order 12898 (Federal Actions to Address Environmental
Justice in Minority Populations and Low-Income Populations directs
Federal agencies to develop strategies to address environmental
justice. Environmental justice seeks to rectify the disproportionately
high burden of environmental pollution that is often borne by low-
income, minority, and other disadvantaged communities, and to ensure
community involvement in policies and programs addressing this issue.
(2) Brownfields are often located in distressed neighborhoods,
contribute to neighborhood blight, and lower the quality of social,
economic, and environmental health of communities. The BEDI program is
intended to promote the clean up and redevelopment of brownfield sites
and, to this end, HUD expects that projects presented for BEDI funding
will integrate environmental justice concerns and provide demonstrable
benefits for affected communities and their residents.
(D) Compliance With Applicable Laws
Applicants are advised that an award of BEDI funding does not in
any way relieve the applicant or third parties users of BEDI funds from
compliance with all applicable Federal, State and local laws,
particularly those addressing the environment. Applicants are further
advised that HUD may require evidence that any project involving
remediation has been or will be carried out in accordance with State
law, including voluntary clean up programs.
III. The Application Selection Process
(A) Rating and Ranking
(1) Each rating factor and the maximum number of points is provided
below. The maximum number of points to be awarded is 102. This includes
two EZ/EC bonus points as described in the General Section of the
SuperNOFA, or two bonus points for having received a federal
designation as a Brownfields Showcase Community.
(2) Once scores are assigned, all applications will be ranked in
order of points assigned, with the applications receiving more points
ranking above those receiving fewer points. Applications will be funded
in rank order.
(3) If HUD determines that an application rated, ranked and
fundable could be funded at a lesser BEDI grant amount than requested
consistent with feasibility of the funded project or activities and the
purposes of the Act,
[[Page 23893]]
HUD reserves the right to reduce the amount of the BEDI award and/or
increase the Section 108 loan guarantee commitment, if necessary, in
accordance with such determination. An application in excess of $1
million may be reduced below the amount requested by the applicant if
HUD determines that such a reduction is appropriate.
(4) HUD may decide not to award the full amount of BEDI grant funds
available under this program section of this SuperNOFA and may make any
remaining amounts available under a future SuperNOFA.
(B) Narrative Statement
Each applicant shall provide a narrative statement describing the
activities that will be carried out with the BEDI grant funds and
explaining the nature and extent of the Brownfield's problems(s)
affecting the project. The narrative statement shall not exceed three
(3) 8.5'' by 11'' pages for the description of the activities to be
carried out with the BEDI grant funds. The description of activities
should include a statement of how the proposed uses of BEDI funds will
meet the national objectives for the CDBG program under 24 CFR 570.208
and qualify as eligible activities under 24 CFR 570.703. Citations to
the specific regulatory subsections supporting eligibility are
recommended, but a narrative description will be accepted. See Section
I(G) of this program section of this SuperNOFA. The applicant shall
also provide a narrative response to the rating factors below. Each of
the listed rating factors (or, where applicable, each subfactor) below
also has a separate page limitation specified. Narrative statements
must be printed in 12 point type/font, and have sequentially numbered
pages.
(C) Factors for Award Used to Evaluate and Rate Applications
All applications will be considered for selection based on the
following factors that demonstrate the quality of the proposed project
or activities, and the applicant's creativity, capacity and commitment
to obtain maximum benefit from the BEDI funds, in accordance with the
purposes of the Act.
Rating Factor 1: Capacity of the Applicant and Relevant Organizational
Experience (15 Points)
[Your response to this factor is limited to three (3) pages.]
This factor addresses the extent to which the applicant has the
organizational resources necessary to successfully implement the
proposed activities in a timely manner. The rating of the ``applicant''
or the ``applicant's organization and staff'' for technical merit or
threshold compliance, unless otherwise specified, will include any
faculty, subcontractors, consultants, subrecipients, and members of
consortia which are firmly committed (i.e. has a written agreement or a
signed letter of understanding with the applicant agreeing in principle
to its participation and role in the project). In rating this factor,
HUD will consider the following:
(1) With regard to the BEDI/Section 108 project proposed by the
applicant, the applicant should demonstrate that it has the capacity to
implement the specific steps required to successfully carry out the
proposed BEDI/Section 108 project. This includes factors such as the
applicant's:
(a) Performance in the administration of its CDBG, HOME or other
programs;
(b) Previous experience, if any, in administering a Section 108
loan guarantee;
(c) Performance and capacity in carrying out economic development
projects;
(d) Performance and capacity to carry out Brownfields redevelopment
projects;
(e) Ability to conduct prudent underwriting;
(f) Capacity to manage and service loans made with the guaranteed
loan funds or previous EDI grant funds;
(g) Capacity to carry out its projects and programs in a timely
manner; and,
(h) If applicable, the applicant's capacity to manage projects
under this program section of this SuperNOFA along with any federal
funds awarded as a result of a federal urban Empowerment Zone/
Enterprise Community designation.
(2) If an applicant has previously received an EDI grant award(s),
the applicant must describe the status of the implementation of that
EDI-assisted project(s), any delays that have been encountered and the
actions the applicant is taking to overcome any such delays in order to
carry out the project in a timely manner. For such previously funded
EDI grant projects, HUD will consider the extent to which the awarded
EDI grant funds and the associated Section 108-guaranteed loan funds
have been utilized.
(3) The capacity of subrecipients, nonprofit organizations and
other entities that have a role in implementing the proposed program
will be included in this review. HUD may also rely on information from
performance reports, financial status information, monitoring reports,
audit reports and other information available to HUD in making its
determination under this factor.
Rating Factor 2: Distress/Extent of the Problem (15 Points)
[Your response to this factor is limited to three (3) pages.]
This factor addresses the extent to which there is need for funding
the proposed activities based on levels of distress, and an indication
of the urgency of meeting the need/distress in the target area.
(1) In applying this factor, HUD will consider current levels of
distress in the immediate community to be served by the project and the
jurisdiction applying for assistance. Applicants who are able to
indicate a level of distress in the immediate project area that is
greater than the level of distress in the applicant's jurisdiction as a
whole will receive a higher score under this factor than those who do
not. HUD requires that applicants use sound and reliable data that is
verifiable to support the level of distress claimed in the application.
The applicant shall provide a source for the information it uses.
(2) In previous EDI competitions, the poverty rate was often
considered the best indicator of distress; however, the applicant may
demonstrate the level of distress with other factors such as income
levels and unemployment rates.
(3) HUD will consider a project to have maximum distress if the
project(s) is located within the boundaries of a federally-designated
Empowerment Zone or Enterprise Community (Applicants will be
responsible for demonstrating that the project site is within the
boundaries of the applicant's EZ/EC area).
(4) To the extent that the applicant's Consolidated Plan and its
Analysis of Impediments to Fair Housing choice (AI) identifies the
level of distress in the community and the neighborhood in which the
project is being carried out, the applicant should include references
to such documents in preparing its response to this factor.
Rating Factor 3: Soundness of Approach (25 Points)
[Your response to this factor is limited to three (3) pages.]
This factor addresses the quality and cost-effectiveness of the
applicant's proposed plan. There must be a clear relationship between
the proposed activities, community needs and purposes of the program
funding for an applicant to receive points for this factor. In rating
this factor, HUD will consider the following:
(1) HUD will consider the quality of the applicant's plan/proposal
for the use
[[Page 23894]]
of BEDI funds and Section 108 loan funds, including the extent to which
the applicant's proposed plan for the effective use of BEDI grant/
Section 108 loan guarantee will address the needs described in Rating
Factor 2 above regarding the distress and extent of the problem in the
applicant's immediate community and/or its jurisdiction.
(2) HUD will consider the extent to which the plan is logically,
feasibly, and substantially likely to achieve its stated purpose. HUD's
desire is to fund projects and activities which will quickly produce
demonstrable results and advance the public interest including the
number of jobs to be created by the project. An applicant should
demonstrate that it has a clear understanding of the steps required to
implement its project, the actions that it and others responsible for
implementing the project must complete and shall include a reasonable
time schedule for carrying out the project.
(3) The applicant's response to this factor should take into
account certain site selection, planning, and environmental issues.
Further, applicants are cautioned against proposing projects on sites
where the nature and degree of environmental contamination is not well
quantified or which are the subject of on-going litigation or
environmental enforcement. To reiterate, HUD's desire is to fund
projects and activities which will quickly produce demonstrable results
and advance the public interest. Sites with unknown or exceptionally
expensive contamination problems may be beyond the scope of the BEDI
program's financial resources and sites subject to pending and current
litigation may not be available for remediation and development in a
timeframe consistent with HUD's desire for rapid progress in the use of
BEDI and Section 108 funds.
(4) The BEDI program is intended to promote the clean up and
redevelopment of brownfield sites and, to this end, HUD expects that
projects presented for BEDI funding will integrate environmental
justice concerns and provide demonstrable benefits for affected
communities and their residents.
(5) HUD will evaluate the extent to which the applicant's project
incorporates one or more elements that facilitate a successful
transition of welfare recipients from welfare to work. Such an element
could include, for example, linking the proposed project or loan fund
to social and/or other services needed to enable welfare recipients to
successfully secure and carry out full-time jobs in the private sector;
provision of job training to welfare recipients who might be hired by
businesses financed through the proposal; and/or incentives for
businesses financed with BEDI/section 108 funds to hire and train
welfare recipients.
(6) Up to two (2) additional points will be awarded to any
application submitted by the City of Dallas, Texas, to the extent this
subfactor is addressed. Due to an order of the U.S. District Court for
the Northern District of Texas, Dallas Division, with respect to any
application submitted by the City of Dallas, Texas, HUD's consideration
of the applicant's response to this factor, ``Soundness of Approach''
will include the extent to which the applicant's plan for the use of
BEDI funds and Section 108 loans will be used to eradicate the vestiges
of racial segregation in the Dallas Housing Authority's programs
consistent with the Court's order.
Rating Factor 4: Leveraging Resources/Financial Need (35 Points)
[Page limits for the response to this factor are listed separately for
each subfactor under this factor.]
In evaluating this factor, HUD will consider the extent to which
the applicant's response demonstrates the financial need and
feasibility of the project and the leverage ratio of Section 108 loan
proceeds to BEDI grant funds. This factor has three subfactors, each
with its own maximum point total:
(1) Leverage of Section 108 funds (20 points). [Your response to
this subfactor is limited to one (1) page.] The minimum ratio of
Section 108 funds to BEDI funds in any project may not be less than
1:1. The extent to which the proposed project leverages an amount of
Section 108 funds beyond the 1:1 ratio will be considered a positive
factor. Applicants that have a ratio of 1:1 will not receive any points
under this subfactor. Applicants that use their BEDI grant to leverage
more Section 108 commitments will receive more points under this
subfactor.
(2) Financial feasibility (10 points). [Your response to this
subfactor is limited to three (5) pages.] HUD will consider the extent
to which the applicant demonstrates that the project is financially
feasible. This may include factors such as:
(a) Project costs and financial requirements. Applicants should
provide a funding sources and uses statement (not included in 5 page
narrative limit) as well as justifications for project costs.
(b) The amount of any debt service or operating reserve accounts to
be established in connection with the economic development project.
(c) The reasonableness of the costs of any credit enhancement paid
with BEDI grant funds.
(d) The amount of program income (if any) to be received each year
during the repayment period for the guaranteed loan.
(e) Interest rates on those loans to third parties (other than
subrecipients) (either as an absolute rate or as a plus/minus spread to
the Section 108 rate).
(f) Underwriting criteria that will be used in determining project
feasibility.
(3) Leverage of other financial resources (5 points). [Your
response to this subfactor is limited to one (1) page plus supporting
documentation evidencing third party commitment (written and signed) of
funds.] HUD will evaluate the extent to which the applicant leverages
other funds (public or private) with BEDI grant funds and section 108
guaranteed loan funds and the extent to which such other funds are
firmly pledged to the project. This could include the use of CDBG
funds, other Federal or state grants or loans, a grantee's general
funds, project equity or commercial financing provided by private
sources or funds from non-profits or other sources. Funds will be
considered pledged to the project if there is evidence of the third
party's written commitment to make the funds available for the BEDI/108
project, subject to approval of the BEDI and Section 108 assistance and
completion of any environmental clearance required under 24 CFR part 58
for the project. Note that with respect to CDBG funds, the applicant's
pledge of its CDBG funds will be considered sufficient commitment.
Rating Factor 5: Comprehensiveness and Coordination (10 Points)
[Your response to this factor is limited to two (2) pages.]
This factor addresses the extent to which the applicant coordinated
its activities with other known organizations, participates or promotes
participation in the applicant's or a State's Consolidated Planning
process, and is working towards addressing a need in a comprehensive
manner through linkages with other activities in the community.
In evaluating this factor, HUD will consider the extent to which
the applicant demonstrates it has:
(1) Coordinated its proposed activities with those of other groups
or organizations prior to submission in order to best complement,
support and coordinate all known activities and if funded, the specific
steps it will take to share information on solutions and outcomes with
others. Any written
[[Page 23895]]
agreements, memoranda of understanding in place, or that will be in
place after award should be described.
(2) Developed linkages, or the specific steps it will take to
develop linkages with other activities, programs or projects through
meetings, information networks, planning processes or other mechanisms
to coordinate its activities so solutions are holistic and
comprehensive, including linkages with other HUD-funded projects/
activities outside the scope of those covered by the Consolidated Plan.
(3) Coordinated its efforts with other Federal, State or locally
supported activities, including EPA's various Brownfields initiatives,
and those proposed or on-going in the community.
IV. Application Submission Requirements
(A) Public entities seeking BEDI assistance must make a specific
request for that assistance, in accordance with the requirements of
this program section of this SuperNOFA.
(B) The application should include an original and one copy of the
items listed below submitted to HUD Headquarters (see the section
``Addresses For Submitting Applications in this program section of this
SuperNOFA), with one additional copy submitted directly to the
Community Planning and Development Division of the cognizant HUD Field
Office for the applicant's jurisdiction.
(C) A BEDI application shall consist of the following items:
(1) Transmittal letter from applicant;
(2) Table of contents;
(3) Application check list (supplied in application kit);
(4) A request for loan guarantee assistance under Section 108, as
further described in Section I(F) of this program section of this
SuperNOFA. Application guidelines for the Section 108 program are found
at 24 CFR 570.704;
(5) As described in Section III(B) of this program section of this
SuperNOFA, a narrative statement (3 page limit) describing the
activities that will be carried out with the BEDI grant funds;
(6) Responses to each of the rating factors (within the page limits
provided for each factor or subfactor as applicable);
(7) Completion of a funding sources and uses statement and a BEDI
and Section 108 eligibility statement (see the application kit);
(8) Written agreements or signed letters of understanding in
support of Rating Factor 1: ``Capacity of the Applicant and Relevant
Organizational Experience'';
(9) Signed third party commitment letters pledging funds in support
of subfactor 4(2): ``Leverage of other financial resources'';
(10) Required certifications; and
(11) Acknowledgement of Application Receipt form.
V. Corrections to Deficient Applications
The General Section of the SuperNOFA provides the procedures for
corrections to deficient applications.
BILLING CODE 4210-32-P
Federal Register / Vol. 63, No. 83 / Thursday, April 30, 1998 /
Notices
[[Page 23897]]
[GRAPHIC] [TIFF OMITTED] TN30AP98.008
BILLING CODE 4210-32-C
Federal Register / Vol. 63, No. 83 / Thursday, April 30, 1998 /
Notices
[[Page 23899]]
Funding Availability for the Economic Development Initiative (EDI)
Program Description: Approximately $38 million is available for
Economic Development Initiative (EDI) grants under Section 108(q) of
the Housing and Community Development Act of 1974, as amended. (Please
see Section I(D) of this EDI section of the SuperNOFA for possible set-
aside.) EDI funds are used to enhance the security of the Section 108
guaranteed loan for the same project or to improve the viability of a
project financed with a Section 108-guaranteed loan. An EDI grant is
required to be used in conjunction with a new Section 108 guaranteed
loan commitment.
Application Due Date: Completed applications (one original and two
copies) must be submitted no later than 12:00 midnight, Eastern time,
on July 30, 1998 to the addresses shown below. See the General Section
of this SuperNOFA for specific procedures governing the form of
application submission (e.g., mailed applications, express mail,
overnight delivery, or hand carried).
Address for Submitting Applications
To HUD Headquarters. The completed application (an original and one
copy) must be submitted to: Processing and Control Unit, Room 7255,
Office of Community Planning and Development, Department of Housing and
Urban Development, 451 Seventh Street, SW, Washington, DC 20410,
Attention: EDI Grant, by mail or hand delivery.
To the Appropriate CPD Field Office. An additional copy should be
submitted to the Community Planning and Development Division of the
appropriate HUD Field Office for the applicant's jurisdiction.
When submitting your application, please refer to EDI, and include
your name, mailing address (including zip code) and telephone number
(including area code).
For Application Kits, Further Information, and Technical Assistance
For Application Kits. For an application kit and any supplemental
information, please call HUD's SuperNOFA Information line toll free at
1-800-HUD-8929. Persons with hearing or speech impairments may call the
Center's TTY number at 1-800-HUD-2209 to obtain an application kit. The
application kit will also be available on the Internet through the HUD
web site at http://www.hud.gov. When requesting the application kit,
please refer to EDI. Please make sure to provide your name, address
(including zip code), and telephone number (including area code).
For Further Information and Technical Assistance. Contact either
Stan Gimont or Paul Webster, Financial Management Division, Office of
Block Grant Assistance, Department of Housing and Urban Development,
451 Seventh Street, SW, Room 7178, Washington, DC 20410; telephone
(202) 708-1871 (this is not a toll-free number). Persons with speech or
hearing impairments may access this number via TTY by calling the toll-
free Federal Information Relay Service at 1-800-877-8339.
See the General Section of this SuperNOFA for guidance on technical
assistance. With respect to the Section 108 Loan Guarantee program,
which is not a competitive program and thus not subject to those
provisions of the HUD Reform Act pertaining to competitions, HUD staff
will be available to provide advice and assistance to develop Section
108 loan applications.
Additional Information
I. Authority; Definitions; Purpose; Amount Allocated; and
Eligibility
(A) Authority
Section 108(q), Title I, Housing and Community Development Act of
1974, as amended (42 U.S.C. 5301-5320) (the Act); 24 CFR part 570.
(B) Definitions
Unless otherwise defined herein, terms defined in 24 CFR part 570
and used in this program section of this SuperNOFA shall have the
respective meanings given thereto in that part.
CDBG funds means those funds as defined at 24 CFR 570.3, including
grant funds received pursuant to section 108(q) of the Act and this
program section of this SuperNOFA.
Economic Development Initiative (EDI) means the provision of
economic development grant assistance under section 108(q) of the Act,
as authorized by Section 232 of the Multifamily Housing Property
Disposition Reform Act of 1994 (Pub.L. 103-233, approved April 11,
1994).
Economic development project means an activity or activities
(including mixed use projects with housing components) that are
eligible under the Act and under 24 CFR 570.703, and that increase
economic opportunity for persons of low- and moderate-income or that
stimulate or retain businesses or jobs or that otherwise lead to
economic revitalization.
Empowerment Zone or Enterprise Community means an urban area so
designated by the Secretary of HUD pursuant to 24 CFR part 597, or a
rural area so designated by the Secretary of Agriculture pursuant to 7
CFR part 25, subpart B.
Strategic Plan means a strategy developed and agreed to by the
nominating local government(s) and State(s) and submitted in partial
fulfillment of the application requirements for an Empowerment Zone or
Enterprise Community designated pursuant to 24 CFR part 597.
(C) Purpose
(1) Background. HUD has multiple programs which are intended to
stimulate and promote economic and community development. Primary among
HUD's resources are the Community Development Block Grant (CDBG)
program and the Section 108 loan guarantee program.
The CDBG program provides grant funds ($4.195 billion in FY 1998)
to local governments (either directly or through States) to carry out
community and economic development activities. The Section 108 loan
guarantee program provides local governments with a source of financing
for economic development, housing rehabilitation and other eligible
large scale physical development projects. HUD is authorized pursuant
to Section 108 to guarantee notes issued by CDBG entitlement
communities and non-entitlement units of general local government
eligible to receive funds under the State CDBG program. Regulations
governing the Section 108 program are found at 24 CFR part 570, subpart
M. It must be noted that the Section 108 program is subject to the
regulations of 24 CFR part 570 applicable to the CDBG program with the
exception of changes embodied in 24 CFR part 570, subpart M.
For FY 1998, the Section 108 program is authorized at $1.261
billion in loan guarantee authority. The full faith and credit of the
United States is pledged to the payment of all guarantees made under
Section 108. Under this program, communities (and States, if
applicable) pledge their future years' CDBG allocations as security for
loans guaranteed by HUD. The Section 108 program, however, does not
require CDBG funds to be escrowed for loan repayment (unless such an
arrangement is specifically negotiated as loan security). This means
that a community can continue to spend its existing allocation for
other CDBG purposes, unless needed for loan repayment.
(2) EDI Program. The EDI program was enacted in 1994 and is
intended to complement and enhance the Section 108 Loan Guarantee
program. The
[[Page 23900]]
purpose of EDI grant funds is to further minimize the potential loss of
future CDBG allocations:
(a) By strengthening the economic feasibility of the projects
financed with Section 108 funds (and thereby increasing the probability
that the project will generate enough cash to repay the guaranteed
loan);
(b) By directly enhancing the security of the guaranteed loan; or
(c) Through a combination of these or other risk mitigation
techniques.
(3) Purpose of EDI Funding. HUD intends the approximately $38
million in EDI funds to stimulate economic development by local
governments and private sector parties. HUD desires to see EDI and
Section 108 funds used to finance projects and activities that will
provide near-term results and demonstrable economic benefits, such as
job creation and increases in the local tax base.
(4) Additional Security for Section 108 Loan Guarantee. Public
entities should be mindful of the need to provide additional security
for the Section 108 loan guarantee pursuant to 24 CFR 570.705(b)(3).
Although a public entity is required by the Act to pledge its current
and future CDBG funds as security for the Section 108 loan guarantee,
the public entity will usually be required to furnish additional
collateral. In most cases, the additional collateral consists (in whole
or in part) of the asset financed with the Section 108 loan funds
(e.g., a loan made to a business as part of an economic development
project). Applications proposing uses for EDI funding that enhance the
viability of projects will help ensure that the project-based asset(s)
will satisfy the additional collateral requirements.
(5) Typical Project Structures. Provided that proposals are
consistent with other CDBG requirements, including national objectives,
HUD envisions that the following project structures could be typical:
(a) Funding Reserves. The cash flow generated by an economic
development project may be expected to be relatively ``thin'' in the
early stages of the project, i.e. potentially insufficient cash flows
to meet operating expenses and debt service obligations. The EDI grant
can make it possible for reserves to be established in a way that
enhances the economic feasibility of the project.
(b) Over-Collateralizing the Section 108 Loan.
(i) The use of EDI grant funds may be structured in appropriate
cases so as to improve the likelihood that project-generated cash flow
will be sufficient to cover debt service on the Section 108 loan and
directly to enhance the guaranteed loan. One technique for
accomplishing this approach is over-collateralization of the Section
108 loan.
(ii) An example is the creation of a loan pool funded with Section
108 and EDI grant funds. The community would make loans to various
businesses from the combined pool at an interest rate equal to or
greater than the rate on the Section 108 loan. The total loan portfolio
would be pledged to the repayment of the Section 108 loan.
(c) Direct Enhancement of the Security of the Section 108 Loan. The
EDI grant can be used to cover the cost of providing credit
enhancements. An example of how the EDI grant can be used for this
purpose is by using the grant funds to cover the cost of a standby
letter of credit, issued in favor of HUD. This letter of credit will be
available to fund amounts due on the Section 108 loan if other sources
fail to materialize and will, thus, serve to protect the public
entity's future CDBG funds.
(d) Provision of Financing to For-Profit Businesses at a Below
Market Interest Rate.
(i) While the rates on loans guaranteed under Section 108 are only
slightly above the rates on comparable U.S. Treasury obligations, they
may nonetheless be higher than can be afforded by businesses in
severely economically distressed neighborhoods. The EDI grant can be
used to make Section 108 financing affordable.
(ii) EDI grant funds could serve to ``buy down'' the interest rate
up front, or make full or partial interest payments, allowing the
businesses to be financially viable in the early start-up period not
otherwise possible with Section 108 alone. This strategy would be
particularly useful where a community was undertaking a large
commercial/retail project in a distressed neighborhood to act as a
catalyst for other development in the area.
(e) Combination of Techniques. An applicant could employ a
combination of these or other techniques in order to implement a
strategy that carries out an economic development project.
(D) Amount Allocated
HUD has available a maximum of approximately $38 million for the
EDI program, as appropriated in the FY 1998 HUD Appropriations Act. If
any additional EDI grant monies for this SuperNOFA become available,
HUD may either fund additional applicants in accordance with this
SuperNOFA during Fiscal Year 1998 or may add any funds that become
available to funds available for any future EDI competitions.
As part of EDI, HUD is developing a program enhancement designed to
reduce the risk that CDBG funds will have to be used to repay Section
108 loans that finance economic development projects. This mechanism
will allow public entities to pool economic development loans and
related reserves. The diversification created by the pooling of loans
and reserves will reduce the risk that a public entity will incur a
catastrophic loss to its CDBG program if a business defaults on an
economic development loan made with Section 108 funds. The CDBG Risk
Reduction Pool will also assist public entities in satisfying the
collateral requirements for Section 108 loans. The pool's reserves and
incremental cash flows will provide an additional credit enhancement
for the Section 108 loan and thereby satisfy Section 108 additional
collateral requirements. The HUD budget for FY 1999 has requested $400
million for an enhanced EDI program that includes features of this
mechanism.
HUD is developing this pooling mechanism in consultation with other
Federal agencies and outside experts. HUD is considering a $10 million
demonstration in FY 1998. If the demonstration occurs, then $28 million
will be available for the EDI competition announced in this SuperNOFA.
In this event, HUD will publish a supplementary notice to the EDI
program section of this SuperNOFA announcing the availability of the
$10 million for an FY 1998 demonstration of this mechanism. Should
there be no demonstration in FY 1998, then HUD reserves the right to
utilize the $10 million for the EDI competition announced in this
SuperNOFA, making the total amount available $38 million.
(E) Eligibility to Apply for Grant Assistance
Any public entity eligible to apply for Section 108 loan guarantee
assistance pursuant to 24 CFR 570.702 may apply for EDI grant
assistance under Section 108(q). Eligible applicants are CDBG
entitlement units of general local government and non-entitlement units
of general local government eligible to receive loan guarantees under
24 CFR part 570, subpart M. Note that effective January 25, 1995, non-
entitlement public entities in the states of New York and Hawaii were
authorized to apply to HUD for Section 108 loans (see 59 FR 47510,
December 27, 1994). Thus, non-entitlement public entities in all 50
states and Puerto Rico are eligible to
[[Page 23901]]
participate in the Section 108 and EDI programs.
(F) Related Section 108 Loan Guarantee Application
(1) Each EDI application must be accompanied by a request for new
Section 108 loan guarantee assistance. Both the EDI and Section 108
funds must be used in conjunction with the same economic development
project. This request may take any of several forms as defined below.
(a) A formal application for new Section 108 loan guarantee(s),
including the documents listed at 24 CFR 570.704(b);
(b) A brief description (not to exceed three pages) of a new
Section 108 loan guarantee application(s). Such 108 application(s) will
be submitted within 60 days, with HUD reserving the right to extend
such period for good cause on a case-by-case basis, of a notice of EDI
selection. EDI awards will be conditioned on approval of actual Section
108 loan commitments. This description must be sufficient to support
the basic eligibility of the proposed project or activities for Section
108 assistance. (See Section I(G) of this program section of this
SuperNOFA.);
(c) If applicable, a copy of a Section 108 loan guarantee approval
document with grant number and date of approval (which was approved
after the date of this SuperNOFA, except in conjunction with a previous
EDI award); or
(d) A request for a Section 108 loan guarantee amendment (analogous
to Section I(G)(1)(a) or (b) above) that proposes to increase the
amount of a previously approved application. However, any amount of
Section 108 loan guarantee authority approved before the date of this
SuperNOFA is not eligible to be used in conjunction with a EDI grant
under this SuperNOFA.
(2) Further, a Section 108 loan guarantee amount that is required
to be used in conjunction with a prior EDI grant award, whether or not
the Section 108 loan guarantee has been approved as of the date of this
SuperNOFA, is not eligible for an EDI award under this SuperNOFA. For
example, if a public entity has a previously approved Section 108 loan
guarantee commitment of $12 million, even if none of the funds have
been utilized, or if the public entity had previously been awarded an
EDI grant of $1 million and had certified that it will submit a Section
108 loan application for $10 million in support of that EDI grant, the
public entity's EDI application under this SuperNOFA must propose to
increase the amount of its total Section 108 loan guarantee commitments
beyond those amounts (the $12 million or $10 million in this example)
to which it has previously agreed.
(G) Eligible Activities and National Objectives
EDI grant funds may be used for activities listed at 24 CFR
570.703, provided such activities are carried out as part of an
economic development project as defined in Section I(B) of this EDI
section of this SuperNOFA. Each activity assisted with Section 108 loan
guarantee or EDI funds must meet a national objective of the CDBG
program (see 24 CFR 570.208). In the aggregate, a grantee's use of CDBG
funds, including any Section 108 loan guarantee proceeds and section
108(q) (EDI) funds provided pursuant to this program section of this
SuperNOFA, must comply with the CDBG primary objectives requirement as
described in section 101(c) of the Housing and Community Development
Act of 1974, as amended, and 24 CFR 570.200(c)(3) or 24 CFR 570.484 in
the case of State grantees. The foregoing eligible activities may also
include:
(1) Payment of costs of private financial guaranty insurance
policies, letters of credit, or other credit enhancements for the notes
or other obligations guaranteed by HUD pursuant to Section 108,
provided that the proceeds of such notes or obligations are used to
finance an economic development project. Such enhancements shall be
specified in the contract required by 24 CFR 570.705(b)(1), and shall
be satisfactory in form and substance to HUD for security purposes; and
(2) The payment of interest due (and other costs such as servicing,
underwriting, or other costs as may be authorized by HUD) on the notes
or other obligations guaranteed by HUD pursuant to the Section 108 loan
guarantee program.
(H) Limitations on Use of EDI and Section 108 Funds
Certain restrictions shall apply to the use of EDI and Section 108
funds:
(1) EDI grants shall not be used as a resource to immediately repay
the principal of a loan guaranteed under Section 108. Repayment of
principal is only permissible with EDI grant funds as a matter of
security if other sources projected for repayment of principal prove to
be unavailable.
(2) Applicants are cautioned against using Section 108 funds to
finance activities which also include financing generated through the
issuance of federally tax exempt obligations. Pursuant to Office of
Management and Budget (OMB) Circular A-129 (Policies for Federal Credit
Programs and Non-Tax Receivables), Section 108 guaranteed loan funds
may not directly or indirectly support federally tax-exempt
obligations.
(I) Limitations on Grant Amounts
(1) HUD expects to approve EDI grant amounts for approvable
applications at a range of ratios of EDI grant funds awarded to new
Section 108 loan guarantee commitments, but the minimum ratio will be
$1 of Section 108 loan guarantee commitments for every $1 of EDI grant
funds. However, applicants that propose a leverage ratio of 1:1 will
not receive any points under Ration Subfactor 4(1): ``Leverage of
Section 108 Funds.'' For example, an applicant requesting a EDI grant
of $1 million will be required to leverage a minimum of at least $1
million in new Section 108 loan guarantee commitments. This will be a
special condition of the EDI grant award. Of course, even though there
is a minimum ratio of 1:1, applications with higher ratios will receive
more points under Rating Factor 4, ``Leveraging Resources/Financial
Need'' and, all other things being equal, will be more competitive.
Applicants are encouraged to propose projects with a greater leverage
ratio of new Section 108 to EDI grant funds (assuming such projects are
financially viable). For example, $1 million of EDI could leverage $12
million of new Section 108 loan commitments. HUD intends that the EDI
funds will be used for projects which leverage the greatest possible
amount of Section 108 loan guarantee commitments.
(2) HUD expects that the average grant size will be approximately
$1 million.
(3) If additional EDI grant funds become available to HUD as the
result of recaptures prior to the date of this NOFA, HUD reserves the
right to award grants under this SuperNOFA whose aggregate total may
exceed the $38 million announced in this SuperNOFA, up to the maximum
amount authorized by law.
(4) In the event the applicant is awarded an EDI grant that has
been reduced below the original request (e.g. the application contained
some activities that were ineligible or there were insufficient funds
to fund the last competitive application at the full amount requested),
the applicant will be required to modify its project plans and
application to conform to the terms of HUD's approval before execution
of a grant agreement. HUD reserves the right to reduce or de-obligate
the EDI award if approvable Section 108 loan guarantee applications are
not
[[Page 23902]]
submitted by the grantee in the required amounts on a timely basis. Any
requested modifications must be within the scope of the original EDI
application.
(5) In the case of requested amendments to a previously approved
Section 108 loan guarantee commitment (as further discussed in Section
I(F)(1)(d), above), the EDI assistance approved will be based on the
increased amount of Section 108 loan guarantee assistance.
(J) Timing of Grant Awards
(1) To the extent a full Section 108 application is submitted with
the EDI grant application, the Section 108 application will be
evaluated concurrently with the request for EDI grant funds. Note that
EDI grant assistance cannot be used to support a Section 108 loan
guarantee approved prior to the date of the publication of this
SuperNOFA. However, the EDI grant may be awarded prior to HUD approval
of the Section 108 commitment if HUD determines that such award will
further the purposes of the Act.
(2) HUD notification to the grantee of the amount and conditions
(if any) of EDI funds awarded based upon review of the EDI application
shall constitute an obligation of grant funds, subject to compliance
with the conditions of award and execution of a grant agreement. EDI
funds shall not be disbursed to the public entity before the issuance
of the related Section 108 guaranteed obligations.
II. Program Requirements
In addition to the program requirements listed in the General
Section of this SuperNOFA, applicants are subject to the following
requirements.
(A) CDBG Program Regulations
The requirements of 24 CFR part 570, including subpart K (Other
Program Requirements).
(B) Environmental Review
After the completion of this competition and after HUD's award of
EDI grant funds, pursuant to 24 CFR 570.604, each project or activity
assisted under this program is subject to the provisions of 24 CFR part
58, including limitations on the EDI grant and Section 108 public
entity's commitment of HUD and non-HUD funds prior to the completion of
environmental review, notification and release of funds. No such
assistance will be released by HUD until a request for release of funds
is submitted and the requirements of 24 CFR part 58 have been met. All
public entities, including nonentitlement public entities, shall submit
the request for release of funds and related certification, required
pursuant to 24 CFR part 58, to the appropriate HUD field office for
each project to be assisted.
(C) Environmental Justice
Executive Order 12898 (Federal Actions to Address Environmental
Justice in Minority Populations and Low-Income Populations) directs
Federal agencies to develop strategies to address environmental
justice. Environmental justice seeks to rectify the disproportionately
high burden of environmental pollution that is often borne by low-
income, minority, and other disadvantaged communities, and to ensure
community involvement in policies and programs addressing this issue.
III. Application Selection Process
(A) Rating and Ranking
(1) Each rating factor and the maximum number of points is provided
below. The maximum number of points to be awarded is 102. This includes
two EZ/EC bonus points as described in the General Section of this
SuperNOFA.
(2) Once scores are assigned, all applications will be ranked in
order of points assigned, with the applications receiving more points
ranking above those receiving fewer points. Applications will be funded
in rank order.
(3) If HUD determines that an application rated, ranked and
fundable could be funded at a lesser EDI grant amount than requested
consistent with feasibility of the funded project or activities and the
purposes of the Act, HUD reserves the right to reduce the amount of the
EDI award and/or increase the Section 108 loan guarantee commitment, if
necessary, in accordance with such determination. An application in
excess of $1 million may be reduced below the amount requested by the
applicant if HUD determines that such a reduction is appropriate.
(4) HUD may decide not to award the full amount of EDI grant funds
available under this program section of this SuperNOFA and may make any
remaining amounts available under a future SuperNOFA, or under a
supplementary notice.
(B) Narrative Statement
Each applicant shall provide a narrative statement describing the
activities that will be carried out with the EDI grant funds and
explaining how the use of EDI grant funds meets the rating factor
identified below. The narrative statement shall not exceed three (3)
8.5'' by 11'' pages for the description of the activities to be carried
out with the EDI grant funds. The description of activities should
include a statement of how the proposed uses of EDI funds will meet the
national objectives under 24 CFR 570.208 for the CDBG program and
qualify as eligible activities under 24 CFR 570.703. Citations to the
specific regulatory subsections supporting eligibility are recommended,
but a narrative description will be accepted. See Section I(G) of this
program section of this SuperNOFA. Each of the listed rating factors
(or, where applicable, each subfactor) below also has a separate page
limitation specified. Narrative statements must be printed in 12 point
type/font, and have sequentially numbered pages.
(C) Factors for Award Used to Evaluate and Rate Applications
All applications will be considered for selection based on the
following factors that demonstrate the quality of the proposed project
or activities, and the applicant's creativity, capacity and commitment
to obtain maximum benefit from the EDI funds, in accordance with the
purposes of the Act.
Rating Factor 1: Capacity of the Applicant and Relevant Organizational
Experience (15 Points)
[Your response to this factor is limited to three (3) pages.]
This factor addresses the extent to which the applicant has the
organizational resources necessary to successfully implement the
proposed activities in a timely manner. The rating of the ``applicant''
or the ``applicant's organization and staff'' for technical merit or
threshold compliance, unless otherwise specified, will include any
faculty, subcontractors, consultants, subrecipients, and members of
consortia which are firmly committed (i.e., has a written agreement or
a signed letter of understanding with the applicant agreeing in
principle to its participation and role in the project). In rating this
factor, HUD will consider the following:
(1) With regard to the EDI/Section 108 project proposed by the
applicant, the applicant should demonstrate that it has the capacity to
implement the specific steps required to successfully carry out the
proposed EDI/Section 108 project. This includes factors such as the
applicant's:
(a) Performance in the administration of its CDBG, HOME or other
programs;
[[Page 23903]]
(b) Previous experience, if any, in administering a Section 108
loan guarantee;
(c) Performance and capacity in carrying out economic development
projects;
(d) Ability to conduct prudent underwriting;
(e) Capacity to manage and service loans made with the guaranteed
loan funds or previous EDI grant funds;
(f) Capacity to carry out its projects and programs in a timely
manner; and,
(g) If applicable, the applicant's capacity to manage projects
under this program section of this SuperNOFA along with any federal
funds awarded as a result of a federal urban Empowerment Zone/
Enterprise Community designation.
(2) If an applicant has previously received an EDI grant award(s),
the applicant must describe the status of the implementation of that
EDI-assisted project(s), any delays that have been encountered and the
actions the applicant is taking to overcome any such delays in order to
carry out the project in a timely manner. For such previously funded
EDI grant projects, HUD will consider the extent to which the awarded
EDI grant funds and the associated Section 108 guaranteed loan funds
have been utilized.
(3) The capacity of subrecipients, nonprofit organizations and
other entities that have a role in implementing the proposed program
will be included in this review. HUD may also rely on information from
performance reports, financial status information, monitoring reports,
audit reports and other information available to HUD in making its
determination under this factor.
Rating Factor 2: Distress/Extent of the Problem (15 Points)
[Your response to this factor is limited to three (3) pages.]
This factor addresses the extent to which there is need for funding
the proposed activities based on levels of distress, and an indication
of the urgency of meeting the need/distress in the target area.
(1) In applying this factor, HUD will consider current levels of
distress in the immediate community to be served by the project and the
jurisdiction applying for assistance. Applicants who are able to
indicate a level of distress in the immediate project area that is
greater than the level of distress in the applicant's jurisdiction as a
whole will receive a higher score under this factor than those who do
not. HUD requires that applicants use sound and reliable data that is
verifiable to support the level of distress claimed in the application.
The applicant shall provide a source for the information it uses.
(2) In previous EDI competitions, the poverty rate was often
considered the best indicator of distress; however, the applicant may
demonstrate the level of distress with other factors such as income
levels and unemployment rates.
(3) HUD will consider a project to have maximum distress if the
project(s) is located within the boundaries of a federally-designated
Empowerment Zone or Enterprise Community (Applicants will be
responsible for demonstrating that the project site is within the
boundaries of the applicant's EZ/EC area).
(4) To the extent that the applicant's Consolidated Plan and its
Analysis of Impediments to Fair Housing choice (AI) identifies the
level of distress in the community and the neighborhood in which the
project is being carried out, the applicant should include references
to such documents in preparing its response to this factor.
Rating Factor 3: Soundness of Approach (25 Points)
[Your response to this factor is limited to three (3) pages.]
This factor addresses the quality and cost-effectiveness of the
applicant's proposed plan. There must be a clear relationship between
the proposed activities, community needs and purposes of the program
funding for an applicant to receive points for this factor. In rating
this factor, HUD will consider the following:
(1) HUD will consider the quality of the applicant's plan/proposal
for the use of EDI funds and Section 108 loan funds, including the
extent to which the applicant's proposed plan for the effective use of
EDI grant/Section 108 loan guarantee will address the needs described
in Rating Factor 2 above regarding the distress and extent of the
problem in the applicant's immediate community and/or its jurisdiction.
(2) HUD will consider the extent to which the plan is logically,
feasibly, and substantially likely to achieve its stated purpose. HUD's
desire is to fund projects and activities which will quickly produce
demonstrable results and advance the public interest including the
number of jobs to be created by the project and the impact of the
project on job creation that will benefit individuals on or previously
on welfare. An applicant should demonstrate that it has a clear
understanding of the steps required to implement its project, the
actions that it and others responsible for implementing the project
must complete and shall include a reasonable time schedule for carrying
out the project.
(3) HUD will consider the extent to which the applicant's proposed
project addresses the applicant's Analysis of Impediments and the needs
identified in Factor 2 and the extent to which such project activities
will result in the physical and economic improvement for the residents
in the neighborhood in which the project will be carried out.
(4) HUD will evaluate the extent to which the applicant's project
incorporates one or more elements that facilitate a successful
transition of welfare recipients from welfare to work. Such an element
could include, for example, linking the proposed project or loan fund
to social and/or other services needed to enable welfare recipients to
successfully secure and carry out full-time jobs in the private sector;
provision of job training to welfare recipients who might be hired by
businesses financed through the proposal; and/or incentives for
businesses financed with EDI/section 108 funds to hire and train
welfare recipients.
(5) Up to two (2) additional points will be awarded to any
application submitted by the City of Dallas, Texas, to the extent this
subfactor is addressed. Due to an order of the U.S. District Court for
the Northern District of Texas, Dallas Division, with respect to any
application submitted by the City of Dallas, Texas, HUD's consideration
of the applicant's response to this factor, ``Soundness of Approach,''
will include the extent to which the applicant's plan for the use of
EDI funds and Section 108 loans will be used to eradicate the vestiges
of racial segregation in the Dallas Housing Authority's programs
consistent with the Court's order.
Rating Factor 4: Leveraging Resources/Financial Need (35 Points)
[Page limits for the response to this factor are listed separately for
each subfactor under this factor.]
In evaluating this factor, HUD will consider the extent to which
the applicant's response demonstrates the financial need and
feasibility of the project and the leverage ratio of Section 108 loan
proceeds to EDI grant funds. This factor has three subfactors, each
with its own maximum point total:
(1) Leverage of Section 108 funds (20 points). Your response to
this subfactor is limited to one (1) page. The minimum ratio of Section
108 funds to EDI funds in any project may not be less than 1:1. The
extent to which the proposed project leverages an amount of Section 108
funds beyond the 1:1 ratio will be considered a positive factor.
Applicants that have a ratio of 1:1 will not receive
[[Page 23904]]
any points under this subfactor. Applicants that use their EDI grant to
leverage more Section 108 commitments will receive more points under
this subfactor.
(2) Financial feasibility (10 points). [Your response to this
subfactor is limited to five (5) pages.] HUD will consider the extent
to which the applicant demonstrates that the project is financially
feasible. This may include factors such as:
(a) Project costs and financial requirements. Applicants should
provide a funding sources and uses statement (not included in 5 page
narrative limit) as well as justifications for project costs.
(b) The amount of any debt service or operating reserve accounts to
be established in connection with the economic development project.
(c) The reasonableness of the costs of any credit enhancement paid
with EDI grant funds.
(d) The amount of program income (if any) to be received each year
during the repayment period for the guaranteed loan.
(e) Interest rates on those loans to third parties (other than
subrecipients) (either as an absolute rate or as a plus/minus spread to
the Section 108 rate).
(f) Underwriting criteria that will be used in determining project
feasibility.
(3) Leverage of other financial resources (5 points). [Your
response to this subfactor is limited to one (1) page plus supporting
documentation evidencing third party commitment (written and signed) of
funds.] HUD will evaluate the extent to which the applicant leverages
other funds (public or private) with EDI grant funds and Section 108
guaranteed loan funds and the extent to which such other funds are
firmly pledged to the project. This could include the use of CDBG
funds, other Federal or state grants or loans, a grantee's general
funds, project equity or commercial financing provided by private
sources or funds from non-profits or other sources. Funds will be
considered pledged to the project if there is evidence of the third
party's written commitment to make the funds available for the EDI/108
project, subject to approval of the EDI and Section 108 assistance and
completion of any environmental review required under 24 CFR part 50
for the project. Note, that with respect to CDBG funds, the applicant's
pledge of its CDBG funds will be considered sufficient commitment.
Rating Factor 5: Comprehensiveness and Coordination (10 Points)
[Your response to this factor is limited to two (2) pages.]
This factor addresses the extent to which the applicant coordinated
its activities with other known organizations, participates or promotes
participation in the applicant's or a State's Consolidated Planning
process, and is working towards addressing a need in a comprehensive
manner through linkages with other activities in the community.
In evaluating this factor, HUD will consider the extent to which
the applicant demonstrates it has:
(1) Coordinated its proposed activities with those of other groups
or organizations prior to submission in order to best complement,
support and coordinate all known activities and if funded, the specific
steps it will take to share information on solutions and outcomes with
others. Any written agreements, memoranda of understanding in place, or
that will be in place after award should be described.
(2) Developed linkages, or the specific steps it will take to
develop linkages with other activities, programs or projects through
meetings, information networks, planning processes or other mechanisms
to coordinate its activities so solutions are holistic and
comprehensive, including linkages with other HUD-funded projects/
activities outside the scope of those covered by the Consolidated Plan.
IV. Application Submission Requirements
(A) Public entities seeking EDI assistance must make a specific
request for that assistance, in accordance with the requirements of
this program section of this SuperNOFA.
(B) The application should include an original and one copy of the
items listed below, with one additional copy submitted directly to the
Community Planning and Development Division of the cognizant HUD Field
Office for the applicant's jurisdiction.
(C) An EDI application shall consist of the following items:
(1) Transmittal letter from applicant;
(2) Table of contents;
(3) Application check list (supplied in application kit);
(4) A request for loan guarantee assistance under Section 108 as
further described in Section I(F) of this program section of the
SuperNOFA. Application guidelines for the Section 108 program are found
at 24 CFR 570.704;
(5) A described in Section III(B) of this program section of this
SuperNOFA, a narrative statement (3 page limit) describing the
activities that will be carried out with the EDI grant funds;
(6) Responses to each of the rating factors (within the page limits
provided for each factor or subfactor as applicable);
(7) Completion of a funding sources and uses statement and a EDI
and Section 108 eligibility statement (see the application kit);
(8) Written agreements or signed letters of understanding in
support of Rating Factor 1: ``Capacity of the Applicant and Relevant
Organizational Experience;''
(9) Signed third party commitment letters pledging funds in support
of subfactor 4(2): ``Leverage of other financial resources;''
(10) Required certifications; and
(11) Acknowledgement of Application Receipt form.
V. Corrections to Deficient Applications
The General Section of the SuperNOFA provides the procedures for
corrections to deficient applications.
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Notices
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Consolidated Economic Development and Supportive Services and
Tenant Opportunities Programs
Program Description: Approximately $64.1 million in funding is made
available for two programs: Public and Indian Housing Economic
Development and Supportive Services Program (EDSS) and the Tenant
Opportunities Program (TOP). In general, although both programs fund
similar activities, Housing Authorities, Indian tribes, and Tribally
Designated Housing Entities are the recipients under EDSS while
resident associations are the recipients under TOP. Therefore, although
the funding availability announcements for these two programs have been
combined, the application processes will remain separate.
This program section of the SuperNOFA combines TOP and EDSS to
highlight HUD's parallel restructuring of these complementary programs.
The restructuring represents a major HUD initiative to improve the
targeting and management of limited resources for resident self-
sufficiency. The goal is to most effectively focus these resources on
``welfare to work'' and on independent living for the elderly and
persons with disabilities. HUD believes that it is imperative that
housing authorities and residents work together to meet the challenge
of welfare reform.
Application Due Date: Completed applications (one original and two
copies) must be submitted, at the address shown below, no later than
6:00 pm local time on:
July 31, 1998 for the EDSS Program; and
July 31, 1998 for the TOP Program.
Please see the General Section of this SuperNOFA for specific
procedures governing the form of application submission (e.g., mailed
applications, express mail, overnight delivery, or hand carried) and
the time by which the application must be received by HUD and/or
postmarked in order to meet the deadline for submission.
Address for Submitting Applications: An original and two copies of
the application must be received by the application due date at the
local Field Office with delegated public or assisted housing
responsibilities attention: Director, Office of Public or Assisted
Housing, or, in the case of the Native American population, to the
Administrator, Area Office of Native American Programs (AONAP), as
appropriate.
For Application Kits, Further Information and Technical Assistance
For Application Kits. For an application kit and any supplemental
information please call the SuperNOFA Information Center at 1-800-HUD-
8929. Persons with hearing or speech impairments may call the Center's
TTY number at 1-800-HUD-2209. The application kit also will be
available on the Internet through the HUD web site at http://
www.hud.gov. When requesting an application kit, please refer to EDSS/
TOP and provide your name, address (including zip code), and telephone
number (including area code).
For Further Information and Technical Assistance. For answers to
your questions, you have several options. You may call the local HUD
field office with delegated responsibilities over the pertinent housing
agency/authority, or in the case of an Indian tribe or a Tribally
Designated Housing Entity (TDHE) applying for EDSS grants, the AONAP
with jurisdiction over the tribe/TDHE. Answers may also be obtained by
calling the Public and Indian Housing Information and Resource Center
at 1-800-955-2232. Information on this SuperNOFA may also be obtained
through the HUD web site on the Internet at http://www.HUD.gov.
Additional Information
I. Authority; Purpose; Amount Allocated; and Eligibility
The Authority, Purpose of the Program, Amount Allocated, Program
Award Period, Eligible Applicants; Grants Amounts; Eligible and
Ineligible Activities, and Additional Program Requirements, as
applicable, are delineated under each technical assistance program area
for which funding is being made available. Applicants should take care
in reviewing this section to ensure they are eligible to apply for
funds and that they meet the additional program requirements and
limitations described for each program.
(A) Authority
(1) For the EDSS Program, the Community Development Block Grant
section of the FY 1998 HUD Appropriations Act.
(2) For TOP, section 20 of the U.S. Housing Act of 1937. The TOP
regulations are found in 24 CFR part 964.
(3) Common Definitions. Please see Appendix A to this EDSS/TOP
section of the SuperNOFA for common definitions.
(B) Purpose
The purposes of the two programs are as follows:
(1) EDSS. The purpose of the EDSS program is to provide grants to
Public Housing Authorities (PHAs), Tribes or their Tribally Designated
Housing Entities (TDHEs) to enable them to establish and implement
programs that increase resident self-sufficiency, and support continued
independent living for elderly and disabled residents.
(2) TOP. TOP provides grants to public housing Site-Based Resident
Councils, Resident Management Corporations and Intermediary Resident
Organizations to provide resident training such as improving resident
educational, professional, and economic levels by providing skills to
make them more employable in the local community; organizational
capacity-building for newly created resident associations; and training
residents to resolve disputes in public housing.
(C) Amount Allocated for EDSS
(1) Amount Allocated. For EDSS, $47,211,223 is available in funds
for eligible PHAs, Tribes/TDHEs. This amount includes the FY 98 EDSS
appropriation of $30 million and FY 97 carryover funds of $17,211,223.
HUD is setting aside $5 million of this amount to fund applications
from Tribes/TDHEs with the remaining available to fund applications
from PHAs.
(a) Both the amount for Tribes/TDHEs and PHAs will be allocated as
follows: 60% will be allocated to Family Economic Development and
Supportive Services category grants; and the remaining 40% will be
allocated to Elderly and Disabled Supportive Services category grants.
(b) A PHA, Tribe/TDHE may submit one application under the Family
Economic Development and Supportive Services grant category and/or one
application under the Elderly and Disabled Supportive Services grant
category.
The maximum number of applications that a HA may submit is two. If
an applicant is applying for both funding categories, then it must
submit two separate applications in which the total amount requested
must not exceed the maximum grant amount available for its size under
the Family Economic Development and Supportive Services category.
(2) Maximum Grant Awards. The maximum grant awards are limited as
follows:
(a) For Family Economic Development and Supportive Services
category--no more than $250 per unit up to the below listed maximums:
(i) For PHAs, Tribes/TDHEs with 1 to 780 units, the maximum grant
award is $150,000.
[[Page 23908]]
(ii) For PHAs, Tribes/TDHEs with 781 to 7,300 units, the maximum
grant award is $500,000.
(iii) For PHAs, Tribes/TDHEs with 7,301 or more units, the maximum
grant award is $1,000,000.
(b) For elderly or Disabled Supportive Services category--no more
than $250 per unit up to the below listed maximums:
(i) For PHAs, Tribes/TDHEs with 1 to 217 units occupied by Elderly
residents or persons with disabilities, the maximum grant award is
$54,250.
(ii) For PHAs, Tribes/TDHEs with 218 to 1,155 units occupied by
Elderly residents or persons with disabilities, the maximum grant award
is $200,000.
(iii) For PHAs, Tribes/TDHEs with 1,156 or more units occupied by
Elderly residents or persons with disabilities, the maximum grant award
is $300,000.
(3) Tribes/TDHEs should use the number of units counted as Formula
Current Assisted Stock for Fiscal Year 1998 as defined in 24 CFR
1000.316. Tribes who have not previously received funds from the
Department under the 1937 Act should count housing units under
management that are owned and operated by the tribe and are identified
in their housing inventory as of September 30, 1997.
(D) Amount Allocated for TOP
$16,884,530 ($5 million in FY 98 appropriations and $11,884,530 in
carry over funds) is available for awards to qualified applicants to
provide technical assistance and training activities under the TOP
program. The TOP funding will be distributed to the three grant
categories as follows: Economic Self-Sufficiency Grants--$10.9 million,
Organizational Development Grants--$3 million, and Mediation Grants--$3
million. If all funds are not awarded in one category, funds are
transferable to the other grant categories for use by qualified
applicants.
(1) TOP Grant Categories. TOP funding is allocated to the following
grant categories:
(a) Economic Self-Sufficiency Grant (ESSG) provides assistance to
Site-Based Resident Associations (RAs) and Intermediary Resident
Organizations (IROs), to move welfare dependent families to work. The
applicant must provide evidence that at least 51% of those served are
households affected by welfare reform. The funds can be used for
training and technical assistance which will provide educational, job,
business, and life skills to enable residents to move towards self-
sufficiency and consistent with a needs assessment. For elderly/
disabled developments, TOP funds can be used for stipends and training
(including business development training, if appropriate) for residents
to: engage in day care for children, provide professional and personal
mentoring, raise grandchildren, and provide other intergenerational
service. When TOP funds are utilized in this manner, the elderly
residents providing these services need not be affected by welfare
reform; however, at least 51 percent of those to be assisted by the
services to be provided by elderly residents must be affected by
welfare reform.
(b) Organizational Development Grants (ODG) provide assistance to
Site-Based Resident Associations who do not yet have the capacity to
administer a welfare-to-work program or conduct management activities.
The funds will be targeted to help establish new resident organizations
or enhance the capacity of existing organizations to assist residents,
participate in Housing Authority decision-making, manage all or a
portion of their developments, and/or apply for and administer grants.
An additional grant applicant is not eligible to apply for this grant.
(c) Mediation Grant provides assistance to Intermediary Resident
Organizations (IROs) partnering with professional mediators to resolve
conflicts involving public housing residents and/or Site-Based Resident
Associations. The skilled mediator/partners, under the auspices of an
IRO, will bridge impasses between residents and/or factions within
specific developments, among active participants of a Site-Based
Resident Association (RA), or between an RA and its partners,
especially local Housing Authorities. The grant applicant must apply in
partnership with a recognized professional mediation organization. All
applicants must have entered into at least one referral agreement with
judicial, law enforcement or social services agencies to mediate for
public housing residents served by the agency. After awarding the
grants, HUD would refer cases requiring mediation to the grantee. Also
conflicting parties, on their own initiative, could request mediation
services directly to the grantee. While mediating for residents and
their partners, the professional mediators would also train IRO grantee
staff in mediation principles and skills for mediation in the future.
(2) TOP Grant Categories' Amounts.
(a) Basic Grants. Any eligible Site-Based RA in the development
that has not previously received up to the following amount for an ESS
grant or Organizational Development grant.
(i) ESS grant--Site-Based RAs may receive up to $100,000 less the
value of any TOP assistance previously received by the development from
an IRO.
(ii) Organizational Development grant--Site-Based RA may receive up
to $40,000.
(b) Additional Grants (ESS Grant Only). Any eligible RA selected
for a Resident Management (RM) or a TOP grant in FYs 1988-1997
(including a mini grant for start-up activities) that received less
than a total of $100,000 may apply for an Additional Grant for economic
self sufficiency, provided that the total cumulative RM/TOP funding for
a project site, including Citywide or Intermediary Grant funds
benefiting the project does not exceed (including previous grants) the
total statutory maximum of $100,000. Additional Grant applicants may
not apply for an Organizational Development grant.
(c) Intermediary Grants. (i) Any eligible NRO, RRO, or SRO may
apply for a single ESS, Organizational Development or Mediation grant
for up to $250,000. These organizations may also apply for one grant
each in two or more of the grant categories provided that the combined
amount requested by the IRO this year does not exceed $350,000.
(ii) A Jurisdiction-wide Resident Organization may apply for an
ESS, OD or Mediation grant for an amount of up to $100,000. A
Jurisdiction-wide Organization may not apply in more than one grant
category.
(iii) An IRO cannot assist RAs that have already received RM/TOP
grants totaling $100,000 and cannot propose to provide assistance to a
given project that would result in the project exceeding its statutory
maximum for RM/TOP funding.
(d) Housing Authority Jurisdiction Maximum. The amount of funding
available for all applicants that are not Intermediary Resident
Organizations, that are located within the jurisdiction of a single
housing authority is limited to the following amounts based on the size
of the housing authority.
(i) For Housing Authorities with one to 780 units the maximum
funding amount is $700,000.
(ii) For Housing Authorities with 781 to 7,300 units the maximum
funding amount is $1,400,000.
(iii) For Housing Authorities with more than 7,301 units the
maximum funding amount is $2,100,000.
(E) Eligible Applicants
(1) EDSS Eligible Applicants.
PHAs, Tribes or their TDHEs that have not received a previous EDSS
grant are eligible applicants.
(2) TOP Eligible Applicants. (a) Public housing Site-Based Resident
Councils,
[[Page 23909]]
Resident Management Corporations and Intermediary Resident
Organizations which include National Resident Organizations, Statewide
Resident Organizations, Regional Resident Organizations, and
Jurisdiction wide Resident Organizations.
(b) Please see Appendix A to this TOP/EDSS section of the SuperNOFA
for the definition of Intermediary Resident Organization. Additionally,
Intermediary Resident Organizations must be registered with the state
as non-profit corporations and have applied for or received 501(c)
status with the U.S. Internal Revenue Service. Eligible Intermediary
Resident Organizations must list in their application the name of the
RAs that will receive training or technical assistance, and submit
letters of support from each entity identified in the application.
(3) Indian Housing Resident Organizations are now ineligible to
apply for TOP funding. The President signed into law the Native
American Housing Assistance and Self-Determination Act of 1996
(NAHASDA) on October 26, 1996, which terminated Indian Housing
Assistance under the U.S. Housing Act of 1937.
(F) EDSS Eligible Activities
EDSS Program funds may be used for the activities as described
below. At least 75 percent of the persons participating and receiving
benefits from these activities must be residents of conventional Public
or Indian Housing. Any other persons (up to 25 percent per grantee)
participating or receiving benefits from these programs must be
recipients of Section 8 assistance.
(1) Family Economic Development and Supportive Services category.
(a) Economic Development activities. Activities essential to
facilitate economic uplift and provide access to the skills and
resources needed for self-development and business development.
Economic development activities may include:
(i) Entrepreneurship Training (literacy training, computer skills
training, business development planning).
(ii) Entrepreneurship Development (entrepreneurship training
curriculum, entrepreneurship courses).
(iii) Micro/Loan Fund. Developing a strategy for establishing a
revolving micro/loan fund and/or capitalizing a loan fund.
(iv) Developing credit unions. Developing a strategy to establish
and/or create onsite credit union(s) to provide financial and economic
development initiatives to PHA/Tribal/TDHE residents. (EDSS grant funds
cannot be used to capitalize a credit union.) The credit union could
support the normal financial management needs of the community (i.e.,
check cashing, savings, consumer loans, micro-businesses and other
revolving loans).
(v) Employment training and counseling (e.g., job training (such as
Step-Up programs), preparation and counseling, job search assistance,
job development and placement, and continued follow-up assistance).
(vi) Employer linkage and job placement.
(b) Supportive Services. The provision of services to assist
eligible residents to become economically self-sufficient, particularly
families with children where the head of household would benefit from
the receipt of supportive services and is working, seeking work, or is
preparing for work by participating in job-training or educational
programs. Supportive services may include:
(i) 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.
(ii) Computer based educational opportunities, skills training, and
entrepreneurial activities.
(iii) Homeownership training and counseling, development of
feasibility studies and preparation of homeownership plans/proposals.
(iv) Education including but not limited to: Remedial education;
Literacy training; Assistance in the attainment of certificates of high
school equivalency; Two-year college tuition assistance; Trade school
assistance; Youth leadership skills and related activities (activities
may include peer leadership roles training for youth counselors, peer
pressure reversal, life skills, goal planning).
(vi) Youth mentoring of a type that mobilizes a potential pool of
role models to serve as mentors to public or Indian housing youth.
Mentor activities may include after-school tutoring, help with problem
resolution issues, illegal drugs avoidance, job counseling or mental
health counseling.
(vii) Transportation costs, as necessary to enable any
participating family member to receive available services to commute to
his or her training or supportive services activities or place of
employment.
(viii) Personal wellbeing (e.g., family/parental development
counseling, parenting skills training for adult and teenage parents,
and self-development counseling, etc.).
(ix) Supportive health care services (e.g., outreach and referral
services to substance and alcohol abuse treatment and counseling, for
example, mental health).
(x) Contracting for case management services contracts or
employment of case managers, either of which must ensure
confidentiality about resident's disabilities.
(2) Elderly or Disabled Supportive Services category. Supportive
Services for the elderly and for persons with disabilities include:
(a) Meal service adequate to meet nutritional need;
(b) Assistance with daily activities;
(c) Housekeeping aid;
(d) Transportation services;
(e) Wellness programs, preventive health education, referral to
community resources;
(f) Personal emergency response; and
(g) Congregate services--includes supportive services that are
provided in a congregate setting at a conventional HA development.
(3) For both Family Economic Development and Supportive Services
category and Elderly or Disabled Supportive Services category grants:
(a) The employment of or contracting for service coordinators. For
the purposes of this program section of the SuperNOFA, a service
coordinator is any person who is responsible for one or more of the
following functions:
(i) Assessing the training and supportive service needs of eligible
residents (for Family Economic Development and Supportive Service
category grants);
(ii) Working with community service providers to coordinate the
provision of services and to tailor the services to the needs and
characteristics of eligible residents;
(iii) Establishing a system to monitor and evaluate the delivery,
impact, effectiveness and outcomes of supportive services under this
program;
(iv) Coordinating this program with other independent living or
self-sufficiency, education and employment programs;
(v) Performing other duties and functions that are appropriate to
assist eligible public and Indian housing residents to become
economically self-sufficient;
(vi) Performing other duties and functions to assist residents to
remain independent, and to prevent unnecessary institutionalization;
and
(vii) Mobilizing other national and local public/private resources
and partnerships.
(viii) Any other services and resources, proposed by the applicant
and approved by HUD and authorized by the 1998 Appropriations Act that
are determined to be appropriate in assisting eligible residents.
[[Page 23910]]
(b) Administrative costs not to exceed 15% of the grant amount.
(c) Stipends. No more than $200 per participant per month of the
grant award may be used for stipends for active trainees and EDSS
program participants to cover the reasonable costs related to
participation in training and other EDSS activities.
(G) EDSS Ineligible Activities
Activities for which costs are ineligible for funding under the
EDSS Program include:
(1) Payment of wages and/or salaries to participants receiving
supportive services and/or training programs, except that grant funds
may be used to hire a resident(s) to coordinate/provide training
program activities.
(2) Purchase or rental of land of buildings or any improvements to
land or buildings.
(3) Building materials and construction costs.
(4) The hiring of service coordinators under the Elderly/Disabled
EDSS category if applicant is also applying for a Service Coordinators
program grant.
(H) TOP Eligible Activities
The following activities have been categorized based on their
general appropriateness for the requirements of each grant category.
Activities for which funding under TOP may be provided to an eligible
Site-Based RA or Intermediary include any combination of, but are not
limited to, the following:
(1) Economic Self-Sufficiency Grant Applicants.
(a) Social Support Needs (such as Self-Sufficiency and Youth
Initiatives) including:
(i) Feasibility studies to determine training and social services
needs;
(ii) Training in management-related trade skills, computer skills,
and similar skills;
(iii) Management-related employment training and counseling
including job search assistance, job development assistance, job
placement assistance and follow up assistance;
(iv) Coordination of support services including: child care
services; educational services remedial education, literacy training,
assistance in attaining a GED; vocational training including computer
training; health care outreach and referral services; meal services for
the elderly or persons with disabilities; personal assistance to
maintain hygiene/appearance for the elderly or persons with
disabilities; housekeeping assistance for the elderly or persons with
disabilities; transportation services; congregate services for the
elderly or persons with disabilities: and case management;
(v) Training for programs such as child care, early childhood
development, parent involvement, volunteer services, parenting skills,
before and after school programs;
(vi) Training programs on health, nutrition, safety and substance
abuse;
(vii) Workshops for youth services including: child abuse and
neglect prevention, tutorial services, youth leadership skills, youth
mentoring, peer pressure reversal, life skills, and goal planning. The
workshops could be held in partnership with community-based
organizations such as local Boys and Girls Clubs, YMCA/YWCA, Boy/Girl
Scouts, Campfire and Big Brother/Big Sisters, etc.
(viii) Training in the development of strategies to successfully
implement a youth program. For example, assessing the needs and
problems of the youth, improving youth initiatives that are currently
active, and training youth, housing authority staff, resident
management corporations and resident councils on youth initiatives and
program activities; and
(b) Resident Management Business Development including:
(i) Training related to resident-owned business development and
technical assistance for job training and placement in RMC
developments;
(ii) Technical assistance and training in resident managed business
development through: Feasibility and market studies; Development of
business plans; Outreach activities; and Innovative financing methods
including revolving loan funds and the development of credit unions;
and Legal advice in establishing a resident managed business entity.
(iii) Training residents, as potential employees of an RMC, in
skills directly related to the operation, management, maintenance and
financial systems of a project;
(iv) Training residents with respect to fair housing requirements;
and
(v) Gaining assistance in negotiating management contracts, and
designing a long-range planning system.
(2) ESS/Organizational Development Applicants.
(a) Training Board members in community organizing, Board
development, and leadership training;
(b) Determining the feasibility of and training existing resident
groups for resident management or for a specific resident management
project or projects; and
(c) Assisting in the creation of an RMC, such as consulting and
legal assistance to incorporate, preparing by-laws and drafting a
corporate charter.
(d) Develop the management capabilities of existing resident
organizations.
(e) Homeownership Opportunity (Determining feasibility for
homeownership by residents, including assessing the feasibility of
other housing (including HUD owned or held single or multi-family)
affordable for purchase by residents).
(f) Resident Capacity Building.
(3) Mediation Applicants.
(a) Training programs on mediation and communication skills;
(b) Training programs on dispute resolution and reconciliation,
including training addressing racial, ethnic and other forms of
diversity;
(c) Workshops for youth services including: child abuse and neglect
prevention, tutorial services, youth leadership skills, youth
mentoring, peer pressure reversal, life skills, and goal planning. The
workshops could be held in partnership with community-based
organizations such as local Boys and Girls Clubs, YMCA/YWCA, Boy/Girl
Scouts, Campfire and Big Brother/Big Sisters, etc.
(d) Training in the development of strategies to successfully
implement a youth program. For example, assessing the needs and
problems of the youth, improving youth initiatives that are currently
active, and training youth, housing authority staff, resident
management corporations and resident councils on youth initiatives and
program activities; and
(4) General (All TOP Applicants).
(a) Training on HUD regulations and policies governing the
operation of low-income public housing including contracting/
procurement regulations, financial management, capacity building to
develop the necessary skills to assume management responsibilities at
the project and property management; and training in accessing other
funding sources;
(b) Hiring trainers or other experts. By law, resident grantees
must ensure that all training is provided by a qualified public or
management specialist (Consultant/Trainer), HUD Headquarters or Field
staff or the local HA. To ensure the successful implementation of the
TOP Work Plan activities, the RAs are required to determine the need to
contract for outside consulting/training services. The RA and the HA
must jointly select and approve the consultant/trainer. Each RA should
make maximum use of its HA, nonprofits, or other Federal, State or
local government resources for technical assistance and training needs.
The amount allowed for hiring an individual consultant for this purpose
shall not
[[Page 23911]]
exceed 30% of the total grant award or $30,000, whichever is less. The
amount available for all individual consultants (not including training
firms) and contracts shall not exceed 50% of the grant or $50,000
whichever is less. HUD Field Offices will monitor this process to
ensure compliance with program and OMB requirements, and particularly
the requirement for competitive bidding.
(c) Stipends, as follows: Trainees and TOP program participants of
a RA may only receive stipends for participating in or receiving
training under the TOP to cover the reasonable costs related to
participation in training and other activities in the TOP program,
subject to the availability of funds. The stipends should be used for
additional costs incurred during the training programs, such as child
care and transportation costs. The cost of stipends may not exceed $200
per month per trainee without written HUD authorization.
(d) Reimbursement of reasonable expenses incurred by Officers and
Board members in the performance of their fiduciary duties and/or
training related to the performance of their official duties.
(e) Travel directly related to the successful completion of the
required TOP Work Plan. All grantees must adhere to the travel policy
established by HUD. The policy sets travel costs at a maximum amount of
$5,000 per RA (not applicable to intermediaries) without special HUD
approval.
(f) Child care expenses for individual staff, board members, or
residents in cases where those who need child care are involved in
training-related activities associated with grant activities. No more
than two percent of the grant amount may pay for child care expenses.
(g) Costs directly related to establishing an RA as a nonprofit
corporation or 501(c) tax exempt status.
(5) Administrative Costs. These costs are necessary for the
implementation of grant activities. Administrative costs are not to
exceed 25% of the grant unless the grantee is unable to obtain the
services of a Contract Administrator without cost in which case
administrative costs are not to exceed 30% of the grant. Appropriate
administrative costs include, but are not limited to, the following
items or activities:
(a) Purchase or lease of telephone, computer, printing, copying,
and sundry non-dwelling equipment (such as office supplies, software,
and furniture). A grantee must justify the need for this equipment in
relationship to implementing its approved grant activities. Every
effort must be made to acquire discounted or donated hardware.
(b) Grant contract and financial management audit. If a grantee is
unable to obtain the services of a Contract Administrator or accountant
without charge, the cost for a Contract Administrator and or accountant
is eligible. The grantee is required to maintain documentation on file
showing what efforts it made to obtain the services of a Contract
Administrator cost-free. The cost for an independent audit should be
budgeted separately from this item.
(c) Technical assistance regarding any other service and/or
resource, including case management that are proposed by applicants and
approved by HUD.
(d) Rental or lease of a car, van, or bus by resident grantees to
attend training;
(I) TOP Ineligible Activities
Ineligible activities include, but are not limited to, the
following:
(1) Entertainment, including associated costs such as food and
beverages, except normal per diem for meals related to travel performed
in connection with implementing the TOP Work Plan. (See TOP Travel
Notice for more specific guidance.)
(2) Purchase or rental of land or buildings (including the
community facility) or any improvements to land or buildings.
(3) Activities not directly related to the welfare-to-work
initiatives (e.g., lead-based paint testing and abatement and operating
capital for economic development activities).
(4) Purchase of any vehicle (car, van, bus, etc.) or any other
property, other than as described under Section VII(e)(1) (Eligible
Activities) of this program section of the SuperNOFA, unless approved
by HUD Headquarters or the local HUD Field Office.
(5) Architectural and engineering fees.
(6) Payment of salaries for routine project operations, such as
security and maintenance, or for RA staff, except that a reasonable
amount of grant funds may be used to hire a person to coordinate the
TOP grant activities or coordinate on-site social services.
(7) Payment of fees for lobbying services.
(8) Any expenditures that are fraudulent, wasteful or otherwise
incurred contrary to HUD or OMB directives.
(9) Any cost otherwise eligible under this program section of the
SuperNOFA for which funds are being provided from any other source.
(10) Entertainment equipment such as televisions, radios, stereos,
and VCRs. A waiver of this item may be granted by the HUD Field Office
or if funding is being utilized specifically and explicitly for the
purposes of establishing a business directly related to radio,
television or film or some other form or technical communication, and
equipment is being utilized for training of residents or RAs. All such
waivers must be authorized in writing by the HUD Field Office before
purchases may be made.
(11) For Intermediaries Only. In addition to the other ineligible
activities listed in this EDSS/TOP section of the SuperNOFA,
intermediaries cannot provide training and technical assistance to RAs
that have received TOP funds of $100,000 or that would result in
exceeding the statutory ceiling by providing more than $100,000 of
training or technical assistance to a given project site.
(J) Grant Term
For both TOP and EDSS, the grantee must complete its grant
activities within two years of the execution of the grant agreement.
II. Program Requirements
In addition to the program requirements listed in the General
Section of this SuperNOFA, grantees must meet the following program
requirements:
(A) Compliance With Civil Rights Requirements
In addition to compliance with the civil rights requirements at 24
CFR 5.105, each successful applicant must comply with the
nondiscrimination in employment requirements of Title VII of the Civil
Rights Act of 1964, 42 U.S.C. 2000e et seq.; the Equal Pay Act, 29
U.S.C. 206(d); the Age Discrimination in Employment Act of 1967, 29
U.S.C. 621 et seq., and Titles I and V of the Americans with
Disabilities Act, 42 U.S.C. 12101 et seq.
(B) Adhere to the Grant Agreement
After an application has been approved, HUD and the applicant shall
enter into a grant agreement (Form 1044 and attachments) incorporating
the entire application except as modified by HUD and setting forth the
amount of the grant and its applicable terms, conditions, financial
controls, payment mechanism (which except under extraordinary
conditions will operate under HUD's Line of Credit Control System
(LOCCS)) and special conditions, including requiring adherence to the
appropriate OMB circulars and other government wide requirements and
specifying sanctions for violation of the agreement. The grant
[[Page 23912]]
agreement will include additional information regarding Insurance/
Indemnification, Freedom of Information Act, grant staff personnel,
exclusion period, earning and benefits, reports, closeouts, and
treatment of income.
(C) Prior to the initial draw down, all TOP and EDSS grantees shall
have secured online access to the internet as a means to communicate
with HUD on grant matters, and EDSS grantees shall have provided 75% of
the required MTCS data to HUD.
(D) Within three months of HUD grant approval, successful TOP
applicants who are site-based RAs must have applied for 501(c) status
with the United States Internal Revenue Service.
(E) Risk Management
Grantees and subgrantees are required to implement, administer and
monitor programs so as to minimize the risk of fraud, waste, abuse, and
liability for losses from adversarial legal action.
III. Application Selection Process
Three types of reviews will be conducted: a screening to determine
if the application submission is complete and on time (see General
Section of the SuperNOFA and Section IV of this TOP/EDSS section of the
SuperNOFA); a threshold review to determine applicant eligibility; and
a technical review to rate the application based on the rating factors
in this Section III.
(A) Additional Threshold Criteria for Funding Consideration
Under the threshold review, the applicant will be rejected from the
competition if the applicant is not in compliance with the threshold
requirements of the General Section of the SuperNOFA and if the
following additional standards are not met:
EDSS
(1) Focus on Residents Affected by Welfare Reform. The family EDSS
application must demonstrate evidence from the HA that at least 51% or
more of the public or Indian housing residents to be included in the
proposed program are affected by the welfare reform legislation,
including Temporary Assistance for Needy Families (TANF) recipients,
legal immigrants, and disabled SSI recipients.
(2) Accessible Community Facility. The application must provide
evidence (e.g. through an executed use agreement if the facility is to
be provided by an entity other than the PHA/Tribe/TDHE) that a majority
of the proposed activities will be administered at community facilities
within easy transportation access (i.e., walking or by direct (no
transfers required), convenient, inexpensive and reliable transport),
of the property represented by the HA. The community facilities must
also meet the structural accessibility requirements of Section 504 of
the Rehabilitation Act and the Americans With Disabilities Act.
(3) Leveraging Other Resources. The budget, the work plan, and
commitments from resources and services other than the grant for which
the applicant is applying to support the grant (including Comprehensive
Grant, other governmental units/agencies of any type and/or private
sources, whether for-profit or not-for-profit) must clearly evidence
that these resources are firmly committed, will support the proposed
grant activities and will, in combined amount (including in-kind
contributions of personnel, space and/or equipment, and monetary
contributions) equal the ED/SS grant amount proposed in this
application. Firmly committed means there must be a written agreement
to provide the resources. The written agreement may be contingent upon
an applicant receiving a grant award. At least 25% of the match amount
must consist of monetary contribution of funds and the remaining 75% in
in-kind or other types of contributions. Salaries paid for with ED/SS
funds do not qualify as funds from sources outside HUD. The following
are guidelines for valuing certain types of contributions:
(i) The value of volunteer time and services shall be computed at a
rate of six dollars per hour except that the value of volunteer time
and service involving professional and other special skills shall be
computed on the basis of the usual and customary hourly rate paid for
the service in the community where the EDSS activity is located.
(ii) The value of any donated material, equipment, building, or
lease shall be computed based on the fair market value at time of
donation. Such value shall be documented by bills of sales, advertised
prices, appraisals, or other information for comparable property
similarly situated not more than one-year old taken from the community
where the item or ED/SS activity is located, as appropriate.
(4) Compliance with Current Programs. The applicant must provide
certification in the format provided in the application kit that it is
not in default at the time of application submission with respect to
grants for the following programs: The Family Investment Center
Program; the Youth Development Initiative under the Family Investment
Center Program; The Youth Apprenticeship Program; The Apprenticeship
Demonstration in the Construction Trades Program; The Urban Youth Corps
Program; The HOPE 1 Program; The Public Housing Service Coordinator
Program; The Public Housing Drug Elimination Program; and The Youth
Sports Program.
(5) In the case of an HA that is designated as ``troubled'' as a
result of its PHMAP score the HA must provide documentation that a
Contract Administrator (or equivalent organization that is qualified to
administer federal grants; contracts; or cooperative agreements as
evidence by information submitted in this document) will be deployed in
the administration of this proposed grant.
(6) PHMAP Score. An applicant cannot have a PHMAP score less than a
C for either Indicator #6, Financial Management or Indicator #8,
Resident Initiatives on its most recent PHMAP.
TOP
(1) Economic Self-Sufficiency Grant
(a) Focus on Residents Affected by Welfare Reform. The application
must contain written evidence provided by the HA to the RA that at
least 51% or more of the public housing residents to be included in the
proposed program are affected by the welfare reform legislation,
including TANF recipients and, if affected, legal immigrants and SSI
recipients. Elderly or disabled residents not otherwise affected by
welfare reform may be included towards meeting the fifty one percent
requirement if, under the grant, they will provide services such as
child care or mentoring to persons affected by welfare reform.
(b) Partnership between the Resident Association and the Housing
Authority.
(i) The application must contain a signed MOU between the RA and
the HA which describes the specific roles, responsibilities and
activities to be undertaken between the two entities.
(ii) The MOU, at a minimum must identify the principal parties
(i.e. the name of the HA and RA), the terms of the agreement
(expectations or terms for each party), and an indication that the
agreement pertains to the support of the RA TOP grant application. This
document is the basis for foundation of the relationship between the RA
and HA. It must be precise and outline the specific duties and
objectives to be accomplished under the grant. All MOUs must be
finalized, dated and signed by duly authorized officials of both the RA
and HA upon submission of the application. A sample MOU will be
provided in the application kit.
[[Page 23913]]
This threshold requirement is not applicable to Intermediary
Resident Organization applicants.
(c) Accessible Community Facility--The applicant must provide
evidence (e.g. through an executed use agreement and/or in the MOU with
the HA) that a majority of the proposed activities will be administered
at community facilities within easy access (i.e., walking or by direct
(no transfers required), convenient, inexpensive and reliable
transport), of the property represented by the RA. The community
facility must also meet the structural accessibility requirements of
section 504 of the Rehabilitation Act and the Americans with
Disabilities Act.
(d) Contract Administrator. Unless HUD or an Independent Public
Accountant have determined that the applicant's financial management
system and procurement procedures fully comply with 24 CFR part 84, the
application must contain evidence that the RA will use the services of
a Contract Administrator in administering the grant. Troubled HAs are
not eligible to be Contract Administrators. In cases where the Contract
Administrator is the HA, the contract administration responsibilities
can be incorporated into the MOU discussed in paragraph (g)(3) above.
This requirement does not apply to Intermediary Resident Organization
applicants.
(e) Applicant Non-Profit Status
(i) RCs/RMCs--Applicant must submit evidence that the applicant is
registered with the State as a nonprofit corporation.
(ii) Intermediary Resident Organizations must submit evidence of
being registered with the State as a nonprofit corporation; and having
applied for 501(c) status with the United States Internal Revenue
Services.
(f) Certification of Elections--Applicant must submit certification
of the RA board election as required by HUD, signed by the local HA
and/or an independent third-party monitor and notarized. (Not
applicable to IROs)
(g) Compliance with Current Programs. The applicant must provide a
valid certification on the format provided in the application kit that
it is not the subject of unresolved HUD Office of Inspector General
findings and that it and the contract administrator are not in default
at the time of application submission with respect to any previous HUD
funded grant programs the applicant or another party has received.
(h) Applicants which are Intermediary Resident Organizations must
list in the application the name of the RAs that will receive training,
technical assistance and/or coordinated supportive services and must
provide letters of support from each entity identified in the
application. The intermediary can not list RAs that have been
previously awarded Resident Management and/or TOP funds at the maximum
limit of $100,000.
(2) Organizational Development Grant.
(a) Certification of Elections--Applicant must submit certification
of the RA board election as required by HUD, signed by the local HA
and/or an independent third-party monitor and notarized. (Not
applicable to IROs)
(b) Contract Administrator Unless HUD or an Independent Public
Accountant have determined that the applicant's financial management
system and procurement procedures comply with 24 CFR part 84, the
application must contain evidence that the RA will use the services of
a Contract Administrator in administering the grant. Troubled HAs are
not eligible to be Contract Administrators. In cases where the Contract
Administrator is the HA, the contract administration responsibilities
can be incorporated into the MOU discussed in paragraph (g)(3) above.
This requirement does not apply to Intermediary Resident Organization
applicants.
(c) Compliance with Current Programs. The applicant must provide
certification on the format provided in the application kit that it and
the contract administrator are not in default at the time of
application submission with respect to any previous HUD funded grant
programs the applicant or any other party has received and that there
are no unresolved Office of Inspector General findings against the
applicant or contract administrator.
(d) Applicants which are Intermediary Resident Organizations must
list in the application the name of the RAs that will receive training,
technical assistance and/or coordinated supportive services and must
provide letters of support from each entity identified in the
application. The intermediary can not list RAs that have been
previously awarded Resident Management and/or TOP funds at the maximum
limit of $100,000.
(3) Mediation Grant. For mediation grants, the applicant must meet
the following requirements:
(a) Written Agreement with Mediator. Have a written agreement with
professional mediator or mediation organization (mediator/partner) with
roles and responsibilities of each party, as well as any compensation
to the mediator/partner (which must be reasonable and based on the work
to be performed) defined. The written agreement must specify,
consistent with the work plan, that the mediator/partner will train IRO
staff and/or volunteers such that the IRO will be capable of providing
mediation assistance independently by the end of the grant term;
(b) Mediation Experience/Referral Agreement. Provide evidence that
its mediator/partner have at least three years of experience in
providing mediation services and at least two years of experience in
mediation training; and include one referral agreement with a judicial,
law enforcement or social service agency such as the court system or
Welfare Department for mediation referral of public housing residents.
(c) Applicant Non-Profit Status. Intermediary Resident
Organizations must be registered with the State as a nonprofit
corporation; and have applied for 501(c) status with the United States
Internal Revenue Services.
(d) Compliance with Current Programs. The applicant must provide
certification on the format provided in the application kit that it and
the mediation partner are not in default at the time of application
submission with respect to any previous HUD funded grant programs the
applicant has received and that there are no unresolved Office of
Inspector General findings against the applicant or mediation partner.
(B) Factors for Award Used to Evaluate and Rate EDSS and TOP
Applications
The following information does not apply to TOP organizational
development applicants which will be selected by lottery.
The factors for rating and ranking applicants and maximum points
for each factor are provided below. The points awarded for the factors
total 100. Applicants are eligible two EZ/EC bonus points, as described
in the General Section of the SuperNOFA. An EDSS application must
receive a total of 75 points out of 100 and a TOP application must
receive a total of 65 points out of 100 in order to be eligible for
funding.
EDSS Selection Factors
Rating Factor 1: Capacity of the Applicant and Relevant Organizational
Experience (20 Points)
This factor addresses the extent to which the applicant has the
organizational resources necessary to successfully implement the
proposed activities in a timely manner. In rating this factor HUD will
consider the extent to which the proposal demonstrates:
(1) Proposed Program Staffing (7 Points)
[[Page 23914]]
(a) Experience. (4 Points): The knowledge and experience of the
overall proposed project director and staff, including the day-to-day
program manager, sub-recipients and partners in planning and managing
programs for which funding is being requested. Experience will be
judged in terms of recent, relevant and successful experience of the
applicant's staff to undertake eligible program activities.
(b) Sufficiency. (3 Points): The applicant, its sub-recipients, and
partners have sufficient personnel or will be able to quickly access
qualified experts or professionals, to deliver the proposed activities
in each proposed service area in a timely and effective fashion,
including the readiness and ability of the applicant to immediately
begin the proposed work program. To demonstrate that the applicant must
submit the proposed number of staff years by the employees and experts
to be allocated to the project, the titles and relevant professional
background and experience of each employee and expert proposed to be
assigned to the project and the roles to be performed by each
identified employee and expert.
(2) Program Administration and Fiscal Management (7 Points)
(a) Program Administration. (4 Points): The soundness of the
proposed management of the proposed ED/SS program. In order to receive
a high score an applicant must provide a comprehensive description of
the project management structure, including the use of a contract
administrator, if applicable. The narrative must provide a description
of how any co-applicants, subgrantees and other partner agencies relate
to the program administrator as well as the lines of authority and
accountability among all components of the proposed program.
(b) Fiscal Management. (3 Points): The soundness of the applicant's
proposed fiscal management. In order to receive a high score an
applicant must provide comprehensive description of the fiscal
management structure, including but not limited to budgeting, fiscal
controls and accounting. The application must identify the staff
responsible for fiscal management, and the processes and timetable for
implementation during the proposed grant period.
(3) Applicant/Administrator Track Record (6 Points): Based on the
applicant's or if a Contract Administrator is proposed, the
Administrator's prior performance in successfully carrying out grant
programs designed to assist residents in increasing their self-
sufficiency, security or independence. In order to receive a high score
the applicant must demonstrate its (or the proposed Administrator's)
program compliance and successful implementation of any of resident
self-sufficiency, security or independence oriented grants (including
those listed below) awarded to the applicant or overseen by the
Administrator. Applicants or Administrators with no prior experience in
operating programs that foster resident self-sufficiency, security or
independence will receive a score of 0 on this factor. The applicant's
past experience may include but is not limited to administering the
following grants: The Family Investment Center Program; The Youth
Development Initiative under the Family Investment Center Program; The
Youth Apprenticeship Program; The Apprenticeship Demonstration in the
Construction Trades Program; The Urban Youth Corps Program; The HOPE 1
Program; The Public Housing Service Coordinator Program; The Public
Housing Drug Elimination Program; and The Youth Sports Program.
Rating Factor 2: Need/Extent of the Problem (20 Points)
Family EDSS applicants will be rated on (1) (a)(i)--(a)(vi).
Elderly/Disabled applicants will be rated on (2)(a)-(c).
This factor addresses the extent to which there is a need for
funding the proposed program activities to address a documented problem
in the target area. Applicants will be evaluated on the extent to which
they document a critical level of need in the development or the
proposed activities in the area where activities will be carried out.
In responding to this factor, applicants will be evaluated on:
(1) A Needs Assessment Document (18 Points): HUD will award up to
18 points based on the quality and comprehensiveness of the needs
assessment document. In order to obtain maximum points for Family
Economic Development and Supportive Services Category applications,
this document must contain statistical data which provides:
(a) A thorough socioeconomic profile of the eligible residents in
relationship to HA-wide and national public and Indian housing data on
residents:
(i) Who are on TANF, SSI benefits, or other fixed income
arrangements;
(ii) In job training, entrepreneurship, or community service
programs; and
(iii) Who are employed.
(iv) Specific information should be provided on training,
contracting and employment through the HA.
(v) An assessment of the current service delivery system as it
relates to the needs of the target population, including the number and
type of services, the location of services, and community facilities
currently in use,
(vi) A description of the goals, objectives, and program strategies
that will result in successful transition of residents from welfare-to-
work.
(2) In order to obtain maximum points for Elderly and Disabled
Supportive Services Category applications, this document should contain
statistical data which provides:
(a) The numbers of residents indicating need for assistance for
activities of daily living.
(b) An assessment of the current service delivery system as it
relates to the needs of the target population, including the number and
type of services, the location of services, and community facilities
currently in use.
(c) A description of the goals, objectives, and program strategies
that will result in increased independence for proposed program
participants.
(2) Level of Priority in Consolidated Plan. (2 Points):
Documentation of the level of priority the locality's, or in the case
of small cities, the State's Consolidated Plan has placed on addressing
the needs. Applicants may also address needs in terms of fulfilling the
requirements of court actions or other legal decisions or which expand
upon the Analysis of Impediments to Fair Housing choice (AI) to further
fair housing. Applicants that address needs that are in the community's
Consolidated Plan, AI, or a court decision, or identify and
substantiate needs in addition to those in the AI, will receive a
greater number points than applicants which do not relate their
proposed program to the approved Consolidated Plan or Analysis of
Impediments to Fair Housing Choice or court action. There must be a
clear relationship between the proposed activities, community needs and
the purpose of the program funding for an applicant to receive points
for this factor. For Tribes/TDHEs, the Indian Housing Plan would be the
document to review for this information.
Rating Factor 3: Soundness of Approach (40 Points)
This factor addresses the quality and cost-effectiveness of the
applicant's proposed work plan. In rating this factor HUD will
consider: the viability and comprehensiveness of strategies to address
the needs of residents; budget appropriateness/efficient use of grant;
the speed at which the applicant can realistically accomplish the goals
of the proposed EDSS program; the soundness of the applicant's plan to
evaluate the
[[Page 23915]]
success of its proposed EDSS program at completion and during program
implementation; and resident and other partnerships; and policy
priorities.
(1) Viability and comprehensiveness of the strategies to address
the needs of residents (19 Points): The score in this factor will be
based on the viability and comprehensiveness of strategies to address
the needs of residents. HUD will award up to 19 points based on the
following:
(a) Services (13 Points for Family EDSS applicants and 19 Points
for Elderly/Disabled applicants; more points are awarded in the
Elderly/Disabled application in order to balance other sections of the
rating criteria where points are not applicable to an Elderly/Disabled
applicant): The score in this factor will be based on the following:
(i) For Family Economic Development and Supportive Services
Category applications, applicant provides a comprehensive description
of how the applicant's plan provides services that specifically address
the successful transition from welfare to work of non-elderly families.
To receive a high score, the applicant should include case management/
counseling, job training/development/placement (and/or business
training/development/startup), child care and transportation. Also, in
order to receive maximum points, goals, and objectives of the proposed
plan, the plan must represent significant achievements related to
welfare-to-work and other self-sufficiency/independence goals.
Specifically for those residents affected by welfare reform, the number
of residents employed or resident businesses started are preferable to
the number of residents receiving training.
(ii) For Elderly and Disabled Supportive Services Category
applications, applicant could include case management, health care,
congregate services and transportation. To obtain maximum points the
services must be located in a community facility and be available on a
12 hour basis or as needed by the eligible residents.
(b) Resident Contracting and Employment (3 Points): The score in
this factor will be based on the extent to which residents will achieve
self-sufficiency through the applicant contracting with resident owned
businesses and through resident employment. A high score will be
awarded where there is documentation (letter or resolution) describing
the HA's commitment to hire at least 15% of residents or contract at
least 15% of residents and a narrative describing the reasonable number
of jobs or contracts, as well as the training processes related to the
comprehensive plan. Elderly and Disabled Supportive Services Category
applications will not be scored on this criterion.
(c) Rent Reform and Occupancy Incentives (3 Points): The score in
this factor will be based on the degree to which the applicant has
implemented, proposes to implement or collaborates with a public
welfare department to implement incentives designed to promote resident
self-sufficiency including but not limited to: ceiling rents, rent
exclusions, rent escrows, occupancy preferences for applicants who work
or who are in a self-sufficiency program, stipends, or income
disregards. A high score is received if the applicant can show how the
incentives complement the purposes of the program activities for which
the applicant is seeking funding. Elderly and Disabled Supportive
Services Category applications will not be scored on this criterion.
(2) Budget appropriateness/efficient use of grant (5 Points): Up to
5 points based on the extent to which the proposed ED/SS program will
result in a lower total ED/SS program cost per dwelling unit to be
served in the program in comparison to other applications under ED/SS.
For the purposes of this selection factor, applicants may only count
dwelling units currently under an annual contributions contract at the
time of application submission.
Tribes/TDHEs should use the number of units counted as Formula
Current Assisted Stock for Fiscal Year 1998 as defined in 24 CFR
1000.316. Tribes who have not previously received funds from the
Department under the 1937 Act should count housing units under
management that are owned and operated by the tribe and are identified
in their housing inventory as of September 30, 1997. The procedure for
determining the score is outlined below.
(a) HUD will combine all of the per-unit amounts, rounded to the
nearest whole dollar, into a single nationwide list in order from the
lowest cost per unit to the highest cost per unit. HUD will take the
total number of grant applications that have met the prerequisites to
be scored and divide them by the score for this factor (i.e. 5) to
establish a scoring increment.
(b) HUD will start at the lowest per-unit amount and count one
scoring increment into the list (i.e. 1/5th of the way into the list).
The per-unit amount at that location will constitute a breakpoint. HUD
will count the next scoring increment into the list and establish
another breakpoint. The process will be repeated to establish 5
segments of per-unit costs. In the event that multiple applications
share the same per-unit cost at a breakpoint, the breakpoint will be
adjusted by $1 higher or lower than that of the initial breakpoint to
achieve as close as possible a 1/5th segment.
(c) Once all of the breakpoints have been established as outlined,
HUD will enter the score. All applications with a cost per unit below
that of the first breakpoint will receive a score of 5; those with a
cost per unit lower than the second breakpoint will receive a score of
4; etc.
(3) Reasonableness of the timetable (2 Points for Family EDSS
applicants and 4 Points for Elderly/Disabled applicants); (more points
are awarded in the Elderly/Disabled application in order to balance
other sections of the rating criteria where points are not applicable
to Elderly/Disabled applicant):
The score in this factor will be based on the speed at which the
applicant can realistically accomplish the goals of the proposed ED/SS
program. To receive a high score, the applicant must demonstrate that
it will make substantial progress within the first six months after
grant execution including putting staff in place, finalizing
partnership arrangements, completing the development of requests for
proposals and achieving other milestones that are prerequisites for
implementation of the program. In addition the applicant must
demonstrate that the proposed timetable for all components of the
proposed program is reasonable considering the size of the grant and
its activities and that it can accomplish its objectives within the 24
month time limit.
(4) Program Assessment. (3 Points): The score in this factor will
be based on the soundness of the applicant's plan to evaluate the
success of its proposed EDSS program both at the completion of the
program and during program implementation. At a minimum, the applicant
must track the goals and objectives of the proposed work plan program.
HUD will rate more favorably applicants which can track specific
measurable achievements for the use of program funds, such as number of
residents employed, salary scales of jobs obtained, persons removed
from welfare roles 12 months or longer, and number of persons receiving
certificates for successful completion of training in careers such as
computer technology.
(5) Resident and Other Partnerships (11 Points for Family EDSS
applicants and 9 Points for Elderly/Disabled applicants)
[[Page 23916]]
(a) Resident Involvement in ED/SS Activities (3 Points for Family
EDSS applicants and 4 Points for Elderly/Disabled applicants); more
points are awarded in the Elderly/Disabled application in order to
balance other sections of the rating criteria where points are not
applicable to Elderly/Disabled applicants): The score in this factor
will be based on the extent of resident involvement in developing the
proposed EDSS program as well as the extent of proposed resident
involvement in implementing the proposed EDSS program. In order to
receive a high score on this factor the applicant must provide
documentation that describes the involvement of residents in the
planning phase for this program, and a commitment to provide continued
involvement in grant implementation. In order to receive maximum points
a memorandum of understanding or other written agreement between the
applicant and the appropriate Resident Associations must be included.
(b) Other Partnerships (3 Points): The score in this factor will be
based on the successful integration of partners into implementation of
the proposed EDSS program. In order to receive a high score an
applicant must provide a signed Memorandum of Understanding (MOU) (or
other equivalent signed documentation provided that it delineates the
roles, responsibilities of each of the parties and the benefits they
will receive) that delineates specific partnerships related to the
components in the comprehensive plan. In assessing this factor HUD will
examine a number of aspects of the proposed partnership including:
(i) The division of responsibilities/management structure of the
proposed partnership relative to the expertise and resources of the
partners;
(ii) The extent to which the partnership as a whole addresses a
broader level of unmet resident needs: the extent to which the addition
of the partners provides the ability to meet needs that the applicant
could not otherwise meet without the partner(s).
(c) Overall Relationship/TOP Coordination (3 Points): For Family
EDSS applicants, the score in this factor will be based on the extent
of coordination between the applicant's proposed EDSS program and any/
all existing or proposed TOP programs sponsored by RAs within the
applicant's jurisdiction. In order to receive a high score the
application must contain an MOU that describes collaboration between HA
staff and residents on all of the specific components related to the
work plan of both the proposed or current TOP and EDSS programs. If
there are no existing and no proposed TOP grants within the
jurisdiction of the applicant, the score for this factor will be 0.
Elderly/Disabled applications will not be scored on this criterion. In
addition, if all of the resident groups eligible to apply for TOP
within the applicant's jurisdiction have already received TOP grants
and will have completed the activities, the applicant will not be
scored on this criterion.
(6) Policy Priorities (2 Points): Documentation of the extent to
which policy priorities of the Department are furthered by the proposed
activities. Such Department policy priorities are: (1) Affirmatively
furthering fair housing by promoting greater opportunities for housing
choice for minorities and the disabled; (2) Promoting healthy homes;
(3) Providing opportunities for self-sufficiency, particularly for
persons enrolled in welfare to work programs; (4) Providing enhanced
economic, social and/or living environments in Empowerment Zones or
Enterprise communities; and (5) Providing educational and job training
opportunities through such initiatives as Neighborhood Networks, Campus
of Learners and linking programs to AmeriCorps activities. To obtain
the full two points in this category, at least three of these five
policy priorities must be addressed.
Rating Factor 4: Leveraging Resources (10 Points)
This factor addresses the ability of the applicant to secure
community resources (note: financing is a community resource) which can
be combined with HUD's program resources to achieve program purposes.
In evaluating this factor HUD will consider:
The extent to which the applicant has partnered with other entities
to secure additional resources to increase the effectiveness of the
proposed program activities. Resources may include funding or in-kind
contributions, such as services or equipment, allocated to the
purpose(s) of the award the applicant is seeking. Resources may be
provided by governmental entities, public or private nonprofit
organizations, for-profit private organizations, or other entities
willing to partner with the applicant. Applicants may also partner with
other program funding recipients to coordinate the use of resources in
the target area.
For programs which have a matching requirement, rating points for
this factor will be allocated based upon the extent to which an
applicant has exceeded the program's minimum match requirement. If the
applicant meets the match requirement they will receive up to an
additional 5 points; depending on the extent to which the match
requirement is exceeded.
Applicants must provide evidence of leveraging/partnerships by
including in the application letters of firm commitments, memoranda of
understanding, or agreements to participate from those entities
identified as partners in the application. To be firmly committed there
must be a written agreement to provide the resources. The written
agreement may be contingent upon an applicant receiving a grant award.
Each letter of commitment, memorandum of understanding, or agreement to
participate should include the organization's name, proposed level of
commitment and responsibilities as they relate to the proposed program.
The commitment must also be signed by an official of the organization
legally able to make commitments on behalf of the organization.
Rating Factor 5: Comprehensiveness and Coordination (10 Points)
This factor addresses the extent to which the applicant's program
reflects a coordinated, community-based process of identifying needs
and building a system to address the needs by using available HUD
funding resources and other resources available to the community.
In evaluating this factor HUD will consider:
(1) Coordination with the Consolidated Plan (2 Points for Family
EDSS applicants and 6 points for Elderly/Disabled applicants; more
points are awarded in the Elderly/Disabled application in order to
balance other sections of the rating criteria where points are not
applicable to an Elderly/Disabled application.)
The extent to which the application demonstrates the applicant has
reviewed the community's Consolidated Plan and/or Analysis of
Impediments to Fair Housing Choice, and has proposed activities that
address the priorities, needs, goals or objectives in those documents;
or substantially further fair housing choice in the community. For
tribes/TDHEs the Indian Housing Plan would be the document to review
for information.
(2) For Family EDSS Applications, Coordination with the State or
Tribal Welfare Plan (4 Points): Provide evidence that the proposed EDSS
program has been coordinated with and supports the housing authority's
efforts to increase resident self-sufficiency and
[[Page 23917]]
is coordinated and consistent with the State or Tribal Welfare Plan.
(3) Coordination with Other Activities (4 Points): The extent to
which the application demonstrates that the applicant in carrying out
program activities will develop linkages with: other HUD funded program
activities proposed or on-going in the community; or other State,
Federal or locally funded activities proposed or on-going in the
community which, taken as a whole, support and sustain a comprehensive
system to address the needs.
TOP Selection Factors for Economic Self-Sufficiency Grants
Rating Factor 1: Capacity of the Applicant and Relevant Organizational
Experience (20 points)
This factor addresses the extent to which the applicant has
assembled the organizational resources necessary to successfully
implement the proposed activities in a timely manner. Since TOP
grantees are generally prohibited from hiring staff with TOP funds,
Site-Based Resident Association applicants will be rated based largely
on the capacity of the Contract Administrator and partners contributing
additional resources. In rating this factor HUD will consider the
applicant's:
(1) Staffing. (7 Points)
(a) Experience. (4 Points): The knowledge and experience of the
overall proposed applicant's, Contract Administrator's and/or partners'
project director and staff, including the day-to-day program manager,
in planning and managing programs for which funding is being requested.
Experience will be judged in terms of recent, relevant and successful
experience of the applicant's staff to undertake eligible program
activities.
(b) Sufficiency. (3 Points): The applicant, Contract Administrator
(if any) and partners have sufficient personnel or will be able to
access quickly qualified experts or professionals, to deliver the
proposed activities in each proposed service area in a timely and
effective fashion, including the readiness and ability of the applicant
to immediately begin the proposed work program. To demonstrate that,
the applicant must submit the proposed number of staff years by the
employees and experts to be allocated to the project, the titles and
relevant professional background and experience of each employee and
expert proposed to be assigned to the project and the roles to be
performed by each identified employee and expert.
(2) Program Administration and Fiscal Management (7 points)
(a) Program Administration (4 Points): The soundness of the
proposed management of the proposed TOP program. In order to receive a
high score an applicant must provide a comprehensive description of the
project management structure, including the use of a contract
administrator, if applicable. The narrative must provide a description
of how any co-applicants, subgrantees and other partner agencies relate
to the program administrator as well as the lines of authority and
accountability among all components of the proposed program.
(b) Fiscal Management (3 Points): The soundness of the applicant's
proposed fiscal management. In order to receive a high score an
applicant must provide comprehensive description of the fiscal
management structure, including but not limited to budgeting, fiscal
controls and accounting. The application must explain the staff
responsible for fiscal management, and the processes and timetable for
implementation during the proposed grant period.
(3) Applicant/Administrator Track Record/Capability (6 Points): In
assessing this factor, HUD will consider the soundness of the prior
experience of the Applicant and the Contract Administrator (if
applicable) in successfully carrying out resident services programs
designed to assist residents in increasing their self-sufficiency,
security or independence. A high score is received if the Applicant or
Administrator can demonstrate compliance and successful implementation
(i.e., completion of grant implementation plan tasks) of prior resident
services programs. Applicants and Contract Administrators with no prior
experience in operating programs that foster resident self-sufficiency,
security or independence will receive a score of 0 on this factor.
Rating Factor 2: Need/Extent of the Problem (20 Points)
This factor addresses the extent to which there is a need for
funding the proposed program activities to address a documented problem
in the target area. Applicants will be evaluated on the extent to which
they document a well specified and critical need in the development of
the proposed activities in the area where activities will be carried
out. In responding to this factor, applicants will be evaluated on:
(1) Needs Assessment Document (18 Points): HUD will award up to 18
points based on the quality and comprehensiveness of the needs
assessment document. In order to obtain maximum points this document
must contain statistical data which provides:
(a) A thorough socioeconomic profile of the eligible residents in
relationship to HA-wide and national public housing data on residents.
The profile should include residents: on TANF, SSI benefits, or other
fixed income arrangements; in job training, entrepreneurship, or
community service programs; and employed;
(b) Specific information should be provided on training,
contracting and employment through the HA;
(c) An assessment of the current service delivery system as it
relates to the needs of the target population, including the number and
type of services, the location of services, and community facilities
currently in use.
(2) Level of Priority in Consolidated Plan (2 Points):
Documentation of the level of priority the locality's, or in the case
of small cities, the State's Consolidated Plan has placed on addressing
the needs. Applicants may also address needs in terms of fulfilling the
requirements of court actions or other legal decisions or which expand
upon the Analysis of Impediments to Fair Housing choice (AI) to further
fair housing. Applicants that address needs that are in the community's
Consolidated Plan, AI, or a court decision, or identify and
substantiate needs in addition to those in the AI, will receive a
greater number points than applicants which do not relate their
proposed program to the approved Consolidated Plan or Analysis of
impediments to Fair Housing Choice or court action. There must be a
clear relationship between the proposed activities, community needs and
the purpose of the program funding for an applicant to receive points
for this factor.
Rating Factor 3: Soundness of Approach (40 Points)
This factor addresses the quality and cost-effectiveness of the
applicant's proposed work plan. In rating this factor HUD will
consider: the viability and comprehensiveness of strategies to address
the needs of residents; budget appropriateness/efficient use of grant;
the speed at which the applicant can realistically accomplish the goals
of the proposed TOP program; the soundness of the applicant's plan to
evaluate the success of its proposed TOP program at completion and
during program implementation; and resident and other partnerships.
Tribes/TDHEs should use the number of units counted as Formula Current
Assisted Stock for Fiscal Year 1998 as defined in 24 CFR 1000.316.
Tribes that have not previously received funds from the Department
under the 1937 Act should count housing units
[[Page 23918]]
under management that are owned and operated by the tribe and are
identified in their housing inventory as of September 30, 1997.
(1) Viability and comprehensiveness of the strategies to address
the needs of residents (11 Points): The score in this factor will be
based on the extent and comprehensiveness of the training and related
services that will be provided as well as the extent that the proposed
training and related services will contribute to providing for unmet
resident needs identified in the required Needs Assessment Report.
To receive a high score applicants must provide a comprehensive
description of how the proposed plan provides training and related
services that specifically address the successful transition from
welfare to work and/or maintaining independence of elderly families and
persons with disabilities by avoiding institutionalization. To obtain
maximum points the training and related services must be located in the
community facility and be available as needed by the eligible
residents. Also, in order to receive maximum points, goals and
objectives of the proposed plan must represent significant achievements
related to welfare-to-work and other self-sufficiency/independence
goals. Specifically, for residents affected by welfare reform, the
number of residents employed or resident businesses started are
preferable to the number of residents receiving training.
Intermediary Resident Organizations will receive points under this
Viability and Comprehensiveness factor (as outlined above) based on the
training and related services for each of the project sites the
Intermediary Resident Organization proposes to assist.
(2) Budget Appropriateness/Efficient Use of Grant Funds (6 Points):
The score in this factor will be based on the following:
(a) Detailed Budget Break-Out: The extent to which the application
includes a detailed budget break-out for each budget category in the
SF-424A.
(b) Reasonable administrative costs. The extent to which the
application includes reasonable administrative costs within the 25%-30%
administrative cost ceiling.
(c) Budget Efficiency. The extent to which the application requests
funds commensurate with the level of effort necessary to accomplish the
goals and objectives and the estimated costs to the government are
reasonable in relationship to the anticipated results.
(3) Reasonableness of the timetable (1 Point): The score in this
factor will be based on the speed at which the applicant can
realistically accomplish the goals of the proposed TOP program. To
receive a high score, the applicant must demonstrate that the proposed
timetable for all components of the proposed program is reasonable
(i.e., a given task is allotted the amount of time it would normally
take to accomplish such a task) and that the applicant can accomplish
the proposed implementation plan objectives within the 24 month time
limit. The applicant must also demonstrate that it will make
substantial progress within the first six months after grant execution.
(4) Policy Priorities (2 Points): Documentation of the extent to
which policy priorities of the Department are furthered by the proposed
activities. Such Department policy priorities are: (1) Affirmatively
furthering fair housing by promoting greater opportunities for housing
choice for minorities and the disabled; (2) Promoting healthy homes;
(3) Providing opportunities for self-sufficiency, particularly for
persons enrolled in welfare to work programs; (4) Providing enhanced
economic, social and/or living environments in Empowerment Zones or
Enterprise communities; and (5) Providing educational and job training
opportunities through such initiatives as Neighborhood Networks, Campus
of Learners and linking programs to AmeriCorps activities. To obtain
the full two points in this category, at least three of these five
policy priorities must be addressed.
(5) Housing Authority-Resident Association Partnership (8 Points)
(a) The score in this factor will be based on the extent of
coordination between the applicant's proposed TOP program and any/all
existing or proposed HA resident services programs that assist
residents in increasing their self-sufficiency, security or maintaining
their independence by avoiding institutionalization. In order to
receive a high score the application must contain an MOU (between the
HA and the RA) which describes collaboration between HA staff and
residents on all of the specific components related to the
implementation plans of both the proposed TOP program and the resident
services programs of the housing authority.
(b) Intermediary Resident Organizations will receive points under
this Housing Authority-Resident Association Program Partnership factor
based on the extent to which the Intermediary Resident Organization can
demonstrate that the housing authorities for each of the project sites
the Intermediary Resident Organization proposes to assist have agreed
to support and coordinate their efforts with those of the Intermediary
Resident Organization in assisting the project sites.
(6) Other Partnerships (4 Points): The score in this factor will be
based on the successful integration of partners into implementation of
the proposed TOP program. In order to receive a high score an applicant
must provide an MOU or other equivalent documentation that delineates
specific partnerships related to the components in the comprehensive
plan. In assessing this factor HUD will examine a number of aspects of
the proposed partnership including:
(a) The soundness of the division of responsibilities/management
structure of the proposed partnership relative to the expertise and
resources of the partners;
(b) The extent to which the partnership as a whole addresses a
broader range of resident needs: the extent to which the addition of
the partners provides the ability to meet needs more cost effectively
or efficiently than the applicant or its partners could achieve
individually without forming the partnership.
(7) Resident Involvement (4 Points)
(a) The score in this factor will be based on the extent of
resident involvement in developing the proposed TOP program as well as
the extent of proposed resident involvement in implementing the
proposed TOP program. In order to receive a high score on this factor
the applicant must provide verifiable documentation which describes the
involvement of affected residents in the planning phase for this
program, and a commitment by the Resident Association to provide
continued involvement in grant implementation. In order to receive
maximum points the application must contain a resolution from the
appropriate RA(s) which includes signatures from the resident
community.
(b) Intermediary Resident Organizations will receive points under
this Resident Involvement factor based on the demonstrated level of
coordination of efforts between the RA for each of the project sites
the Intermediary Resident Organization proposes to assist and the
Intermediary Resident Organization. Higher points will be awarded to
the extent that RAs proposed to be assisted have taken the preliminary
steps to take advantage of the assistance proposed for their site by
the Intermediary Resident Organization. For example, the RA for the
proposed site has organized itself and selected its leadership and
obtained basic training from the HA or other community organizations.
[[Page 23919]]
(8) Program Assessment. (4 Points): The score in this factor will
be based on the soundness of the applicant's plan to evaluate the
success of its proposed EDSS program both at the completion of the
program and during program implementation. At a minimum, the applicant
must track the goals and objectives of the proposed work plan program.
HUD will rate more favorably applicants which can track specific
measurable achievements for the use of program funds, such as number of
residents employed, salary scales of jobs obtained, persons removed
from welfare roles 12 months or longer, and number of persons receiving
certificates for successful completion of training in careers such as
computer technology.
Rating Factor 4: Leveraging Resources (10 Points)
This factor addresses the ability of the applicant to secure
community resources. In evaluating this factor HUD will consider: The
extent to which the commitment letters or the equivalent can
demonstrate that resources outside the TOP Program (including existing
Federal, state, local, non-profit, and/or private resources) are to be
utilized in the applicant's proposed program. The resources will be
measured based on a ratio of applicant's value of in-kind contributions
and funds committed for the proposed effort.
Applicants must provide evidence of leveraging/partnerships by
including in the application letters of firm commitments, memorandum of
understanding, or agreements to participate from those entities
identified as partners in the application. To be firmly committed,
there must be a written agreement to provide the resources. The written
agreement may be contingent upon an applicant receiving a grant
agreement. Each letter of commitment, memorandum of understanding, or
agreement to participate should include the organization's name,
proposed level of commitment and responsibilities as they relate to the
proposed program. The commitment must also be signed by an official of
the organization legally able to make commitments on behalf of the
organization.
Rating Factor 5: Comprehensiveness and Coordination (10 Points)
This factor addresses the extent to which the applicant's program
reflects a coordinated, community-based process of identifying needs
and building a system to address the needs by using available HUD
funding resources and other resources available to the community.
In evaluating this factor HUD will consider:
(1) Coordination with the Consolidated Plan (2 Points): The extent
to which the application demonstrates the applicant has reviewed the
community's Consolidated Plan and/or Analysis of Impediments to Fair
Housing Choice, and has proposed activities that address the
priorities, needs, goals or objectives in those documents; or
substantially further fair housing choice in the community.
(2) Coordination with the State Welfare Plan (4 points): Provide
evidence that the proposed TOP has been coordinated with and supports
the housing authority's efforts to increase resident self-sufficiency
and is coordinated and consistent with the State Welfare Plan.
(3) Coordination with Other Activities (4 Points): The extent to
which the application demonstrates that the applicant, in carrying out
program activities, will develop linkages with: other HUD funded
program activities proposed or on-going in the community; or other
State, Federal or locally funded activities proposed or on-going in the
community which taken as a whole support and sustain a comprehensive
system to address the needs.
Selection Factors for TOP Organizational Development Grant
Applicants are not required to address selection factors for the
Organizational Development Grant category. HUD will use a lottery
system to select applicants for this category.
Selection Factors for TOP Mediation Grant
Rating Factor 1: Capacity of the Applicant and Relevant Organizational
Experience (20 Points)
This factor addresses the extent to which the applicant and
mediation partner have the organizational resources necessary to
successfully implement the proposed activities in a timely manner. In
rating this factor HUD will consider the applicant's:
(1) Staffing (7 points)
(a) Experience. (4 Points): The knowledge and experience of the
overall proposed project director and staff, including the day-to-day
program manager(s), for both the applicant and mediation partner in
planning and managing programs for which funding is being requested.
Experience will be judged in terms of recent, relevant and successful
experience of the staff to undertake eligible program activities.
(b) Sufficiency. (3 Points): The applicant and mediation partner
have sufficient personnel or will be able to quickly access qualified
experts or professionals, to deliver the proposed activities in each
geographical territory in a timely and effective fashion, including the
readiness and ability of the applicant to immediately begin the
proposed work program. To demonstrate that the applicant must submit
the proposed number of staff years by the employees and experts to be
allocated to the project, the titles and relevant professional
background and experience of each employee and expert proposed to be
assigned to the project and the roles to be performed by each
identified employee and expert.
(2) Program Administration and Fiscal Management (13 points)
(a) Program Administration. (4 Points): The soundness of the
proposed management of the proposed TOP program. In order to receive a
high score an applicant must provide a comprehensive description of the
project management structure. The narrative must provide a description
of how the mediation partner relates to the applicant as well as the
lines of authority and accountability among all components of the
proposed program.
(b) Fiscal Management (3 Points): The soundness of the applicant's
proposed fiscal management. In order to receive a high score an
applicant must provide comprehensive description of the fiscal
management structure including but not limited to budgeting, fiscal
controls and accounting. The application must explain the staff
responsible for fiscal management, and the processes and timetable for
implementation during the proposed grant period.
(c) Applicant/Administrator Track Record/Capability (6 Points): In
assessing this factor, HUD will consider the soundness of the prior
experience of the applicant and the mediation partner in successfully
carrying out programs with similar purposes and/or constituency. A high
score is received if the applicant and/or partner can demonstrate
compliance and successful implementation (i.e. completion of grant
implementation plan tasks) of prior such programs. Applicants and
mediation partners with no prior experience in operating such programs
will receive a score of 0 on this factor.
Rating Factor 2: Need/Extent of the Problem (20 Points)
This factor addresses the extent to which there is a need for
funding the proposed program activities to address a documented problem
in the target area. Applicants will be evaluated on the extent to which
they document a well specified and critical level of need in
[[Page 23920]]
the development or the proposed activities in the geographical
territory where activities will be carried out. In responding to this
factor, applicants will be evaluated on:
(1) A Needs Assessment Document (18 Points): HUD will award up to
18 points based on the quality and comprehensiveness of the needs
assessment document. In order to obtain maximum points, this document
must contain statistical and other data which provides:
(a) A thorough description of the current public housing community
as it relates to the need for mediation, for example, describe human
relations problems related to illegal gang activity in the community
and other crimes; relations among various racial, ethnic and socio-
economic groups; and relations between residents, resident leaders and
community institutions such as the police, schools and welfare
department.
(b) Specific information should be provided on the relationship
between the HA and the resident groups; and
(c) An assessment of any current services related to the mediation
needs of the target population in the geographical territory defined by
the applicant, including the number and type of services, the location
of services, and community facilities currently in use.
(2) Level of Priority in Consolidated Plan (2 Points):
Documentation of the level of priority the locality's, or in the case
of small cities, the State's Consolidated Plan has placed on addressing
the needs. Applicants may also address needs in terms of fulfilling the
requirements of court actions or other legal decisions or which expand
upon the Analysis of Impediments to Fair Housing choice (AI) to further
fair housing. Applicants that address needs that are in the community's
Consolidated Plan, AI, or a court decision, or identify and
substantiate needs in addition to those in the AI, will receive a
greater of number of points than applicants which do not relate their
proposed program to the approved Consolidated Plan or Analysis of
Impediments to Fair Housing Choice or court action. There must be a
clear relationship between the proposed activities, community needs and
the purpose of the program funding for an applicant to receive points
for this factor.
Rating Factor 3: Soundness of Approach (40 points)
This factor addresses the quality and cost-effectiveness of the
applicant's proposed work plan. In rating this factor HUD will
consider: the viability and comprehensiveness of strategies to address
the mediation needs of residents; budget appropriateness/efficient use
of grants; the speed at which the applicant can realistically
accomplish the goals of the proposed TOP program; the soundness of the
applicant's plan to evaluate the success of its proposed TOP program at
completion and during program implementation; and resident and other
partnerships.
(1) Viability and comprehensiveness of the strategies to address
the mediation needs of residents (19 Points): The score in this factor
will be based on the extent and comprehensiveness of the mediation and
related services that will be provided as well as the extent that the
proposed mediation and related services will contribute to providing
for unmet needs identified in the required Needs Assessment Report.
To receive a high score, applicants must provide a comprehensive
description of how the proposed plan provides training and related
services that specifically address the mediation needs and will improve
the environment of public housing developments in the geographic
territory designated by the applicant.
(2) Budget Appropriateness/Efficient Use of Grant Funds (6 Points):
The score in this factor will be based on the following:
(a) Detailed Budget Break-Out. The extent to which the application
includes a detailed budget break-out for each budget category in the
SF-424A.
(b) Reasonable Administrative Costs. The extent to which the
application includes reasonable administrative costs within the 15%
administrative cost ceiling.
(c) Budget Efficiency. The extent to which the application requests
funds commensurate with the level of effort necessary to accomplish the
goals and objectives and the estimated costs to the government are
reasonable in relationship to the work performed and the anticipated
results.
(3) Reasonableness of the Timetable (2 Points): The score in this
factor will be based on the speed at which the applicant can
realistically accomplish the goals of the proposed TOP program. To
receive a high score, the applicant must demonstrate that the proposed
timetable for all components of the proposed program is reasonable
(i.e. a given task is allotted the amount of time it would normally
take to accomplish such a task) and that the applicant can accomplish
the proposed implementation plan objectives within the 24 month time
limit. The applicant must also demonstrate that it will make
substantial progress within the first six months after grant execution.
(4) Policy Priorities (2 Points): Documentation of the extent to
which policy priorities of the Department are furthered by the proposed
activities. Such Department policy priorities are: (1) Affirmatively
furthering fair housing by promoting greater opportunities for housing
choice for minorities and the disabled; (2) Promoting healthy homes;
(3) Providing opportunities for self-sufficiency, particularly for
persons enrolled in welfare to work programs; (4) Providing enhanced
economic, social and/or living environments in Empowerment Zones or
Enterprise communities; and (5) Providing educational and job training
opportunities through such initiatives as Neighborhood Networks, Campus
of Learners and linking programs to AmeriCorps activities. To obtain
the full two points in this category, at least three of these five
policy priorities must be addressed.
(5) Other Partnerships (5 Points): The score in this factor will be
based on the successful integration of partners into implementation of
the proposed TOP program. In order to receive a high score an applicant
must provide an MOU or other equivalent documentation that delineates
specific partnerships related to the components in the comprehensive
plan. In assessing this factor HUD will examine a number of aspects of
the proposed partnership including:
(a) The appropriateness of the level of expertise of the partners
related to activities proposed in the application;
(b) The soundness of the division of responsibilities/management
structure of the proposed partnership relative to the expertise and
resources of the partners;
(6) Program Assessment. (6 Points): The score in this factor will
be based on the soundness of the applicant's plan to evaluate the
success of its proposed EDSS program both at the completion of the
program and during program implementation. At a minimum, the applicant
must track the goals and objectives of the proposed work plan program.
HUD will rate more favorably applicants which can track specific
measurable achievements for the use of program funds, such as number of
residents employed, salary scales of jobs obtained, persons removed
from welfare roles 12 months or longer, and number of persons receiving
certificates for successful completion of training in careers such as
computer technology.
[[Page 23921]]
Rating Factor 4: Leveraging Resources (10 Points)
This factor addresses the ability of the applicant to secure
community resources which can be combined with HUD's program resources
to achieve program purposes. In evaluating this factor HUD will
consider:
The extent to which the commitment letters or the equivalent can
demonstrate that resources outside the TOP Program (including existing
Federal, state, local, non-profit, and/or private resources) are to be
utilized in the applicant's proposed program. The resources will be
measured based on the ratio of the applicant's value of in-kind
contributions and funds committed for the proposed effort.
Applicants must provide evidence of leveraging/partnerships by
including in the application letters of firm commitments, memorandum of
understanding, or agreements to participate from those entities
identified as partners in the application. Firmly committed means there
must be a written agreement to provide the resources. The written
agreement may be contingent upon an applicant receiving an award. Each
letter of commitment, memorandum of understanding, or agreement to
participate should include the organization's name, proposed level of
commitment and responsibilities as they relate to the proposed program.
The commitment must also be signed by an official of the organization
legally able to make commitments on behalf of the organization.
Rating Factor 5: Comprehensiveness and Coordination (10 Points)
This factor addresses the extent to which the applicant's program
reflects a coordinated, community-based process of identifying
mediation needs and building a system to address the needs by using
available HUD funding resources and other resources available to the
community.
In evaluating this factor HUD will consider:
(1) Coordination with the Consolidated Plan (2 Points): The extent
to which the application demonstrates the applicant has reviewed the
community's Consolidated Plan and/or Analysis of Impediments to Fair
Housing Choice, and has proposed activities that address the
priorities, needs, goals or objectives in those documents; or
substantially further fair housing choice in the community.
(2) Coordination with the State Welfare Plan (1 Point): Provide
evidence that the proposed TOP must have been coordinated with and
supports the housing authority's efforts to increase resident self-
sufficiency and is coordinated and consistent with the State Welfare
Plan.
(3) Coordination with Other Activities (7 Points): The extent to
which the application demonstrates that the applicant in carrying out
program activities will develop linkages with: other HUD funded program
activities proposed or on-going in the community; or other State,
Federal or locally funded activities proposed or on-going in the
community which taken as a whole support and sustain a comprehensive
system to address the mediation needs.
(C) Selections. In order to be considered for funding under the
EDSS program, an applicant must receive a minimum score of 75. In order
to be funding under the TOP program, an applicant must receive a
minimum score of 65.
If two or more applications have the same number of points, the
application with the most points for Factor 3, Soundness of Approach
shall be selected. If there is still a tie, the application with the
most points for Factor 4, Leveraging Resources shall be selected.
IV. Application Submission Requirements
Please refer to the General Section of this SuperNOFA. In addition,
the applicant must submit the following, which are further described in
the application kit.
(A) Needs Assessment Report which includes statistical or survey
information on the needs of the recipient population; please use the
appropriate format provided in the application kit. (Note: This does
not apply to TOP Organizational Development grant applicants.)
(B) A two-year work plan for implementing EDSS/TOP activities which
includes goals, budget, timetable and strategies. In addition to a
narrative, please use the formats provided in the application kits to
chart the following:
(1) Activity plan summary;
(2) Activity breakout;
(3) Budget breakout;
(4) Summary budget;
(5) Program resources; and
(6) Program staffing;
(C) Information on the Applicant and/or administrator track record.
Please provide the chart and/or certification format provided in the
application kit;
(D) Certifications and assurances referenced in this program
section of the SuperNOFA. TOP applicants who are IROs must also submit
a list of Site-Based Resident Associations they intend to assist and
Site-Based Resident Associations must certify as to the amount of RM/
TOP funding received to date by their development.
(E) Memorandum of Understanding/Agreement; commitment letters; and
other required documentation of partnerships.
V. Correction to Deficient Applications
The General Section of this NOFA provides the procedures for
corrections to deficient applications.
VI. Environmental Requirements
In accordance with 24 CFR 50.19(b) (3), (9), (12) and (14) of the
HUD regulations, activities assisted under the EDSS/TOP programs are
categorically excluded from the requirements of the National
Environmental Policy Act and are not subject to environmental review
under related laws and authorities.
Appendix A To EDSS/TOP Section of SuperNOFA
Common Definitions
Community Facility means a non-dwelling structure that provides
space for multiple supportive services for the benefit of public and
Indian housing residents (as well as others eligible for the
services provided) that may include but are not limited to:
(1) Child care;
(2) After-school activities for youth;
(3) Job training;
(4) Campus of Learner activities; and
(7) English as a Second Language (ESL) classes.
Contract Administrator means an overall administrator and/or a
financial management agent that oversees the financial aspects of a
grant and assists in the entire implementation of the grant.
Examples of qualified organizations that can serve as a Contract
Administrator are:
(1) Local housing authorities; and
(2) Community based organizations such as Community Development
Corporations (CDCs), community churches, and State/Regional
Associations/Organizations.
Development has the same meaning as the term ``Project'' below.
Firmly Committed means there must be a written agreement to
provide the resources. This written agreement may be contingent upon
an applicant receiving an award.
Elderly person means a person who is at least 62 years of age.
Jurisdiction-Wide Resident Organization means an incorporated
nonprofit organization or association that meets the following
requirements:
(1) Most of its activities are conducted within the jurisdiction
of a single housing authority;
(2) There are no incorporated Resident Councils or Resident
Management Corporations within the jurisdiction of the single
housing authority;
(3) It has experience in providing start-up and capacity-
building training to residents and resident organizations; and
[[Page 23922]]
(4) Public housing residents representing unincorporated
Resident Councils within the jurisdiction of the single housing
authority must comprise the majority of the board of directors.
Intermediary Resident Organizations means Jurisdiction-Wide
Resident Organizations, State-wide Resident Organizations, Regional
Resident Organizations and National Resident Organizations.
National Resident Organization (NRO) means an incorporated
nonprofit organization or association for public housing that meets
each of the following requirements:
(1) It is national (i.e., conducts activities or provides
services in at least two HUD Areas or two States);
(2) It has experience in providing start-up and capacity-
building training to residents and resident organizations; and
(3) Public housing residents representing different geographical
locations in the country must comprise the majority of the board of
directors.
Person with disabilities means an adult person who:
(1) Has a condition defined as a disability in section 223 of
the Social Security Act;
(2) Has a developmental disability as defined in section 102 of
the Developmental Disabilities Assistance Bill of Rights Act. Such a
term shall not exclude persons who have the disease of acquired
immunodeficiency syndrome (AIDS) or any conditions arising from the
etiologic agent for acquired immunodeficiency syndrome; or
(3) Is determined, pursuant to regulations issued by the
Secretary, to have a physical, mental, or emotional impairment
which:
(i) Is expected to be of long-continued and indefinite duration;
(ii) Substantially impedes his or her ability to live
independently; and
(iii) Is of such a nature that such ability could be improved by
more suitable housing conditions.
(4) The definition provided above for persons with disabilities
is the proper definition for determining program qualifications.
However, the definition of a person with disabilities contained in
Section 504 of the Rehabilitation Act of 1973 and its implementing
regulations must be used for purposes of reasonable accommodations.
Project is the same as ``low-income housing project'' as defined
in section 3(b)(1) of the United States Housing Act of 1937 (42
U.S.C. 1437 et. seq.) (1937 Act).
Resident Association (RA) means any or all of the forms of
resident organizations as they are defined elsewhere in this
Definitions section and includes Resident Councils (RC), Resident
Management Corporations (RMC), Regional Resident Organizations
(RRO), Statewide Resident Organizations (SRO), Jurisdiction-Wide
Resident Organizations and National Resident Organizations (NRO).
Resident Council (RC) means (as provided in 24 CFR 964.115) an
incorporated or unincorporated nonprofit organization or association
that shall consist of persons residing in public housing and must
meet each of the following requirements in order to receive official
recognition from the HA/HUD, and be eligible to receive funds for RC
activities and stipends for officers for their related costs for
volunteer work in public housing. (Although 24 CFR part 964 defines
an RC as an incorporated or unincorporated nonprofit organization,
HUD requires RC applicants for TOP Economic Self-Sufficiency Grants
to be registered with the State at the time of application
submission):
(1) It must adopt written procedures such as by-laws, or a
constitution which provides for the election of residents to the
governing board by the voting membership of the public housing
residents. The elections must be held on a regular basis, but at
least once every 3 years. The written procedures must provide for
the recall of the resident board by the voting membership. These
provisions shall allow for a petition or other expression of the
voting membership's desire for a recall election, and set the
percentage of voting membership (``threshold'') which must be in
agreement in order to hold a recall election. This threshold shall
not be less than 10 percent of the voting membership.
(2) It must have a democratically elected governing board that
is elected by the voting membership. At a minimum, the governing
board should consist of five elected board members. The voting
membership must consist of heads of households (any age) and other
residents at least 18 years of age or older and whose name appear on
a lease for the unit in the public housing that the resident council
represents.
(3) It may represent residents residing in:
(i) Scattered site buildings in areas of contiguous row houses;
(ii) One or more contiguous buildings;
(iii) A development; or
(iv) A combination of the buildings or developments described
above.
Regional Resident Organization (RRO) means an incorporated
nonprofit organization or association for public housing that meets
each of the following requirements:
(1) It is regional (i.e., not limited by HUD Areas);
(2) It has experience in providing start-up and capacity-
building training to residents and resident organizations; and
(3) Public housing residents representing different geographical
locations in the region must comprise the majority of the board of
directors.
Resident Management Corporation (RMC) (See 24 CFR 964.7,
964.120) means an entity that consists of residents residing in
public housing and must have each of the following characteristics
in order to receive official recognition by the HA and HUD:
(1) It shall be a nonprofit organization that is validly
incorporated under the laws of the State in which it is located;
(2) It may be established by more than one RC, so long as each
such council:
(i) Approves the establishment of the corporation; and
(ii) Has representation on the Board of Directors of the
corporation.
(3) It shall have an elected Board of Directors, and elections
must be held at least once every 3 years;
(4) Its by-laws shall require the Board of Directors to include
resident representatives of each RC involved in establishing the
corporation; include qualifications to run for office, frequency of
elections, procedures for recall, and term limits if desired;
(5) Its voting members shall be heads of households (any age)
and other residents at least 18 years of age and whose name appear
on the lease of a unit in public housing represented by the RMC;
(6) Where an RC already exists for the development, or a portion
of the development, the RMC shall be approved by the RC board and a
majority of the residents. If there is no RC, a majority of the
residents of the public housing development it will represent must
approve the establishment of such a corporation for the purposes of
managing the project; and
(7) It may serve as both the RMC and the RC, so long as the
corporation meets the requirements of this part for an RC.
Secretary means the Secretary of Housing and Urban Development.
Site-Based Resident Associations means Resident Councils and
Resident Management Corporations.
Statewide Resident Organization (SRO) means a Site-Based
incorporated nonprofit organization or association for public
housing that meets the following requirements:
(1) It is Statewide;
(2) It has experience in providing start-up and capacity-
building training to residents and resident organizations; and
(3) Public housing residents representing different geographical
locations in the State must comprise the majority of the board of
directors.
BILLING CODE 4210-32-P
Federal Register / Vol. 63, No. 83 / Thursday, April 30, 1998 /
Notices
[[Page 23923]]
[GRAPHIC] [TIFF OMITTED] TN30AP98.010
BILLING CODE 4210-32-C
Federal Register / Vol. 63, No. 83 / Thursday, April 30, 1998 /
Notices
[[Page 23925]]
Funding Availability for Youthbuild Program
Program Description: Approximately $33,000,000 is available for the
Youthbuild Program. The Youthbuild Program provides disadvantaged young
adults with education, employment, and leadership skills.
Application Due Dates: Completed applications (one original and one
copy) no later than 12:00 midnight, Eastern time, on July 14, 1998 at
the address shown below. See the General Section of this SuperNOFA for
specific procedures governing the form of application submission (e.g.,
mailed applications, express mail, overnight delivery, or hand
carried).
Addresses for Submitting Applications: To HUD Headquarters. The
completed application (one original and one copy) must be submitted, by
hand or mail delivery, to: Processing and Control Branch, Office of
Community Planning and Development, Department of Housing and Urban
Development, 451 Seventh Street, SW, Room 7255, Washington, D.C. 20410,
Attention: Youthbuild Grant.
To the Appropriate CPD Field Office. An additional copy should be
submitted to the Community Planning and Development Division of the
appropriate HUD Field Office for the applicant's jurisdiction.
When submitting your application, please refer to Youthbuild, and
include your name, mailing address (including zip code) and telephone
number (include area code).
For Application Kits, Further Information and Technical Assistance:
For Application Kits. For an application kit and any supplemental
information please call the SuperNOFA Information Center at 1-800-HUD-
8929. Persons with hearing or speech impairments may call the Center's
TTY number at 1-800-483-2209. An application kit also will be available
on the Internet through the HUD web site at http://www.hud.gov. When
requesting an application kit, please refer to Youthbuild and provide
your name, address (including zip code), and telephone number
(including area code).
For Further Information and Technical Assistance. Phyllis Williams,
Office of Economic Development in the Office of Community Planning and
Development, Department of Housing and Urban Development, 451 Seventh
Street, SW, Room 7140, Washington, DC 20410, telephone (202) 708-2035.
Persons with speech or hearing impairments may call HUD's TTY number
(202) 708-0770, or 1-800-877-8399 (the Federal Information Relay
Service TTY). Other than the ``800'' number, these numbers are not
toll-free.
Additional Information
I. Authority; Purpose; Amount Allocated; and Eligibility
(A) Authority
This program is authorized under subtitle D of title IV of the
Cranston-Gonzalez National Affordable Housing Act (the Act), as added
by section 164 of the Housing and Community Development Act of 1992
(Pub. L. 102-550, 106 Stat. 3723, 42 U.S.C. 12899). The Youthbuild
Program regulations are found in 24 CFR part 585.
(B) Purpose
The purposes of the Youthbuild program are:
(1) To provide economically-disadvantaged young adults with
opportunities to obtain education, employment skills, and meaningful
on-site construction work experience as a service to their communities
and a means to achieve self-sufficiency;
(2) To foster the development of leadership skills and commitment
to community; and
(3) To expand the supply of permanent affordable housing for
homeless and low-and very low-income persons by providing
implementation grants for carrying out a Youthbuild program.
(4) Provide disadvantaged young adults with meaningful on-site
training experiences in housing construction and rehabilitation to
enable them to provide a service to their communities by helping to
meet the housing needs of homeless and low-income families;
(5) Give, to the greatest extent feasible, and consistent with
existing Federal, State and local laws and regulation, job training,
employment, contracting and other economic opportunities to low-income
persons and business concerns.
(C) Amount Allocated
Approximately $33,000,000 is available for the Youthbuild Program.
The net available program funds will be divided between two categories
of grants (as further specified in Section III(C)):
1. $ 8,312,500--Grants for new applicants for up to $350,000; and
2. $24,937,500--Grants for up to $700,000.
(D) Eligible Applicants
Eligible applicants are public or private nonprofit agencies, State
or local housing agencies or authorities, State or local units of
general local government, or any entity eligible to provide education
and employment training under other Federal employment training
programs, as further defined in 24 CFR 585.4.
(E) Eligible Activities
Eligible activities are as follows:
(1) Work and activities associated with the acquisition,
rehabilitation or construction of the housing and related facilities to
be used in the program;
(2) Relocation payments and other assistance required to comply
with 24 CFR 585.308;
(3) Costs of ongoing training and technical assistance needs
related to carrying out a Youthbuild program;
(4) Education, job training, counseling, employment leadership
development services and activities;
(5) Wages, benefits, and need-based stipends for participants; and
(6) Administrative costs--Youthbuild funds for these costs should
not exceed 15 percent of the total amount of Youthbuild assistance,
unless a higher amount is justified to support capacity development by
a private nonprofit organization.
Please refer to 24 CFR 585.305 for further details on eligible
activities.
(F) Eligible Participants
Participants in a Youthbuild program must be very low-income high
school dropouts between the ages of 16 and 24, inclusive, at the time
of enrollment. Up to 25 percent of participants may be above very low-
income or high school graduates (or equivalent), but must have
educational needs that justify their participation in the program.
II. Program Requirements
In addition to the program requirements listed in the General
Section of this SuperNOFA, applicants are subject to the following
requirements:
(A) Resources From Other Federal, State, Local or Private Entities
Applicants are strongly encouraged to use existing housing and
homeless assistance programs administered by HUD or other Federal,
State, local, or private housing programs as part of their Youthbuild
program. Use of other non-Youthbuild funds available for vocational,
adult, and bilingual education programs or for job training under the
Job Training Partnership Act (JTPA) and the Personal Responsibility and
Work Opportunity Reconciliation Act of 1996 is also strongly
encouraged. The selection process described in this Youthbuild Program
section of the SuperNOFA provides for applicants to
[[Page 23926]]
receive points where grant applications contain firm commitments from
Federal, State, local, or private sources to provide resources to carry
out Youthbuild activities.
(B) Grant Period
Funds awarded should be expended within 30 months of the effective
date of the grant agreement, or such other period specified.
(C) Locational Limitations
Each application for a grant may only propose activities to carry
out one Youthbuild program, i.e., to start a new Youthbuild program or
to fund new classes of Youthbuild participants for an existing program.
The same applicant organization may submit more than one application in
the current competition if the proposed program's participant
recruitment and housing areas are in different jurisdictions.
(D) Youthbuild Program Components
Youthbuild programs receiving assistance under this Youthbuild
Program section of the SuperNOFA must contain the three components
described in paragraphs (1), (2), and (4) below. Other activities
described in paragraph (3) are optional.
(1) Educational and job training services.
(2) Leadership training, counseling, and other support activities.
(3) Special activities such as entrepreneurial training, drivers'
education, internships, programs for those with learning disabilities,
and in-house staff training. (Optional)
(4) On-site training through actual housing rehabilitation and/or
construction work, including the provision of alternative training
experiences for students with physical disabilities. Each program must
be structured so that 50 percent of each participant's time is spent in
on-site training.
(E) Desirable Elements of a Youthbuild Program
Documentation of the extent to which HUD's policy priorities are
furthered by the proposed activities. Such policy priority areas are:
(1) Affirmatively furthering fair housing by promoting greater
opportunities for housing choice for minorities and the disabled;
(2) Promoting healthy homes;
(3) Providing opportunities for self-sufficiency, particularly for
persons enrolled in welfare to work programs;
(4) Providing educational and job training opportunities and
linking programs to Americorps activities;
(5) Promoting welfare reform. Refer to 24 CFR 585.3 for a detailed
description of program components.
III. Application Selection Process
HUD will review each application and assign points in accordance
with the selection criteria described in this section. The maximum
number of points to be awarded is 102 (except for an application
submitted by the City of Dallas, Texas, which would be eligible for a
maximum of 104 points, in accordance with Rating Factor 3, paragraph
(3), below). This includes two EZ/EC bonus points as described in the
General Section of the SuperNOFA.
In order to afford applicants every opportunity to submit a ratable
application, while at the same time ensuring the fairness, integrity
and timeliness of the selection process, HUD is adopting the following
application submission and selection procedures:
(A) Rating and Ranking
Each eligible application will be rated based upon the rating
factors described in Section III of this Youthbuild Program section of
the SuperNOFA. Using the scores assigned, the application will be
placed in rank order within each category. Applications will be
selected for funding in accordance with their rank order. An
application must receive a combined score of at least 50 points for
Rating Factor 1, Rating Factor 2, and Rating Factor 3, paragraph (1),
under this Section III in order to be eligible for EZ/EC bonus points
and for the Housing Program Priority points in Rating Factor 3,
paragraph (2) of this Section III.
If two or more applications are rated fundable, and have the same
score, but there are insufficient funds to fund all of them, the
application(s) with the highest score for Rating Factor 3(1) under
Soundness of Approach shall be selected.
(B) Initial Screening
During the period immediately following the application deadline,
HUD will screen each application to determine eligibility. Applications
will be rejected if they:
(1) Are submitted by ineligible applicants, or
(2) Propose a program for which significant activities are
ineligible.
(C) Categories of Grants
HUD will award Youthbuild implementation grants only to eligible
applicants for the purpose of carrying out Youthbuild programs in
accordance with subtitle D of title IV of the Act. Applications will be
selected in a competition in accordance with the grant selection
process described in Section V of this Youthbuild Program section of
the SuperNOFA.
Two categories of grants will be made:
(1) Grants for new applicants that have not previously received
Youthbuild Implementation Grants and that have elected not to apply
under category (2), below. These grants will be limited to $350,000,
for a period of 18 months, with a maximum of 20 students.
(2) Grants for up to $700,000 to implement a full range of
Youthbuild activities for up to a 30-month period. Half of the funding
in this category will be awarded to applicants that propose grants of
$450,000 or less for up to 24 months. A previously unfunded applicant
can apply in either category. A previous implementation grantee can
apply only in category (2). Applicants in category (1) will receive
one-quarter of the funds available. Applicants in category (2) will
receive the remainder of the funds available, which in turn will be
split evenly between grants for up to and including $450,000, and
grants over $450,000.
(D) Maximum Awards
Under the competition established by this Youthbuild Program
section of the SuperNOFA, the maximum award for a Youthbuild grant is
$700,000. HUD reserves the right to determine the maximum or minimum of
any Youthbuild award per application, project, program or budget line
item. No amendments will be made to awards under this competition that
will increase previously approved grant amounts. In order to ensure
reasonable geographic diversity, a CDBG entitlement jurisdiction may
not receive more than $2.1 million in Youthbuild grants.
(E) Potential Environmental Disqualification
HUD reserves the right to disqualify an application where one or
more environmental thresholds are exceeded if it is determined that the
environmental review cannot be conducted and satisfactorily completed
by HUD within the HUD review period. (See 24 CFR 585.307.)
(F) Notification of Approval or Disapproval
HUD will notify the selected applicants and the applicants that
have not been selected. HUD's notification to a selected applicant of
the amount of the grant award based on the approved application will
constitute a preliminary approval by HUD, subject to HUD and
[[Page 23927]]
recipient execution of the grant agreement to initiate program
activities.
(G) Economic Opportunities for Low and Very Low-Income Persons (Section
3)
Section 3 of the Housing and Urban Development Act of 1968 (12
U.S.C. 1701u) is applicable to Youthbuild implementation grant
recipients. Please see Section II(E) of the General Section of the
SuperNOFA.
(I) Factors for Award Used To Evaluate and Rate Applications
Rating Factor 1: Capacity of the Applicant and Relevant Organizational
Experience (30 Points)
This factor addresses the qualification and experience of the
applicant and participating parties, to implement a successful young
adult education and training program within a reasonable time period.
HUD will review and evaluate the information provided documenting
capability. In assigning points for this criterion, evidence in the
application that demonstrates the following will be considered:
(1) Experience in implementing a comprehensive, integrated,
multidisciplinary program with the following components:
(a) Young adult education and training programs, including programs
for low-income persons from economically distressed neighborhoods.
(b) Young adult leadership development training and related
activities for young adults.
(c) Young adult on-site training in housing construction or
rehabilitation for the production of sound and affordable housing for
the homeless and low-income families.
(2) The extent to which the applicant or participating parties have
been successful in past education, training, and employment programs
and activities, including Federally-funded Youthbuild programs.
Previous Youthbuild grant recipients must submit a performance
narrative as outlined in the application package, and copies of its
last two progress reports. The performance (including meeting target
dates and schedules) of the applicant as reported will be taken into
consideration in applying the rating criteria.
(3) The extent to which the applicant, including program director,
principal staff, or participating parties have demonstrated past
ability to leverage other resources to cover administrative,
educational, and training costs.
(4) Staff capacity should address the extent to which the applicant
demonstrates that the proposed Staff and Program Manager possess the
background, experience, and capacity to conduct the proposed project,
as evidenced by recent work experience in managing projects of the same
or similar size, dollar amount, and types of activities as those
proposed in the application.
Rating Factor 2: Need/Extent of the Problem (15 Points)
This factor addresses the extent to which there is a need for
funding the proposed program activities and an indication of the
urgency of meeting the need in the target area. Documentation of need
should address the extent to which the applicant documents a critical
level of need for the proposed activities in the area where activities
will be implemented. The documentation must apply to the targeted area
rather than the entire locality. If the target area is an entire
locality or State, then documenting need at this level is appropriate.
Documentation of need should demonstrate the extent and urgency of
the problem being addressed by the proposed activities. To the extent
that the applicant's community's Consolidated Plan or Analysis of
Impediments to Fair Housing Choice (AI) identifies the level of the
problem and the urgency in meeting the need, references to these
documents should be included in the response. HUD will review more
favorably those applicants that use these documents to identify need,
when applicable. Examples of data that might be used to demonstrate
need include, but are not limited to, economic and demographic data
relevant to the target area, including poverty and unemployment rates;
levels of homelessness; extent of drug usage and crime statistics; lead
poisoning rates; housing market data available from HUD or other data
sources including the Public Housing Authorities Five Year
Comprehensive Plan, State or local Welfare Department's Welfare Reform
Plan (including, where applicable, the Welfare to Work Plan Addendum);
and/or lack of other Federal, State, or local funding that could be or
are used to address the problem HUD program funds are designed to
address. If the proposed activity is not covered under the scope of the
Consolidated Plan and Analysis of Impediments to Fair Housing Choice
(AI), applicants should indicate such, and use other sound data sources
to identify the level of need and the urgency in meeting the need.
Types of other sources include, but are not limited to, Census reports,
Continuum of Care gaps analysis, law enforcement agency crime reports,
Public Housing Authorities' Five Year Comprehensive Plan, etc.
Rating Factor 3: Soundness of Approach (40 Points)
(1) (30 points) HUD will consider the overall quality and
feasibility of the proposed program as measured by the principles and
goals of the proposed program, whether proposed program activities meet
the overall objectives of the Youthbuild program, whether the proposed
program activities will be accomplished within the projected time
frame, whether the proposed program activities are comprehensive and
integrated, and the potential for success of the proposed program.
Areas to be considered in the evaluation of the overall quality of the
proposed program are:
(a) Outreach, recruitment and selection activities including:
(i) Specific steps to be taken to attract potential eligible
participants who are unlikely to be aware of this program (because of
race, ethnicity, sex or disability) and selection strategies;
(ii) Special outreach efforts to recruit eligible young women,
young women with dependent children, and persons receiving public
assistance; and
(iii) Recruitment arrangements made with public agencies, courts,
homeless shelters, local school systems, local workforce development
systems, community-based organizations, etc.;
(b) Educational and job training services and activities including:
(i) The types of instructional services to be provided;
(ii) The number and qualification of program instructors and ratio
of instructors to participants;
(iii) Realistic scheduling plan for classroom and on-the-job
training; and
(iv) Reasonable payments of participants' wages, stipends, and
incentives.
(c) Leadership development, including the leadership development
training to be offered to participants, and including the strategies,
activities, and plans to build group cohesion and peer support.
(d) Support services, including documentation of counseling and
referral services to be offered to participants, including the type of
counseling, social services, and/or need-based stipends to be provided
(supported by letters of commitments from providers).
(e) On-site training, including:
(i) The housing construction or rehabilitation activities to be
undertaken by participants at the site(s) to be used
[[Page 23928]]
for the on-site training component of the program;
(ii) The qualification and number of on-site supervisors;
(iii) The ratio of trainers to students;
(iv) The number of students per site; and
(v) The amounts, reasonable wages, and/or stipends to be paid to
participants during on-site work.
(f) Job placement assistance, including the applicant's
commitments, strategies, and procedures for:
(i) Participant placement in meaningful employment, enrollment in
postsecondary education programs, job development, starting business
enterprises, or other opportunities leading to economic independence;
and
(ii) Follow-up assistance and support activities to program
graduates.
(g) Americorps support or participation as evidenced by approval of
Americorps or appropriate State agency.
(2) (10 points) Housing Program Priority Points will be assigned to
all applications that contain evidence that housing resources from
other Federal, State, local, or private sources that are available to
cover the cost, in full, for the following housing activities for the
proposed Youthbuild program: acquisition, architectural and engineering
fees, construction, and rehabilitation. It is also imperative that the
applicants' proposed housing sites provide quality training. The number
of units an applicant proposes to rehabilitate or construct is
secondary in rating this factor. Applications that do not include
proper documentation of commitment of non-Youthbuild resources or
propose to use Youthbuild grant funds, in whole or in part, for any one
of the housing activities listed above will not be entitled to the full
priority points. Housing resources will not be used in evaluation of
the Leveraging Resources factor.
It must be stressed that in proposing housing sites for Youthbuild
training, the quality of the training to be provided is more important
than the number of units per se.
(3) Up to two (2) additional points will be awarded to any
application submitted by the City of Dallas, Texas, to the extent this
subfactor is addressed. Due to an order of the U.S. District Court for
the Northern District of Texas, Dallas Division, with respect to any
application submitted by the City of Dallas, Texas, HUD will consider
the extent to which the application's proposed activities will
eradicate the vestiges of racial segregation in the Dallas Housing
Authority's programs consistent with the Court's order.
Rating Factor 4: Leveraging Resources (10 Points)
This factor addresses the extent to which firm commitment of
resources are obtained from other Federal, State, local, and private
sources. In assigning points for this criterion, HUD will consider the
level of nonhousing resources obtained for cash or in-kind contribution
to cover the following kinds of areas:
(1) Social services (i.e., counseling and training);
(2) Use of existing vocational, adult, and bilingual educational
courses;
(3) Donation of labor, resource personnel, supplies, materials,
classroom, and/or meeting space;
(4) Other commitments.
In rating this element, HUD will consider only those contributions
for which current firm commitments have been provided. The level of
nonhousing resources proposed will be evaluated based on their
importance to the total program. HUD will also take into consideration
the size of the community and the resource base from which funds can be
leveraged.
Rating Factor 5: Comprehensiveness and Coordination (5 Points)
This factor addresses the extent to which the applicant's program
reflects a coordinated, community-based process of identifying needs
and building a system to address the needs by using available HUD
funding resources and other resources available to the community.
In evaluating this factor, HUD will consider the extent to which
the applicant demonstrates it has:
(1) Coordinated its proposed activities with those of other groups
or organizations in order to best complement, support, and coordinate
all known activities, and the specific steps it will take to share
information on solutions and outcomes with others. Any written
agreements, memoranda of understanding in place, or those that will be
in place after award should be described.
(2) Taken or will take specific steps to become active in the
community's Consolidated Planning process (including the Analysis of
Impediments to Fair Housing Choice) established to identify and address
a need/problem that is related to the activities the applicant
proposes.
(3) Taken or will take specific steps to develop linkages to
coordinate comprehensive solutions through meetings, information
networks, planning processes, or other mechanisms with:
(a) Other HUD funded projects/activities outside the scope of those
covered by the Consolidated Plan; and
(b) Other activities funded by HUD, Federal, State, or local
sources, including those proposed or on-going in the community(s)
served.
IV. Application Submission Requirements
Applicants must complete and submit applications for Youthbuild
grants in accordance with instructions contained in the FY 1998
Youthbuild application kit. The application package will request
information in sufficient detail for HUD to determine whether the
proposed activities are feasible and meet all the requirements of
applicable statutes and regulations. The application package requires a
description of the applicant's and participating parties' experiences
in young adult and housing programs; a description of the proposed
Youthbuild program; a description and documentation of other public and
private resources to be used for the program, including other housing
resources; a schedule for the program; budgets; identification of
housing sites; and demonstration of site access. The application
package also contains necessary certifications regarding Federal
requirements. Applicants must also certify that the proposed activities
are consistent with the HUD-approved Consolidated Plan in accordance
with 24 CFR part 91. Applicants should refer to the Youthbuild
application package for further instructions and take into account the
uniform guidebook available to all applicants.
V. Corrections to Deficient Applications
The General Section of the SuperNOFA provides the procedures for
corrections to deficient applications.
VI. Environmental Requirements
Environmental procedures apply to HUD approval of grants when the
applicant proposes to use Youthbuild funds to cover any costs for the
lease, acquisition, rehabilitation, or new construction of real
property proposed for housing project development. Environmental
procedures do not apply to HUD approval of applications when applicants
propose to use their Youthbuild funds solely to cover any costs for
classroom and/or on-the-job construction training and support services.
For those applicants that propose to use their Youthbuild funds to
cover any costs of the lease, acquisition, rehabilitation, or new
construction of real property, the applicant shall submit
[[Page 23929]]
all relevant environmental information in its application to support
HUD decisionmaking in accordance with the environmental procedures and
standards set forth in 24 CFR 585.307.
BILLING CODE 4210-32-P
Federal Register / Vol. 63, No. 83 / Thursday, April 30, 1998 /
Notices
[[Page 23931]]
[GRAPHIC] [TIFF OMITTED] TN30AP98.011
BILLING CODE 4210-32-C
Federal Register / Vol. 63, No. 83 / Thursday, April 30, 1998 /
Notices
[[Page 23933]]
Funding Availability for Intermediaries to Administer Technical
Assistance Grants (ITAG) for the Mark-to-Market (M2M) Program.
Program Description: Approximately $9.0 million is being competed
in Intermediary Technical Assistance Grant (ITAG) funds for
Intermediaries to administer the ITAG Mark-to-Market technical
assistance grant program ($1.0 million is available in FY 1998; it is
anticipated that $8.0 million may be available in FY 1999, subject to
appropriations). The purpose of the M2M program is to reduce the cost
of above market Section 8 assistance, preserve affordable housing
stock, and streamline the administration of federal housing subsidies.
The Intermediary will award technical assistance grants to sub-
recipients consisting of resident groups, tenant affiliated community-
based nonprofit organizations or public entities. These grants will be
in the form of either Resident Capacity or Predevelopment Grants to
groups affiliated with projects that are eligible under the M2M
program, or Public Entity Grants available to public entities who will
carry out M2M related activities for M2M projects throughout its
jurisdiction.
Application Due Date: Completed applications must be received no
later than 12:00 midnight, Eastern time on July 21, 1998 to HUD
Headquarters. Please the General Section of this SuperNOFA for specific
procedures governing the form of application submission (e.g., mailed
applications, express mail, overnight delivery, or hand carried).
Address for Submitting Applications: Completed applications (one
original and two copies) must be submitted to: the Office of Portfolio
Reengineering, Room 6130, HUD Headquarters, 451 Seventh Street, SW,
Washington, DC 20410. When submitting your application, please refer to
ITAG, and include your name, mailing address (including zip code) and
telephone number (including area code).
For Application Kits, Further Information and Technical Assistance:
For Application Kits. For an application kit and any supplemental
information please call the SuperNOFA Information Center at 1-800-HUD-
8929. Persons with hearing or speech impairments may call the Center's
TTY number at 1-800-HUD-2209. The application kit also will be
available on the Internet through the HUD web site at http://
www.hud.gov. When requesting an application kit, please refer to ITAG
and provide your name, address (including zip code), and telephone
number (including area code).
For Further Information. Arthur Goldstein at (202) 708-2300,
extension 2657. Persons with speech or hearing impairments may call
HUD's TTY number (202) 708-0770, or 1-800-877-8399 (the Federal
Information Relay Service TTY). Other than the ``800'' number, these
numbers are not toll-free. Mr. Goldstein can also be reached via the
Internet at [email protected]
For Technical Assistance. An information broadcast via satellite
will be held for potential applicants to learn more about the program
and preparation of an application. For more information about the date
and time of the broadcast, please consult the HUD web site at the web
address listed above.
Additional Information
I. Authority; Purpose; Amount Allocated; and Eligibility
Applicants should take care in reviewing this section to ensure
they are eligible to apply for funds and that they meet the program
requirements described.
(A) Authority
Section 514(f)(3) of the Multifamily Assisted Housing Reform and
Affordability Act of 1997 (Pub.L. 105-65, 111 Stat. 1394, October 27,
1997) authorizes not more than $10,000,000 annually for technical
assistance under the M2M program from amounts made available under
appropriations Acts for the M2M program or previously made available
for technical assistance under the Preservation program. This ITAG
program is one element of the M2M technical assistance.
(B) Purpose
The ITAG program provides technical assistance grants through
Intermediaries to sub-recipients consisting of: (1) resident groups or
tenant affiliated community-based nonprofit organizations in properties
that are eligible under the M2M program to help tenants participate
meaningfully in the M2M process, and have input into and set priorities
for project repairs; or (2) public entities to carry out M2M related
activities for M2M-eligible projects throughout its jurisdiction.
(C) Amount Allocated
The competition in this program is to select intermediaries to
administer grants to eligible subrecipients. During FY 1998, $1.0 will
be available for grants. Subject to the availability of appropriations,
$8.0 million may be made available in FY 1999.
(D) Grant Amount, Terms
HUD will accept applications from Intermediaries that propose a
term of two years. The term begins on the date of the execution of the
grant agreement. The amount of funding that an Intermediary can receive
depends on the funding level associated with the state-grouping for
which an applicant has applied. A specific amount of funds have been
allocated to each state-grouping (See Appendix B). Activities must be
completed in a timely manner and may not, in any case exceed a two-year
time period. HUD reserves the right to reallocate funds allocated to
the Interimediary under the grant agreement if there is insufficient
need.
Three forms of technical assistance grants will be made available
through Intermediaries:
(1) Resident Capacity Grants (RCG), with a maximum dollar amount of
$20,000;
(2) Predevelopment Grants (PDG), with a maximum of $70,000; and
(3) Public Entity Grants (PEG), with a maximum of $20,000.
(E) Eligible Applicants
Eligible applicants to serve as Intermediaries are: (1) A national
nonprofit. Applicant must have been in existence for at least five
years and be classified as an exempt organization under section
501(c)(3) of the Internal Revenue Code of 1986;
(2) A regional, State or local nonprofit. Applicant must have been
in existence for at for at least three years and either be classified
as an exempt organization under section 501(c)(3) of the Internal
Revenue Code of 1986 or be recognized otherwise as a tax-exempt entity;
or
(3) A State or local agency.
An eligible intermediary applicant must have as a central purpose
of its organization the preservation of low-income housing and the
prevention of displacement of low- and moderate income residents.
Applicants must not receive direct Federal appropriations for operating
support. In addition, all intermediaries should have a record of at
least one year of service to low-income individuals or community-based
nonprofit housing developers in multiple communities and must have at
least one year of experience with the allocation and administration of
grant or loan funds.
(F) Intermediary Fees
Each selected intermediary will receive processing fees. The fees
will include a start-up fee of $40,000 and an additional fee of five
percent of each
[[Page 23934]]
technical assistance grant voucher that the intermediary submits, which
will be disbursed conterminous with the voucher draw-downs of the RCGs,
PDGs and PEGs. These fees are based on the intermediary performing the
specific tasks listed in the Program Requirements section.
All intermediaries will receive the start-up fee when the
intermediary contract is executed. If an intermediary reviews and
rejects a technical assistance application, it will receive an
administrative fee of $600. If the intermediary receives no technical
assistance grant applications, it will receive only its start-up fee.
On occasion, the M2M staff will review grant activity to determine if
reallocation of funds between geographic regions is necessary.
(G) Ineligible Activities
Neither intermediaries, nor their employees, officers or affiliated
entities, may receive payment, directly or indirectly from the proceeds
of grants they have approved. In addition, intermediaries may not
provide other services to grant recipients with respect to the specific
properties for which the grant has been awarded.
II. Program Requirements
In addition to the program requirements listed in the General
Section of this SuperNOFA, intermediaries must meet the following
program requirements:
(A) General Requirements
Intermediaries are responsible for the award and administration of
grants to sub-recipients. In order to effectively perform these
responsibilities, the intermediary must, at a minimum, perform the
following:
(1) Advertise fund availability for the geographic jurisdiction
overseen;
(2) Seek out eligible applicants, using at least the following
methods: (a) contact all of the Outreach and Training Organizations
that have been selected in areas within the Intermediary's state-
grouping. This list can be obtained from the M2M person in the Office
of Multifamily Housing Mortgage and Housing Assistance Restructuring
(OMAR), (b) contact the National Alliance of HUD Tenants who may be
able to provide a list of active client groups in the state-grouping,
(c) Contact the Corporation for Public Service who can provide a list
of AMERICORPS Vista volunteers in properties within the state-grouping,
(d) utilize the property address list of eligible M2M properties and
mail ITAG grant information sheets to tenant groups in those
properties.
(3) Produce and distribute grant application kits (applicant must
provide a sample grant application kit with its application);
(4) Review, approve or reject grant applications;
(5) Execute grant agreements;
(6) Vouchering and disbursing grant funds;
(7) Monitor activities under the grant, including compliance under
the grant agreement, throughout the term of the grant;
(8) Create an information network (e.g. newsletter, website,
monthly or bi-monthly update, etc.) which information can be disbursed
to subrecipients and subrecipients can ask program questions and
receive responses and all recipients have access;
(9) Report to M2M staff at least quarterly on the status of grant
awards, grantee activities and funds expended; and
(10) Maintain documentation for HUD monitoring and audits in
accordance with 24 CFR Part 84.
(B) Reporting Requirements
(1) Intermediaries must comply with all requirements of 24 CFR Part
84.
(2) Intermediaries must submit a quarterly performance report to
the Director of the Office of Mortgage and Housing Assistance
Restructuring (OMAR).
(3) These reports are to list the properties and number of tenants
assisted by the activities being performed that quarter, including a
narrative indicating issues that need to be resolved and tangible
benefits resulting from the assistance. Please provide a sample report
with your application.
(4) Administrative fees may be frozen until receipt of an
acceptable performance report.
(C) Records Retention and Access Requirements
All accounting and other records associated with Grant
Administration must be retained and made available to HUD or its
designee in accordance with 24 CFR Sec. 84.53.
(D) Auditing Requirements
Intermediaries must comply with the audit requirements set forth in
24 CFR Part 45.
(E) Conflict of Interest (CI) Requirements
Funds received under this SuperNOFA shall not be used to supplant
or duplicate other resources for the proposed activities. In carrying
out its duties, any intermediary must avoid even the appearance of a
conflict of interest. All executives, board members, key management
personnel, or any other person or entity with direct or indirect
control, is required to execute a CI Certification at the time of
execution of a grant agreement and on each anniversary date of
execution.
III. Application Selection Process
Two types of reviews will be conducted: a threshold review to
determine applicant eligibility; and a technical review to rate the
application based on the rating factors in this Section III.
(A) Additional Threshold Criteria For Funding Consideration
Under the threshold review, the applicant will be rejected from the
competition if the applicant is not in compliance with the requirements
of the General Section of the SuperNOFA and if the applicant does not
qualify as an Eligible Applicant as defined in Section I(E) of this
ITAG Section of the SuperNOFA.
(B) Factors for Award Used To Evaluate and Rate Applications
The factors for rating and ranking applicants, and maximum points
for each factor, are provided below. The maximum number of points for
this program is 100. This ITAG section of the SuperNOFA does not
include EZ/EC bonus points.
Rating Factor 1: Capacity of the Applicant and Relevant Organizational
Experience (40 Points)
This factor addresses the extent to which the applicant has the
organizational resources necessary to successfully implement the
proposed activities in a timely manner. The rating of the ``applicant''
or the ``applicant's organization and staff'' for technical merit or
threshold compliance, unless otherwise specified, will include any
faculty, subcontractors, consultants, and members of consortia which
are firmly committed to the project.
Experience and Capability to administer a Intermediary Technical
Assistance Grant (ITAG) program over the state-grouping area for which
the applicant is applying is a threshold requirement for award. If an
applicant is found to lack sufficient experience and capability, their
application will be eliminated from further consideration. This is
particularly important if the applicant is applying for more than one
state-grouping. This criterion can be demonstrated through past
performance, as evidenced by previous experience and success in
administering a Federal
[[Page 23935]]
housing grant program, such as the Preservation ITAG program.
In rating organizational capacity and staffing to carry out
activities of the kind proposed in the application, HUD will consider
the extent to which the proposal demonstrates:
(a) The knowledge and direct experience of the proposed project
director and staff, including the day-to-day program manager,
consultants and contractors, in awarding and administering grant
programs. The applicant will be judged in terms of recent, relevant and
successful experience in undertaking activities similar to those
required of an intermediary.
The applicant has sufficient personnel, or access to qualified
experts or professionals, enabling delivery of the proposed activities
in each proposed service area in a timely and effective fashion.
Capacity also includes the readiness and ability of the applicant to
immediately begin the proposed work program, and a communication system
that allows subrecipients consistent, reliable and expeditious access
to the intermediary grant administrator.
(b) The applicant's experience in managing programs similar in
scope or nature directly relevant to the work activities proposed and
carrying out grant management responsibilities. If the applicant has
managed large, complex, interdisciplinary programs, the applicant
should include the information supporting this claim in their response.
(c) If the applicant received funding in previous years, the
applicant's past experience will be evaluated in terms of their ability
to attain demonstrated measurable progress in the implementation of
their most recent grant awards, as measured by expenditures and
measurable progress in achieving the purpose for which funds were
provided. However, an applicant must also demonstrate how the applicant
will successfully undertake additional activities effectively under
this ITAG section of the SuperNOFA.
(d) The applicant's ability and comprehensive plan to market the
ITAG grant programs to those eligible subrecipients in the geographic
area(s) for which it has responsibility. The marketing plan must
specify the applicant's proposed efforts for outreach to all states
within their state grouping.
(e) The applicant's fiscal capability in meeting the reporting and
audit requirements of 24 CFR part 84. The ability of the applicant's
key staff to handle, manage, and adequately account for financial
resources, and to use acceptable financial control procedures,
demonstrated through past performance of the applicant entity or key
staff with Federal, State or local funds, or an explanation of how such
capability can be obtained.
Rating Factor 2: Soundness of Approach (30 Points)
This factor addresses the quality and cost-effectiveness of the
applicant's proposed activities. There must be a clear relationship
between the proposed activities, state-grouping needs and the purpose
of the program funding for an applicant to receive points for this
factor. The factor will be evaluated based on the extent to which the
proposed activities will:
(a) Identify all areas within the state-grouping with M2M eligible
properties and effectively promote the existence of funds to all
eligible properties. HUD's goal is to disburse technical assistance
funds to the widest possible geographic area. This should include
rural, as well as urban areas.
(b) Achieve the purposes of the program for which funding is
requested and result in measurable accomplishments that are consistent
with the purposes of the program and will result in a goal being met/
product produced within a timeframe appropriate and reasonable for the
program.
(c) Be undertaken using technically competent methodologies for
conducting the work to be performed and uses a cost effective plan for
designing, organizing and carrying out the proposed activities. The
proposed cost estimates should be reasonable for the work to be
performed and consistent with rates established for the level of
expertise required to perform the work in the proposed geographic area.
(d) Yield innovative strategies or ``best practices'' that can be
replicated and disseminated to other organizations, including nonprofit
organizations, State and local governments. HUD will assess the
transferability of results in terms of model programs or lessons
learned from the work performed under the award. Applicants will be
required to prepare an analysis of best practices as part of their
reports to HUD that may be used by HUD to inform others who may be
interested in learning from the experiences gained from the work
performed under awards funded through this ITAG section of the
SuperNOFA.
Rating Factor 3: Leveraging Resources (10 points)
This factor addresses the ability of the applicant to secure
community assets, resources and/or financing to achieve program
purposes. In evaluating this factor HUD will consider:
(a) The extent to which the applicant has leveraged resources, such
as funding and/or in-kind services from governmental entities, private
organizations, resident management organizations, educational
institutions, or other entities in order to achieve the purposes of the
award the applicant is requesting.
(b) The extent to which the applicant has partnered with other
entities to make more effective use of available public or private
resources. Partnership arrangements may include, but are not limited
to, funding or in-kind services from local governments or government
agencies, non-profit or for-profit entities, private organizations,
educational institutional or other entity that is willing to partner
with the applicant on proposed activities in order to leverage
resources, or partnering with other program funding recipients to make
more effective use of resources within the geographic area covered by
the award either within the community or within the field office
jurisdiction in which activities are occurring. Applicants may partner
directly or through a consortium of applicants to more effectively
address needs of underserved populations, rural areas, minority groups
or other client groups that need attention either in the target area or
the area covered by the field office jurisdiction in which the
activities are to take place.
Evidence of commitment should include organization names, their
proposed level of effort, resources, and responsibilities of these
participants. Applicants must provide indications of participation by
including in the application letters of firm commitments, memoranda of
understanding or agreements, or letters indicating participation and
levels of effort and responsibility to receive rating points for this
factor. Letters of commitment, memoranda of understanding, or
agreements to participate must be signed by an official of the
organization legally able to make commitments for the organization.
Rating Factor 4: Comprehensiveness & Coordination (20 points)
This factor addresses the extent to which the applicant coordinates
its activities with other known organizations, participates or promotes
participation in a community's Consolidated Planning process, and is
working towards addressing a need in a holistic and comprehensive
manner
[[Page 23936]]
through linkages with other activities in the community.
In evaluating this factor, HUD will consider the extent to which
the applicant demonstrates it has:
(1) Coordinated its proposed activities with those of other groups
or organizations prior to submission in order to best complement,
support and coordinate all known activities and if funded, the specific
steps it will take to share information on solutions and outcomes with
others. Any written agreements, memoranda of understanding in place, or
that will be in place after award should be described.
(2) Taken or will take specific steps to become active in the
community's Consolidated Planning process (including the Analysis of
Impediments to Fair Housing Choice) established to identify and address
a need/problem that is related to the activities the applicant
proposes. In the case of technical assistance providers, the applicant
should describe the specific steps it will take to work with recipients
of technical assistance services to inform them of, and get them
involved in, the community's Consolidated Planning process. HUD will
review more favorably those applicants who can demonstrate they are
active, will become active, or in the case of technical assistance
providers work with recipients of technical assistance to get them
involved in the local Consolidated Planning (CP) process.
(3) Taken or will take specific steps to develop linkages to
coordinate comprehensive solutions through meetings, information
networks, planning processes or other mechanisms with:
(a) Other HUD-funded projects/activities outside the scope of those
covered by the Consolidated Plan; and
(b) Other Federal, State or locally funded activities, including
those proposed or on-going in the community.
(C) Selections. HUD will review each Intermediary application and
assign up to 100 points, in accordance with the criteria described in
this Section. In order to be considered for selection, an applicant
must receive a minimum score of 60. After rating, the M2M staff will
rank the applications for each separate state-grouping according to
score and will select the highest rated applicant in each state-
grouping. If an applicant is the highest rated for two or more state-
groupings, HUD will perform a second review to assure that the
applicant has the capacity to effectively perform in that number of
groupings. If it is determined, using the information from Rating
Factor 1, that the applicant does not have sufficient capacity to
adequately perform in all state-groupings for which it is the highest
rated applicant, HUD will notify the applicant of the number of state-
groupings for which it has been found to have capacity and will allow
that applicant to choose in which state-grouping(s) it will perform.
HUD will then select the second highest rated applicant for each state-
grouping not selected by the highest rated applicant. If a second
highest rated applicant is selected for two or more state-groupings,
HUD will perform a second review of that applicant to assure that the
applicant has the capacity to effectively perform in that number of
groupings. HUD will perform the same review until an intermediary has
been selected to perform in all five state-groupings.
If there is a state-grouping for which HUD receives no qualified
applicants, HUD may request the highest ranking applicant found to have
adequate capacity to perform in that state-grouping.
After all applications have been rated and ranked and selections
have been made, HUD may require that all winners participate in
negotiations to determine the specific terms of the Statement of Work
and the grant budget. In cases where HUD cannot successfully conclude
negotiations, or a selected applicant fails to provide HUD with
requested information, awards will not be made. In such instances, HUD
may elect to offer an award to the next highest ranking applicant, and
proceed with negotiations with the next highest ranking applicant.
IV. Application Submission Requirements
(A) Submission Requirements
An applicant must provide a completed application, including the
following, as applicable:
(1) OMB Standard Forms 424;
(2) Identification of proposed state-grouping(s) in which the
applicant will perform intermediary activities;
(3) Information about how the applicant meets the Factors for Award
listed in Section III(C)., ``Selection Criteria'', Rating Factors 1-4.
(4) Information about the applicant, including its history, its
staff and qualifications, and its experience.
(5) Summary of plan to advertise grant availability, distribution
of applications, review applications, disburse funds, set up
information network, and monitor activities under the grant;
(6) Evidence of tax-exempt status, if applicable;
(7) Required Certifications relating to this grant;
(8) Other disclosures and assurances as required under this
SuperNOFA;
(9) Other information/materials described in application kit.
(B) Application Selection Timeframe
HUD will publish in the Federal Register the list of selected
intermediaries within 30 days of the date that HUD's intermediary
selection process is completed. That publication will include
information for potential subrecipients on how to obtain application
kits and will list contact names at the intermediary organizations
selected to administer the grants.
Once intermediaries are selected and agreements are executed,
intermediaries will have 30 days to put the necessary mechanisms in
place prior to accepting grant applications.
V. Responsibilities of Intermediary
(A) General
Intermediaries will be responsible for performing the tasks listed
in Section II ``Program Requirements'' of this ITAG section of the
SuperNOFA.
(B) Timeframes
Once funding availability is advertised by the intermediary for its
``state-grouping'', potential sub-recipients can submit technical
assistance applications to the intermediary on an ongoing basis. If the
applications are acceptable, grants must be awarded no later than 30
calendar days after a complete application is received by the
intermediary (first come, first served). If the application is found to
be substantially complete (i.e., there are no missing exhibits), but
technically deficient (i.e., an exhibit does not adequately meet the
application requirements), the intermediary will send the applicant a
deficiency letter and allow 14 days for resubmission on the deficient
exhibits. The intermediary will have an additional 30 days to review
and approve an application, following receipt of application revisions.
If the application is not substantially complete, it will be rejected.
(C) Technical Assistance Grants
(1) Resident Capacity Grants (RCG). An RCG can be approved for a
maximum of $20,000. Resident Capacity applicants will receive an
application kit, which will be produced and distributed by the
intermediary. A sample application kit will be provided by HUD to the
intermediaries. Applications will be accepted on an ongoing basis, and
all acceptable applications will be approved unless there are no funds
available for Resident
[[Page 23937]]
Capacity grants. Intermediaries must review and approve or reject
applications for Resident Capacity grants based on the following
threshold criteria:
(a) The applicant meets the eligible applicant criteria listed in
paragraph A of Appendix A of this ITAG section of the SuperNOFA.
(b) The applicant is applying for funds for eligible activities
listed in paragraph D(1) of Appendix A to this ITAG section of the
SuperNOFA.
(c) The applicant has notified the residents of its application in
accordance with paragraph B of Appendix A of this ITAG section of the
SuperNOFA.
(d) The plan for promoting the ability of residents to participate
meaningfully in the M2M process is reasonable and feasible.
(e) The budget submitted with the application reflects reasonable
costs directly associated with the grant activities.
(f) The estimate of time necessary to achieve completion of
activities and delivery of products is reasonable and realistic and
within the time frames set forth in the applicable program regulation.
(2) Predevelopment Grants (PDG). A PDG can be approved for a
maximum of $70,000. All PDG applicants will receive an application kit
that will have been produced and distributed by the intermediary. A
sample application kit will be provided by HUD to the intermediaries.
Applications will be accepted on an ongoing basis, and all acceptable
applications will be approved unless there are no funds available for
Predevelopment grants. Intermediaries must review and approve or reject
applications for Predevelopment grants based on the following threshold
criteria:
(a) The applicant meets the eligible applicant criteria listed in
paragraph A of Appendix A to this ITAG section of the SuperNOFA;
(b) The applicant is applying for eligible activities listed in
paragraph D(2) of Appendix A to this ITAG section of the SuperNOFA;
(c) The applicant has notified the residents of its application in
accordance with paragraph B of Appendix A to this ITAG section of the
SuperNOFA;
(d) The plan for promoting and achieving a resident supported
purchase of the property must be reasonable and feasible and in
conformance with the appropriate program regulations and guidelines.
This will include an evaluation of the experience and capacity of the
applicant's development team;
(e) A plan for promoting and achieving the sale of the property to
an eligible nonprofit organization.
(f) The budget submitted with the application reflects reasonable
costs directly associated with the grant activities that would result
in the development of a feasible purchase; and
(g) The estimate of time necessary to achieve completion of
activities and delivery of products is reasonable and realistic and
within the time frames set forth in the applicable program regulation.
(3) Public Entity Grant (PEG). A PEG can be approved for a maximum
of $20,000. Public entities eligible to apply for such a grant include:
community action, legal services and fair housing counseling agencies;
State, county or local government agencies; intermediaries and others
deemed appropriate by the ITAG administrator.
The intent of the PEG program is for a public agency or
organization with expertise in multifamily rental housing, tenant
affairs or other preservation of affordable housing issues, to initiate
activities that can further the M2M program. An example: A city or
county office of landlord tenant affairs can proactively seek out those
tenant groups or organizations of properties that are eligible to
participate in the M2M program and initiate a conference, training
sessions, direct on site training, brochures, etc., to facilitate the
persons in the property understanding the procedures in dealing with
and the landlord of the property and general property management. A
second example is: An office of building permits and code enforcement
could give training or technical assistance to tenant groups in
eligible M2M properties who are dealing with property repairs.
(4) Competing Grant Applications. If a second technical assistance
application is received within 30 days of receipt of the first
application for any property, and if that application is for the same
grant category, the intermediary shall have an additional 20 days to
review both applications. The total review time for any grant cannot
exceed 50 days after receipt of a complete application. If the
competing applications are for Resident Capacity grants, resident
groups and Resident Councils shall have priority over other applicants.
If the competing applications are for Predevelopment grants, and both
are found technically acceptable, the Intermediary will return the
applications with instructions that the applicants meet together and
with the residents to reach a resolution for a final application. If no
compromise is reached, the intermediary will approve the applicant that
the intermediary finds most capable of performing grant and nonprofit
sponsor activities. In addition, in the case of any application, if
there is an indication that a majority of the residents oppose the
applicant's selection, that application shall be denied.
(5) Decision Not To Fund. In any denial of award letter, the
intermediary shall be required to explain the reasons for its
determination. In addition, if the intermediary makes a determination
that results in a reduction of proposed grant funds, that determination
shall also be explained in writing.
(6) Appeals. If an application for either an RCG, PDG or PEG is
denied, the applicant will have the right to appeal that denial to HUD.
The appeal must be made within 45 days of application rejection to: M2M
Staff, Office of OMAR, Department of Housing and Urban Development, 451
Seventh Street, NW., Room 6284, Washington, DC 20410. HUD will make a
binding determination within 45 days of the appeal.
(7) Award Notification. If an applicant is awarded and accepts an
RCG or PDG, the applicant must inform the residents of the property
about the award, by posting a notice or through a resident meeting or
both, within three weeks of the applicant's acceptance of the award.
VI. Corrections of Deficient Applications
The General Section of the SuperNOFA provides procedures for
corrections to deficient applications.
VII. Environmental Requirements
In accordance with 24 CFR 50.19(b)(8) and (9), the assistance
provided under this program relates only to the provision of
engineering costs and technical assistance and therefore is
categorically excluded from the requirements of the National
Environmental Policy Act and is not subject to environmental review
under the related laws and authorities. This determination is based on
the ineligibility of real property acquisition, construction,
rehabilitation, conversion, leasing, or repair for HUD assistance under
this program.
ITAG Program Appendix A: Technical Assistance Applications
A. Eligible Applicants
(1) General Definition. An eligible applicant must notify
residents of all occupied units that it is applying for a grant.
That notification shall meet the
[[Page 23938]]
specifications of paragraph B below. An eligible applicant is one of
the entities described in the following paragraphs (a) through (d)
that complies with the applicable criteria:
(a) Resident Group. Resident Groups are eligible for Resident
Capacity grants only. For an applicant to be considered a resident
group, the following must be submitted:
(i) Evidence that the greater of 5% of the occupied units or 10
units of the subject property have heads of households that are
members;
(ii) A copy of a notice announcing an organizational meeting to
discuss resident participation in decisions affecting the project;
(iii) A copy of the agenda of the organizational meeting
referred to in item (ii) of this paragraph; and
(iv) A list of attendees of the organizational meeting referred
to in item (ii) of this paragraph.
(b) Resident Council (RC). For an applicant to be considered an
RC, it must meet the definition of ``resident council'' as set out
in 24 CFR 248.101. Specifically, a RC is any incorporated nonprofit
organization or association in which membership is available to all
the tenants, and only the tenants, of a particular project and:
(i) Is representative of the residents of the project;
(ii) Adopts written procedures providing for the election of
officers on a regular basis; and
(iii) Has a democratically elected governing board, elected by
the residents of the project.
(c) Community-Based Nonprofit Housing Developer (CBD). For an
applicant to be considered a CBD it must submit evidence that it:
(i) Is classified as tax exempt under section 501(c)(3) of the
IRS Code of 1986;
(ii) Has been in existence for at least two years, and has at
least two years of housing and community development experience,
prior to date of application;
(iii) Has a record of service to low-and moderate-income people
in the community in which the project is located;
(iv) Is organized at the neighborhood, city, county or a multi-
county level;
(v) In the case of an organization seeking to acquire eligible
housing, it agrees to form a purchasing entity that conforms to the
definition of a community-based nonprofit organization (CBO) in 24
CFR 248.101;
(vi) Agrees to use its best efforts to secure majority tenant
consent to the acquisition of the project for which grant assistance
is requested. Evidence of ``best efforts'' shall include a plan in
the application which details method for securing such support. In
addition, continued evidence of ``best efforts,'' such as additional
resident meetings and notices, is required as a grantee moves
towards a purchase.
(d) Public Entity. For an applicant to be considered a public
entity, it must be an organization affiliated with State, county or
local government, or a community action agency, legal services or
fair housing counseling agency, intermediary, or others deemed
appropriate by the ITAG administrator.
(2) Resident Capacity Grant Applicants. Applicants for Resident
Capacity grants must meet the eligibility criteria listed in
paragraph A(1) of this Appendix. In addition, these grants may be
made only with respect to eligible M2M housing.
(3) Predevelopment Grant Applicants. Predevelopment grant
applicants must be RCs or CBDs meeting the criteria listed in
paragraph A(1) of this Appendix. These grants may be made only to
organizations seeking to purchase the property, with the support of
a majority of the residents. The owner of the property must have
entered into a binding agreement to sell the housing to the
applicant organization. This binding agreement shall not necessarily
be a formal sales contract; rather, it may state that the owner will
neither work with nor accept a purchase offer from any other entity
during the term of the grant, as long as the grantee is progressing
towards a purchase offer and acquisition in a reasonable period of
time.
(4) Conflict of Interest. Each applicant must certify that its
organization is not a ``Related Party'', as set forth in 24 CFR part
84, and that no individual that has, or has had within the last five
years, a personal or professional relationship with the owner entity
will receive financial benefit from the grant funds. This
certification shall prohibit using mutual consultants, attorneys,
etc. It shall not explicitly prohibit using architects or engineers
that have worked with the owner or in the property in the past, as
long as there is no ongoing professional relationship with the owner
that could be perceived as a conflict of interest. A nonprofit
general partner of an eligible property that is attempting to buy
out its limited distribution partners is exempt from this part of
the conflict of interest requirement. The certification shall also
require disclosure, to the intermediary and the tenants, of any
relationship with ownership, management, or any other parties to a
sale, and will state that the applicant will not seek any financial
benefit from project ownership or operations other than those
disclosed.
B. Resident Notification.
Each applicant will be required to notify residents of the
property of its application prior to submitting the application
package to the intermediary. That notification shall be in writing,
be distributed to each resident of the property, and include a
summary of the applicant's plan for the property. The notification
shall also include a statement that residents can themselves become
eligible applicants under the M2M Technical Assistance grant
program. In addition, the applicant must meet with the residents of
the property at least two weeks prior to application submission, and
give the residents at least two weeks notification of such meeting.
In that meeting, the applicant must provide the following
information to the residents:
A summary of the grant proposal;
A list of members of the board of directors, if known;
A list of the proposed development team and management
company, if known;
A list of all proposed consultants and attorneys;
Disclosure of any relationship with ownership,
management, or any other parties related to the owner or, if
applicable, related to the sale; and
Information on how the residents may comment to the
intermediary on the applicant's proposal and that residents shall
have 14 days to submit comments to the applicant and to the
intermediary on the proposal. This information shall include a name
and contact number for the intermediary and a name and phone number
for a contact person in the applicant organization. If the applicant
is unable to make this notification due to lack of access to the
property or lack of resident addresses, the applicant may contact
the intermediary for assistance. The intermediary may contact the
owner to request access or resident addresses for the applicant. If
the owner is uncooperative, the intermediary may contact the HUD
field office for assistance. If residents make substantive comments
to the intermediary, the applicant will be required to address these
comments prior to any grant award from the intermediary.
C. Ineligible Technical Assistance Applicants.
(1) Entities that have applications pending for funds under the
HOPE 2 program are not eligible to apply for funding under this ITAG
section of the SuperNOFA.
(2) Entities that have been awarded grants under the
Preservation Technical Assistance Grants NOFA (entitled ``Technical
Assistance Planning Grants for Resident Groups, Community Groups,
and Community-Based Nonprofit Organizations and Resident Councils'')
issued April 6, 1994, may not receive funds under this ITAG section
of the SuperNOFA for any properties for which those grants were
funded either until all funds awarded to the grantee under the 1994
NOFA have been expended, or until the grant under the April 6, 1994,
NOFA has been terminated as a result of a new grant approval under
this ITAG section of the SuperNOFA. The total funds received from
the April 6, 1994, NOFA plus the total grant award for this ITAG
section of the SuperNOFA may not exceed the funding limits
established in this ITAG section of the SuperNOFA. A grantee under
the April 6, 1994 NOFA is eligible for funds under this ITAG section
of the SuperNOFA only if it also meets the eligibility criteria of
this ITAG section of the SuperNOFA and meets the notification
requirements of paragraph B (``Resident Notification'') above.
D. Eligible Technical Assistance Grant Activities.
(1) Resident Capacity Grants. Resident Capacity grants may be
used to cover expenses for the following activities:
Resident outreach and coordination;
Legal services to incorporate the resident organization
or RC, establish a board of directors, write by-laws, or establish
nonprofit status;
Accounting services for budgeting, planning, and
creation of accounting systems that are in compliance with OMB
Circular A-110 or A-122;
Conducting resident meetings and democratic elections;
[[Page 23939]]
Training residents and developing resident leadership;
Hiring an architect or engineer to advise the residents
during the M2M need assessment; and
Other technical assistance related to developing the
capacity of the residents of the organization to meaningfully
participate in decisions related to the project.
(2) Predevelopment Grants. Predevelopment grants may be used to
cover consultant costs, and grantee staff and overhead costs related
to the following activities:
Legal services to organize a purchasing entity;
Accounting services for budgeting, planning, and
creation of accounting systems that are in compliance with OMB
Circular A-110 or A-122;
Preparing bona fide offers including contracts and
other documents to purchase the property;
Training residents, resident council staff and board
members on the M2M process and in skills related to the operation
and management of the project;
Developing and negotiating management contracts,
related contract monitoring, and management procedures;
Engineering studies, such as site, water, and soil
analysis, mechanical inspections; and estimations of the cost of
rehabilitation and of meeting local building and zoning codes, in
anticipation of purchasing a property;
Securing financing and preparation of mortgage
documents, transfer documents, and other documentation incident to
closing a purchase offer;
Preparing feasibility analyses, market studies and
management plans;
If applicable, creating a Community-Based Nonprofit
Organization that conforms to the definition of such organization
under 24 CFR Sec. 248.101;
Other activities related to promoting the ability of
eligible applicants to acquire, rehabilitate and competently own and
manage eligible housing.
(3) Public Entity Grants may be used to cover the following
activities:
All activities listed under resident capacity and
predevelopment and,
Training tenants or organizations affiliated with a M2M
eligible property in that area of expertise in which the public
entity has been associated.
E. Ineligible Grant Activities
Examples of activities that are not eligible to be funded for
technical assistance grantees include:
Earnest money deposits as part of a purchase offer;
Purchase of land or buildings or any improvements to
land or buildings;
Activities not directly related to eligible activities
listed in paragraph D of this Appendix A;
Payments of fees for lobbying services;
Activities funded from other sources;
Activities completed prior to time applicant becomes
eligible for a grant; and
Activities performed by the administering intermediary.
ITAG Program Appendix B: Activity Level and State Allocation
HUD determined the allocation of funds by State-Grouping by
estimating the total number of M2M projects based on FY 1997, 1998,
and 1999 data, dividing this number into total funds expected to be
available, and multiplying the result by the number of projects in a
State-Grouping. HUD reserves the right to periodically assess
activity levels and, if necessary, reallocate funds among
intermediaries. The following table contains the estimated State-
Grouping allocations based on FY 1998 funding and subject to FY 1999
appropriations, if any:
----------------------------------------------------------------------------------------------------------------
FY dollars (if
State grouping FY 1998 dollars appropriated) Total
----------------------------------------------------------------------------------------------------------------
Northwest:
Alaska
Colorado
Hawaii
Idaho
Illinois
Iowa
Kansas
Minnesota
Missouri
Montana
Nebraska
North Dakota
Oregon
South Dakota
Utah
Washington
Wyoming
----------------------------------------------------------------------------------------------------------------
$200,000 $1,600,000 $1,800,000
Southwest:
Arizona
Arkansas
California
Louisiana
Nevada
New Mexico
Oklahoma
Texas
----------------------------------------------------------------------------------------------------------------
$200,000 $1,600,000 $1,800,000
Midwest:
Indiana
Michigan
Ohio
Wisconsin
----------------------------------------------------------------------------------------------------------------
$200,000 $1,600,000 $1,800,000
Northeast:
Connecticut
Delaware
Maine
[[Page 23940]]
Maryland
Massachusetts
New Hampshire
New Jersey
New York
Pennsylvania
Rhode Island
Vermont
Washington, DC
West Virginia
----------------------------------------------------------------------------------------------------------------
$200,000 $1,600,000 $1,800,000
Southwest:
Alabama
Caribbean
Florida
Georgia
Kentucky
Mississippi
North Carolina
South Carolina
Tennessee
Virginia
----------------------------------------------------------------------------------------------------------------
$200,000 $1,600,000 $1,800,000
----------------------------------------------------------------------------------------------------------------
Total.......................................... $1,000,000 $8,000,000 $9,000,000
----------------------------------------------------------------------------------------------------------------
BILLING CODE 4210-32-P
Federal Register / Vol. 63, No. 83 / Thursday, April 30, 1998 /
Notices
[[Page 23941]]
[GRAPHIC] [TIFF OMITTED] TN30AP98.012
BILLING CODE 4210-32-C
Federal Register / Vol. 63, No. 83 / Thursday, April 30, 1998 /
Notices
[[Page 23943]]
Funding Availability for Outreach and Training Grants (OTAG) To
Provide Technical Assistance To Tenant Groups in Projects Eligible
Under the Mark-To-Market (M2M) Program
Program Description: Approximately $6.0 million in Outreach and
Training Grant (OTAG) funds is available for resident-controlled non-
profit organizations, community-based organizations and public entities
to apply for funds to conduct outreach and training development for HUD
tenants in properties eligible to participate in the M2M program, so
that the tenants can (1) participate meaningfully in the M2M program,
and (2) affect decisions about the future of their housing. The purpose
of the M2M program is to reduce the cost of above market Section 8
assistance, preserve affordable housing stock, and streamline the
administration of Federal housing subsidies. These funds are available
to grantees providing the program on a community-, county-, city-, or
state-wide level.
Application Due Date: Completed applications must be received no
later than 12:00 midnight, Eastern time on June 30, 1998 at HUD
Headquarters. See the General Section of this SuperNOFA for specific
procedures governing the form of application submission (e.g., mailed
applications, express mail, overnight delivery, or hand carried).
Address for Submitting Applications: Completed applications (one
original and two copies) must be submitted to: the Office of Portfolio
Reengineering, Room 6130, HUD Headquarters, 451 Seventh Street, SW,
Washington, DC 20410. When submitting your application, please refer to
OTAG, and include your name, mailing address (including zip code) and
telephone number (including area code).
For Application Kits, Further Information and Technical Assistance:
For Application Kits. For an application kit and any supplemental
information please call the SuperNOFA Information Center at 1-800-HUD-
8929. Persons with hearing or speech impairments may call the Center's
TTY number at 1-800-HUD-2209. The application kit also will be
available on the Internet through the HUD web site at http://
www.hud.gov. When requesting an application kit, please refer to OTAG
and provide your name, address (including zip code), and telephone
number (including area code).
For Further Information. Arthur Goldstein at (202) 708-2300,
extension 2657. Persons with speech or hearing impairments may call
HUD's TTY number (202) 708-0770, or 1-800-877-8399 (the Federal
Information Relay Service TTY). Other than the ``800'' number, these
numbers are not toll-free. Mr. Goldstein can also be reached via the
Internet at [email protected]
For Technical Assistance. An information broadcast via satellite
will be held for potential applicants to learn more about the program
and preparation of an application. For more information about the date
and time of the broadcast, please consult the HUD web site at the web
address listed above.
Additional Information
I. Authority; Purpose; Amount Allocated; and Eligibility
Applicants should take care in reviewing this section to ensure
they are eligible to apply for funds and that they meet the program
requirements described.
(A) Authority
The FY 1998 HUD Appropriations Act authorizes funding for the
Outreach and Training Grant program. This authorization is under the
legislation ``Multifamily Assisted Housing Reform and Affordability Act
of 1997'' (MAHRA), (Title V-HUD Multifamily Housing Reform, subtitle A,
section 514, Mortgage Restructuring and Rental Assistance Sufficiency
Plan).
(B) Purpose
The purpose of the OTAG program is to provide technical assistance
to tenants of eligible M2M properties so that the tenants can (1)
participate meaningfully in the M2M program, and (2) affect decisions
about the future of their housing.
(C) Amount Allocated
The competition in this program is for up to $6.0 million to fund
resident-controlled nonprofit organizations, community-based
organizations and public entities in the pursuit of OTAG activities.
The $6.0 million will be awarded in 1998 but will be utilized for OTAG
technical assistance activities that are needed through October 1,
2001.
(D) Grant Amount and Terms
M2M will accept OTAG applications that propose a term of from one
to three years. The term begins on the date of the execution of the
grant agreement. The grant amount will be limited to $400,000 for
successful applications that propose the three year maximum for
activities. The maximum annual allocation for such grants will be
approximately $150,000, which must be expended by the grantee prior to
the distribution of additional funds. For example: If a grantee is
unable to successfully utilize their annual allocation in the requisite
year, then no funds for the next year will be allocated until the
current year's allocation has been expended according to the agreement.
The grant may be terminated if the grantee fails to complete the tasks
within a reasonable time period.
(E) Eligible Applicants
An organization applying for OTAG funding must:
(1) Be a resident-controlled nonprofit organization with a majority
of the board consisting of residents of HUD assisted housing, with at
least two years of experience in resident organizing and education;
(2) A community-based organization (CBO), with at least two years
of experience in resident organizing and education; or
(3) Public entities such as: community action, legal service, and
fair housing counseling agencies; State and local government agencies;
and intermediaries.
These grants will be awarded on a community-, city-, county-,
multi-county-, or state-wide basis. The approved grantees will initiate
an outreach program that will identify, deliver training to, and
develop the organizational process that will be used in organizing the
unorganized residents of eligible low-income housing. Any group that is
applying for an OTAG must have at least two years of experience in
organizing and training tenants, or have an affiliation with an
organization that has such experience. However, the organization
providing the experience must not have influence over the grantee's
decision making. All funds expended under this OTAG Program section of
the SuperNOFA must be used for tenant activities as described later in
this program section of the SuperNOFA.
A CBO is a private nonprofit organization that:
(1) Is organized under State or local laws;
(2) Has no part of its earnings inuring to the benefit of any
member, founder, contributor, or individual;
(3) Is neither controlled by, nor under the direction of,
individuals or entities seeking to derive profit or gain from the
organization;
(4) Has applied for, or has a tax exemption ruling from the
Internal Revenue Service under section 501(c) of the Internal Revenue
Code of 1986;
(5) Does not include a public body (including the participating
jurisdiction) or an instrumentality of a public body. An organization
that is State or locally
[[Page 23944]]
charted may qualify as a community-based nonprofit organization;
however, the State or local government may not have the right to
appoint more than one-third of the membership of the organization's
governing body and no more than one-third of the board members can be
public officials;
(6) Has standard of financial accountability that conforms to 24
CFR part 84;
(7) Has among its purposes the provision of decent housing that is
affordable to low-income and moderate-income persons, as evidenced in
its charter, articles of incorporation, resolutions or by-laws;
(8) Maintains accountability to low income community residents by:
(i) Maintaining at least one-third of its governing board's
membership for low income neighborhood residents, other low-income
community residents, or elected representatives of low-income
neighborhood organizations. For urban areas, ``community'' may be a
neighborhood or neighborhoods, town, village, county, or multi-county
area or state; and
(ii) Providing a formal process for low-income, program
beneficiaries to advise the organization on its decisions regarding the
acquisition, rehabilitation and management of affordable housing.
Applicants that do not have tax-exempt status under section 501(c)
of the Internal Revenue Code of 1986 on or before the date of
application may be considered as long as the organization is approved
before the effective date of the grant agreement. Also, newly formed
and otherwise eligible organizations may submit joint applications with
eligible organizations that are tax exempt.
(F) Eligible Activities
An applicant must identify its specific jurisdiction and the
activities it will undertake to accomplish its objectives. Activities
for OTAGs can include:
(1) Identifying residents and resident groups living in eligible
M2M properties as well as enforcement properties with rents greater
than market rents. Eligible projects include any property with an
expiring Section 8 contract that is eligible for the M2M program and
these properties deemed ineligible for participation in the M2M program
under section 516 of the FY 1998 Appropriations Act;
(2) Providing outreach and training to tenants to explain the M2M
program, the possible financial changes, the possible project repairs,
access and community resources and effective methods for communicating
the organization's position;
(3) Organizing residents of eligible low-income housing so the
tenants can effectively participate in the M2M process;
(4) Performing outreach, training, and counseling, which may
include teaching sound housing management, maintenance, and financial
management, to residents and resident groups living in eligible M2M
properties;
(5) Delivering project-based, community-, city-, county-, or state-
wide training programs on M2M and/or resident homeownership options;
(6) Establishing M2M clearinghouses as a resource to resident
organizations, community groups and potential purchasers;
(7) Creating informational materials about the M2M process for
local/state-wide distribution;
(8) Providing support for HUD approved activities proposed by the
grantee that would further the M2M program and others considered
eligible at HUD's discretion;
(9) Educating parties outside HUD (including but not limited to
appraisers, financial institutions officials, State and local
government officials, community groups, and owner entities) about the
M2M process.
II. Program Requirements
In addition to the program requirements listed in the General
Section of this SuperNOFA, grantees must meet the following program
requirements:
(A) Reporting Requirements
(1) OTAG Grantees must comply with all requirements of 24 CFR Part
84.
(2) OTAG Grantees must submit a quarterly performance report to the
Director of the Office of Mortgage and Housing Assistance Restructuring
(OMAR).
(3) These reports are to list the properties and number of tenants
assisted by the OTAG Activities being performed that quarter. These
reports must include information conferences, brochures, meetings held,
training, etc., and a narrative describing what tangible benefits
resulted from the assistance.
(4) Payment requests may be frozen until receipt of an acceptable
performance report.
(B) Records Retention and Access Requirements
All accounting and other records associated with OTAG
administration must be retained and made available to HUD or its
designee in accordance with 24 CFR Sec. 84.53.
(C) Auditing Requirements
OTAG grantees must comply with the audit requirements set forth in
24 CFR part 45.
(D) Conflict of Interest (CI) Requirements
Funds received under this OTAG Program section of this SuperNOFA
shall not be used to supplant or duplicate other resources for the
proposed activities. In carrying out its duties under this program
section of the SuperNOFA, any grantee must avoid even the appearance of
a conflict of interest. All executives, board members, key management
personnel, or any other person or entity with direct or indirect
control, is required to execute a CI Certification at the time of
execution of a grant agreement and on each anniversary date of
execution.
III. Application Selection Process
Two types of reviews will be conducted: a threshold review to
determine applicant eligibility; and a technical review to rate the
application based on the rating factors in this Section III.
(A) Additional Threshold Criteria for Funding Consideration
Under the threshold review, the applicant will be rejected from the
competition if the applicant is not in compliance with the requirements
of the General Section of the SuperNOFA and if the applicant does not
qualify as an Eligible Applicant as defined in Section I(E) of this
OTAG Program section of the SuperNOFA.
(B) Factors for Award Used To Evaluate and Rate Applications
The factors for rating and ranking applicants, and maximum points
for each factor, are provided below. The maximum number of points for
this program is 100. This section of the SuperNOFA does not include EZ/
EC bonus points.
Rating Factor 1: Capacity of the Applicant and Relevant Organizational
Experience (25 Points)
This factor addresses the extent to which the applicant has the
organizational resources necessary to successfully implement the
proposed activities in a timely manner. The rating of the ``applicant''
or the ``applicant's organization and staff'' for technical merit or
threshold compliance, unless otherwise specified, will include any
faculty, subcontractors, consultants, sub-recipients, and members of
consortia which are firmly committed to the project. In rating this
factor, HUD
[[Page 23945]]
will consider the extent to which the proposal demonstrates:
(1) (5 points) The knowledge and direct experience of the proposed
project director and staff, including the day-to-day program manager,
consultants and contractors, in planning and managing the kind of
programs for which funding is being requested. The applicant will be
judged in terms of recent, relevant and successful experience in
undertaking eligible program activities.
The applicant has sufficient personnel, or access to qualified
experts or professionals, enabling delivery of the proposed activities
in each proposed service area in a timely and effective fashion.
Capacity also includes the readiness and ability of the applicant to
immediately begin the proposed work program.
(2) (5 points) The applicant's experience in managing programs
similar in scope or nature directly relevant to the work activities
proposed and carrying out grant management responsibilities. If the
applicant has managed large, complex, interdisciplinary programs, the
applicant should include the information supporting this claim in their
response.
(3) (5 points) If the applicant received funding in previous years,
the applicant's past experience will be evaluated in terms of their
ability to attain demonstrated measurable progress in the
implementation of their most recent grant awards, as measured by
expenditures and measurable progress in achieving the purpose for which
funds were provided. However, the applicant must demonstrate how it
will successfully undertake additional activities effectively under
this OTAG Program section of the SuperNOFA.
Capability to conduct community-, city, county-, multi-county, or
state-wide outreach and training program. This program could be to
identify and organize residents and conduct educational workshops for
tenants of eligible M2M residents, about the residents involvement in
the M2M program. Training is to be conducted in a reasonable time
period, within budget, and in an effective manner. This criterion can
be demonstrated through past performance, as evidenced by previous
experience and success in outreach, training recruitment, counseling,
and development of tenant nonprofit organizations. References should be
included that indicate groups of individuals, entities, projects that
received training, along with contact information of same.
(4) (5 points) Ability to cover large geographic areas. The larger
the geographic area proposed, the larger number of points will be
awarded.
(5) (5 points) Applicant's fiscal capability in meeting the
reporting and audit requirements of 24 CFR part 84. The ability of the
applicant's key staff to handle, manage, and adequately account for
financial resources, and to use acceptable financial control
procedures, demonstrated through past performance of the applicant
entity or key staff with Federal, State or local funds, or an
explanation of how such capability can be obtained. Implicit to this
criterion is the capacity of the applicant to carry out the program,
subject to conflict of interest and non-duplication of ``other
resource'' requirements. If the applicant organization, or any staff
person associated with the organization intends to seek other technical
assistance funding, as a consultant or any other means, under the M2M
program (i.e. Intermediary Technical Assistance Grant program), it must
demonstrate that it can maintain the financial systems required to
avoid even the appearance of a conflict of interest or non-duplication
of funding. Evidence of meeting this criteria can be shown by the
demonstrated performance of a recent audit review of the organization
or a satisfactory, HUD Field Office Management Review.
Rating Factor 2: Need/Extent of the Problem (25 Points)
This factor addresses the extent to which there is a need for
funding the proposed program activities and an indication of the
urgency of meeting the need in the target area. HUD has determined that
need will be evaluated based on the number of M2M-eligible projects in
the geographic area which an applicant proposes to provide services.
Points will be awarded based on the following:
------------------------------------------------------------------------
Points
Number of M2M projects awarded
------------------------------------------------------------------------
100 and over................................................. 25
60-69........................................................ 20
40-59........................................................ 15
30-39........................................................ 10
20-29........................................................ 5
Fewer than 19................................................ 2
------------------------------------------------------------------------
A list of M2M eligible properties by property name, city and state
can be obtained from the Multifamily Clearinghouse at 1-(800) 685-8470.
This list will be updated periodically.
Rating Factor 3: Soundness of Approach (30 Points)
This factor addresses the quality and cost-effectiveness of the
applicant's proposed work plan. In developing a work plan, the
applicant should consider all Eligible Activities listed in Section
I(F) of the OTAG Program section of the SuperNOFA. The work plan should
address, at a minimum:
(1) The type of activities the applicant intends to perform;
(2) The intended methodology for initial contact with tenants and
plan for follow-up contact;
(3) The subjects to be covered in any proposed training;
(4) The proposed methodology for encouraging tenant leadership;
(5) The proposed methodology for completion of all other activities
proposed under the work plan;
(6) The plan for creation and distribution of any printed material;
(7) The intended audience for each proposed activity; and
(8) For applicants covering a large geographic area, the proposed
method of contact to residents outside the applicant's immediate area.
There must be a clear relationship between the proposed activities,
community needs and the purpose of the program funding for an applicant
to receive points for this factor. The factor will be evaluated based
on the extent to which the proposed activities will:
(1) Help solve or address an urgent need or problem as identified
under Rating Factor 2--Need/Extent of the Problem. The impact of the
activity will be evaluated, including the tangible benefits to be
attained by the community and by the target population including
affirmatively furthering fair housing for classes protected under the
Fair Housing Act. As applicable to the program for which funding is
requested, the activities should aid a broad diversity of eligible
client or beneficiary groups, including those that have been
traditionally undeserved. Efforts to increase community awareness in a
culturally sensitive manner through education and outreach will also be
evaluated, if applicable.
HUD will consider, within the context of the program for which
funding is requested, the extent to which the applicant's activities
are providing for geographic coverage for articulated needs, and will
assist or result in a community taking appropriate action to overcome
the effects of any impediments identified in the A.
In the case of technical assistance, HUD will evaluate the extent
to which the proposed activities help solve or
[[Page 23946]]
address an urgent need identified for the specific technical assistance
program for which an applicant is applying and the extent to which full
geographic coverage is provided, including urban and rural areas as
well as under-served populations within the field office
jurisdiction(s) in which funding is requested.
(2) Achieve the purposes of the program for which funding is
requested and result in measurable accomplishments that are consistent
with the purposes of the program and will result in a goal being met/
product produced within a timeframe appropriate and reasonable for the
program.
(3) Be undertaken using technically competent methodologies for
conducting the work to be performed and uses a cost effective plan for
designing, organizing and carrying out the proposed activities. The
proposed cost estimates should be reasonable for the work to be
performed and consistent with rates established for the level of
expertise required to perform the work in the proposed geographic area.
(4) Yield innovative strategies or ``best practices'' that can be
replicated and disseminated to other organizations, including nonprofit
organizations, State and local governments. HUD will assess the
transferability of results in terms of model programs or lessons
learned from the work performed under the award. Applicants will be
required to prepare an analysis of best practices as part of their
reports to HUD that may be used by HUD to inform others who may be
interested in learning from the experiences gained from the work
performed under awards funded through this OTAG Program section of the
SuperNOFA.
(5) Further and support the policy priorities of HUD including:
(a) Promoting healthy homes;
(b) Providing opportunities for self-sufficiency, particularly for
persons enrolled in welfare to work programs;
(c) Enhancing on-going efforts to eliminate drugs and crime from
neighborhoods through program policy efforts such as ``One Strike and
You're Out'' or the ``Officer Next Door'' initiative;
(d) Providing educational and job training opportunities through
such initiatives as Neighborhood Networks, Campus of Learners and
linking to AmeriCorps activities.
Rating Factor 4: Leveraging Resources (10 Points)
This factor addresses the ability of the applicant to secure
community assets, resources and/or financing to achieve program
purposes. In evaluating this factor HUD will consider:
(1) The extent to which the applicant has leveraged resources, such
as funding and/or in-kind services from governmental entities, private
organizations, resident management organizations, educational
institutions, or other entities in order to achieve the purposes of the
award the applicant is requesting.
(2) The extent to which the applicant has partnered with other
entities to make more effective use of available public or private
resources. Partnership arrangements may include, but are not limited
to, funding or in-kind services from local governments or government
agencies, non-profit or for-profit entities, private organizations,
educational institutional or other entity that is willing to partner
with the applicant on proposed activities in order to leverage
resources, or partnering with other program funding recipients to make
more effective use of resources within the geographic area covered by
the award either within the community or within the field office
jurisdiction in which activities are occurring. Applicants may partner
directly or through a consortium of applicants to more effectively
address needs of underserved populations, rural areas, minority groups
or other client groups that need attention either in the target area or
the area covered by the field office jurisdiction in which the
activities are to take place.
Evidence of commitment should include organization names, their
proposed level of effort, resources, and responsibilities of these
participants. Applicants must provide indications of participation by
including in the application letters of firm commitments, memoranda of
understanding or agreements, or letters indicating participation and
levels of effort and responsibility to receive rating points for this
factor. Letters of commitment, memoranda of understanding, or
agreements to participate must be signed by an official of the
organization legally able to make commitments for the organization.
Rating Factor 5: Comprehensiveness and Coordination (10 Points).
This factor addresses the extent to which the applicant's program
reflects a coordinated, community-based process of identifying needs
and building a system to address the needs by using available HUD
funding resources and other resources available to the community.
In evaluating this factor, HUD will consider the extent to which
the applicant demonstrates it has:
(1) Coordinated its proposed activities with those of other groups
or organizations in order to best complement, support and coordinate
all known activities and, the specific steps it will take to share
information on solutions and outcomes with others. Any written
agreements, memoranda of understanding in place, or that will be in
place after award should be described.
(2) Taken or will take specific steps to become active in the
community's Consolidated Planning process (including the Analysis of
Impediments to Fair Housing Choice) established to identify and address
a need/problem that is related to the activities the applicant
proposes.
(3) Taken or will take specific steps to develop linkages to
coordinate comprehensive solutions through meetings, information
networks, planning processes or other mechanisms with:
(a) Other HUD funded projects/activities outside the scope of those
covered by the Consolidated Plan; and
(b) Other HUD, Federal, State or locally funded activities,
including those proposed or on-going in the community(s) served.
(C) Selections. HUD will review each Outreach and Training Grant
application and assign up to 100 points, in accordance with the
criteria described in this Section. After rating, the M2M staff will
rank the applications according to score and will fund them in rank
order. Funds will be awarded based upon the highest scores, which
represent the best overall assessment of the potential of the proposed
work activities for achieving the principal objectives of this
competition.
If two or more applications have the same number of points, a
resident-controlled (51 percent or more of Board participation by HUD
tenants) nonprofit organization will receive priority rating over a
nonprofit organization that is not resident-controlled. Public entity
applicants will only be considered for geographic areas where there is
no acceptable application from a nonprofit organization.
HUD reserves the right to make selections out of rank order to
provide for geographic distribution of funded OTAGs. The approach HUD
will use, if it decides to implement this option, will be to award to
the highest ranked applicant in a geographic area, and to fund the next
highest ranked applicants in other geographic areas before
[[Page 23947]]
duplicating funding for any one geographic area.
After all applications have been rated and ranked and selections
have been made, HUD may require that all winners participate in
negotiations to determine the specific terms of the Statement of Work
and the grant budget. In cases where HUD cannot successfully conclude
negotiations, or a selected applicant fails to provide HUD with
requested information, awards will not be made. In such instances, HUD
may elect to offer an award to the next highest ranking applicant.
After award but before grant execution, winners will be required to
provide a certification from an Independent Public Accountant or the
cognizant government auditor, stating that the financial management
system employed by the applicant meets prescribed standards for fund
control and accountability required by OMB Circular A-133, Uniform
Administrative Requirements for Grant Agreements With Institutions of
Higher Education, Hospitals, and other Non-Profit Organizations,
Revised OMB Circular A-110, or 24 CFR part 85 for States and local
governments, or the Federal Acquisition Regulations (for all other
applicants). This information should contain the name and telephone
number of the Independent Auditor, cognizant Federal auditor, or other
audit agency, as applicable.
IV. Application Submission Requirements
An applicant must provide a completed application, including the
following, as applicable:
(1) OMB Standard Forms 424;
(2) Summary of proposed activities and jurisdiction;
(3) Information about the applicant, including its history, its
staff and qualifications, and its experience;
(4) Summary of plan to carry out proposed activities;
(5) Evidence of tax-exempt status, if applicable;
(6) Required Certifications relating to this grant; and
(7) Other information/materials described in application kit.
V. Corrections of Deficient Applications
The General Section of the SuperNOFA provides procedures for
corrections to deficient applications.
VI. Environmental Requirements
In accordance with 24 CFR 50.19(b) (2), (9) and (12), the
assistance provided under this program relates only to information
services, the provision of technical assistance, and supportive
services and therefore is categorically excluded from the requirements
of the National Environmental Policy Act and is not subject to
environmental review under the related laws and authorities. This
determination is based on the ineligibility of real property
acquisition, construction, rehabilitation, conversion, leasing, or
repair for HUD assistance under this program.
BILLING CODE 4210-32-P
Federal Register / Vol. 63, No. 83 / Thursday, April 30, 1998 /
Notices
[[Page 23949]]
[GRAPHIC] [TIFF OMITTED] TN30AP98.013
BILLING CODE 4210-32-C
Federal Register / Vol. 63, No. 83 / Thursday, April 30, 1998 /
Notices
[[Page 23951]]
Funding Availability for the Local Lead Hazard Awareness Campaign
Program Description: Approximately $700,000 is available for the
Local Lead Hazard Awareness Campaign grant funding. The purpose of this
campaign is to deliver public education and outreach services to
increase lead awareness and promote lead poisoning prevention to
identified target audiences in specific geographical areas. Grants will
be awarded on a competitive basis to eligible organizations ranging
between $20,000 to $700,000.
Application Due Date: Completed applications must be submitted no
later than 12:00 midnight, Eastern time on June 26, 1998 at the address
shown below. HUD reserves the right to republish this program section
of the SuperNOFA and announce additional due dates, or to make no
awards at all if proposals are deficient. See the General Section of
this SuperNOFA for specific procedures governing the form of
application submission (e.g., mailed applications, express mail,
overnight delivery, or hand carried).
Address for Submitting Applications: Completed applications (one
original and two copies) must be submitted to: U.S. Department of
Housing and Urban Development, Office of Lead Hazard Control, 451
Seventh Street, SW, B-133, Washington, DC 20410. When submitting your
application, please refer to Local Lead Hazard Awareness Campaign
grant, and include your name, mailing address (including zip code) and
telephone number (including area code).
For Application Kits, Further Information, and Technical
Assistance: For Application Kits. For an application kit and
supplemental information please call the HUD SuperNOFA Information
Clearinghouse at 1-800-HUD-8929. Persons with hearing or speech
impairments may call the Center's TTY at 1-800-HUD-2209. The
application kit also will be available on the Internet at: http://
www.hud.gov. When requesting an application kit, please refer to Local
Lead Hazard Awareness Campaign grant, and provide your name, address
(including zip code), and telephone number (including area code).
For Further Information and Technical Assistance. Dolline Hatchett,
Community Outreach Officer, Office of Lead Hazard Control, 202-755-1785
extension 114 (this is not a toll-free number).
Additional Information
I. Authority; Purpose; Amount Allocated; and Eligibility
(A) Authority
The Local Lead Hazard Awareness Campaign is authorized under Title
X, The Residential Lead-Based Paint Hazard Reduction Act of 1992 of the
Housing and Community Development Act 1992, Pub. L. 102-550, section
1011(g)(1).
(B) Purpose
The Federal government has launched a national public education and
outreach campaign to protect America's children from the health hazards
of lead-based paint. The Campaign for a Lead-Safe America was announced
by Mrs. Tipper Gore, the U.S. Department of Housing and Urban
Development and the U.S. Environmental Protection Agency at a White
House press conference on November 17, 1997. The Local Lead Hazard
Awareness Campaign grant under this SuperNOFA is designed to conduct
public education and outreach at a local level to increase lead-based
paint hazard awareness and promote lead poisoning prevention to
identified target audiences in specific geographical locations;
increases lead hazard awareness through education and outreach to high-
risk communities and other identified audiences such as, parents,
caretakers, pediatricians, children, pregnant women, building owners
and renovation and maintenance personnel; and to develop coalitions to
establish a workable framework to sustain lead education and outreach
programs (beyond the life of the grant). This program also implements,
in part, HUD's Departmental Strategy for achieving Environmental
Justice pursuant to Executive Order 12898 (Federal Actions to Address
Environmental Justice in Minority Populations and Low Income
Populations).
(C) Amount Allocated
Up to $700,000 will be made available on a competitive basis to
eligible applicants with grant awards ranging between $20,000--
$700,000. The funding selections will be based on the factors for award
described in this program section of the SuperNOFA. The amounts
included in this program section of the SuperNOFA are subject to change
based on funds availability.
(D) Eligible Applicants
The following organizations shown below are eligible to receive
funding under this program section of the SuperNOFA. Partnerships are
encouraged, although the application must be made by a single entity.
(1) Non-profit (must submit proof of non-profit status) and for-
profit organizations (for-profit firms are eligible; however, they are
not allowed to include a fee in the cost proposal, i.e., no profit can
be made from the project);
(2) Institutions of higher learning;
(3) State and local government;
(4) Federally recognized Indian Tribes;
(5) Trade and Professional Organizations; and
(6) Real Estate Organizations.
(E) Eligible Activities
Eligible activities to be funded under this program section of the
SuperNOFA are those activities that deliver public education and
outreach services to increase lead hazard awareness and promote lead
poisoning prevention to identified target audiences in specific
geographical areas. Efforts must include developing the infrastructure
needed to implement media strategies to successfully market ``The
Campaign for a Lead Safe America'' with assistance from the successful
applicant(s) of the National Lead Hazard Awareness Campaign Grant. In
addition, the activity must develop and implement various communication
strategies to educate their target audience about the hazards of lead-
based paint and what communities can do to protect their families from
being poisoned by lead. Each applicant must define its target audience,
which can include, for example, the real estate community, parents,
teachers, health care workers, daycare providers, the general public
and other entities. Grantees are encouraged to conduct education and
outreach using their affiliate chapters, if applicable, branch members
or other outreach arms, to involve a full complement of local
organizations/representatives from the community (such as local elected
officials, and faith-based community groups). It is anticipated that
this method of networking would have a two-fold approach to increase
awareness about lead poisoning, as well as establish an infrastructure
to sustain lead education and outreach activities well after the life
of the grant. While the application must be submitted by a single
entity, the applicant can propose a partnership of multiple
organizations in order to accomplish the objectives of the project.
II. Program Requirements
In addition to the program requirements listed in the General
Section of this SuperNOFA, grantees
[[Page 23952]]
must meet the following program requirements:
(A) Applicants Limited to a Single Award
Applicants are limited to one FY 1998 award under this program. If
more than one eligible application is submitted by an applicant and
both have an adequate score, the Department will select the application
which the applicant has indicated as its preference for award.
(B) Independence of Applications
There are no limits on the number of applications that can be
submitted by a single applicant. However, each application must be
independent and capable of being implemented without reliance on the
selection of other applications submitted by the applicant or other
applicants. This provision does not preclude an applicant from
submitting a proposal which includes other organizations as
subcontractors to the proposed project or activity.
(C) Project Starting Period
The period of performance will be up to two years. The applicant
must be able to commence work immediately.
(D) Page Limitation
Applicants will be limited to 5 pages of narrative responses for
each of the selection factors for a total of no more than 25 pages
(this does not include forms or documents which are required under each
factor). Unrequested items such as brochures, news articles and similar
items included in the application will not be considered in the
evaluation process. Applicants that exceed the 5-page limit for each
factor will only have the first 5 pages evaluated for each factor.
Failure to provide narrative responses to all selection criteria will
result in an application being ineligible.
(E) Payment Contingent on Completion
Payment to grantees will be contingent on the satisfactory
completion of each project activity.
(F) Accessibility Requirements
All activities and materials funded by the grant must be accessible
to persons with disabilities in accordance with Section 504 of the
Rehabilitation Act of 1973 and its implementing regulation at 24 CFR
part 8.
(G) Type of Award
HUD reserves the right to award a grant or cooperative agreement
that is either cost reimbursable or fixed price.
(H) Funding Requests
Applications that request funding in excess of the stated maximum
award will be ineligible.
(I) Type of Project
Projects aimed primarily at research or data gathering, including
but not limited to surveys and questionnaires, will not be eligible
under this program section of the SuperNOFA.
(J) Activities/Final Products Description
All proposals must contain a description of how the activities or
the final products relate to the program.
(K) In Order To Be Funded Applicants Must Have a Score of 80 Points or
Better
If applicants score less than 80 points, they may apply again later
under any republication of this program section of the SuperNOFA. Not
all applicants with scores above 80 will necessarily receive awards.
(L) Definitions
The definitions that apply to this program section of the SuperNOFA
are as follows:
Federally recognized Tribal Government means the governing body or
a governmental agency of any Indian tribe, band, nation or other
organized group or community (including any Native village as defined
in section 3 of the Alaska Native Claims Settlement Act, 85 Stat 688)
certified by the Secretary of the Interior as eligible for the special
programs and services provided by him through the bureau of Indian
Affairs.
Grantee means the recipient to which a grant is awarded and which
is accountable for the use of the funds provided. The grantee is the
entire legal entity even if only a particular component of the entity
is designated in the grant award amount.
High-Risk Communities refers to predominantly low-income
communities which consist of housing built before 1978.
Low-income is defined as families, including single persons, whose
annual income does not exceed 80 percent of the median income for the
area as determined by HUD with adjustments for smaller and larger
families. However, HUD may establish income ceilings higher or lower
than 80 percent of the median for the area on the basis of HUD findings
that such variations are necessary because of prevailing levels of
construction costs or fair market rents, or unusually high or low-
income families.
States means any of the several States of the United States, the
District of Columbia, the Commonwealth of Puerto Rico, any territory or
possession of the United States, the District of Columbia, the
Commonwealth of Puerto Rico, any territory or possession of the United
States, or any agency or instrumentality of a State exclusive of local
governments. The term does not include any public and Indian housing
agency under United States Housing Act of 1937.
III. Application Selection Process
(A) Rating and Ranking
(1) General. The selection process is structured to achieve the
purpose set forth in Section I.(B) of this program section of the
SuperNOFA.
Each application for funding will be evaluated competitively, and
the applicant will be assigned a score based on the Factors for Award
used to evaluate and rate applications identified in sections III.(B)
and (C) of this program section of the SuperNOFA. After eligible
applications are evaluated based upon the factors for award and
assigned a score, they will be organized by rank order. Awards will be
funded in rank order.
(B) Factors for Award Used To Evaluate and Rate the Local Lead Hazard
Awareness Campaign
The factors for rating and ranking applicants, and maximum points
for each factor, are provided below. The maximum number of points is
100.
Rating Factor 1: Capacity of the Applicant and Relevant Organizational
Experience (20 Points)
This factor addresses the extent to which the applicant has the
organizational resources necessary to successfully implement the
proposed activities in a timely manner. The rating of the ``applicant''
or the ``applicant's organization and staff'' for technical merit or
threshold compliance, unless otherwise specified, will include any sub-
contractors, consultants, sub-recipients, and members of consortia
which are firmly committed to the project. In rating this factor HUD
will consider the extent to which the proposal demonstrates:
(1) The knowledge and experience of the overall proposed project
director and staff, including the day-to-day program manager,
consultants and contractors in planning and managing programs for which
funding is being requested. Experience will be judged in terms of
recent projects accomplished in the last two years which are similar in
scope or nature directly relevant to the work activities proposed. If
the
[[Page 23953]]
applicant has managed large, complex, interdisciplinary projects, the
applicant should include information on them in its response.
(2) The applicant has sufficient personnel, or will be able to
quickly access qualified experts or professionals, to deliver the
proposed activities in each proposed service area in a timely and
effective fashion, including the readiness and ability of the applicant
to immediately begin the proposed work program.
Rating Factor 2: Need/Extent of the Problem (20 Points)
This factor addresses the extent to which there is a need for
funding the proposed program activities to address a documented
problem. In responding to this factor, applicants will be evaluated on:
(1) The extent to which they document a critical level of need for
the proposed activities. The documentation of need may include, but is
not limited to, HUD reports and analyses, relevant economic and/or
demographic data, government or foundation reports and studies, news
articles, and other information which relate to the proposed project
activities.
(2) To the extent possible, the documented need is specific to the
area where the project activity will be carried out. Specific attention
must be paid to documenting need as it applies to the area where
activities will be targeted, rather than the entire locality or State.
If the target area is an entire locality or State, then documenting
need at this level is appropriate. The applicant must demonstrate how
specific community or neighborhood needs can be resolved through the
activities proposed. The applicant should discuss how it took into
account existing and planned efforts of government agencies, community-
based organizations, faith-based institutions, for-profit firms, and
other entities to address such needs in the community(ies) to be
served, how the proposed program compliments or supplements existing
efforts and why additional funds are being requested.
Rating Factor 3: Soundness of Approach (40 Points)
This factor addresses the quality and cost-effectiveness of the
applicant's proposed statement of work. In evaluating this factor, HUD
will consider the extent to which:
(1) Proposed activities will coordinate with private and public
sector organizations to deliver products and messages which will
increase lead poisoning prevention awareness. Specifically, the
applicant must describe the proposed activities that will reach and
benefit members of the public, especially in high-risk communities and
other identified audiences in Section I.(B) of this program section of
the SuperNOFA.
(2) Projects may be replicated in other communities. In responding
to this subfactor, the applicant should describe the extent to which
the proposed activities will yield long-term results and innovative
strategies or ``best practices'' that can be readily disseminated to
other organizations and State and local governments.
(3) The proposed Statement of Work should address the following:
(a) Clearly describes the specific tasks and subtasks to be
performed and how feasibly they can be completed within the grant
period;
(b) Describes the immediate benefits of the project and indicators
by which the benefits will be measured. Applicants must describe the
methods they will use to determine the effectiveness of their local
marketing strategies;
(c) Provides for proposed tasks and sub-tasks that clearly provide
technically competent methods for conducting the work;
(d) Describes the extent to which the proposed design and size of
the project or activity is appropriate to the achievement of the
program funding purposes articulated in this program section of the
SuperNOFA;
HUD also will measure the soundness of the applicant's approach by
assessing the following:
(4) The cost estimates provided are reasonable and thorough and the
program is cost effective in achieving the anticipated results of the
proposed activities as well as in achieving significant impact; and
(5) The applicant demonstrates capability in handling financial
resources with adequate financial control procedures and accounting
procedures. In addition, considerations will include findings
identified in their most recent audits, internal consistency in the
application of numeric quantities, accuracy of mathematical
calculations and other available information on financial management
capability.
In the event of a tie between two proposals, the applicant with the
highest score in Rating Factor 3 will be the successful grantee.
Rating Factor 4: Leveraging Resources (10 Points)
This factor addresses the ability of the applicant to secure other
resources which can be combined with HUD's program resources to achieve
program purposes. In evaluating this factor HUD will consider the
extent to which the applicant is partnering with other organizations to
secure additional resources, including financial resources, to increase
the effectiveness of the proposed program activities. (However, a
match-in-kind funding is not required for this program.) If applicable,
resources may include funding or in-kind contributions, such as
services or equipment, allocated to the purpose(s) of the award the
applicant is seeking. Resources may be provided by public or private
nonprofit organizations, for-profit private organizations, or other
entities willing to partner with the applicant. Applicants may also
partner with other program funding recipients to coordinate the use of
resources in the identified target area.
Applicants shall provide evidence of leveraging/partnerships by
including in the application letters of firm commitments, memoranda of
understanding, or agreements to participate from those entities
identified as partners in the application. Each letter of commitment,
memoranda of understanding, or agreement to participate should include
the organization's name, proposed level of commitment and
responsibilities as they relate to the proposed program. The commitment
must also be signed by an official of the organization legally able to
make commitments on behalf of the organization.
Rating Factor 5: Comprehensiveness and Coordination (10 Points)
This factor addresses the extent to which the applicant's program
reflects a coordinated process of identifying needs and building a
system to address those needs by using available HUD funding resources
and other available resources. In evaluating this factor, HUD will
consider:
(1) The extent to which the application demonstrates that project
activities will reach the targeted audience. This includes discussion
of the applicant's analysis of the most appropriate forums, approaches
and other factors to ensure that activities reach the broadest spectrum
of intended beneficiaries. Additionally, the application should discuss
procedures to be used to promote awareness of the services provided by
the proposed project.
(2) The extent to which the application demonstrates that the
applicant will develop linkages with:
(a) Other HUD funded program activities proposed or on-going; or
(b) Other proposed or on-going State, Federal, local or privately
funded
[[Page 23954]]
activities which taken as a whole, support and sustain a comprehensive
system to address the purposes of this program.
(3) Documentation of the extent to which policy priorities of the
Department are furthered by the proposed activities. Examples of such
policy priority areas that may be addressed are:
(a) Increasing awareness among real estate agents about the
importance of disclosing known lead-based paint hazards before they
rent or sell property and
(b) Increasing awareness to promote healthy homes;
(C) Applicant Notification and Award Procedures.
(1) Notification. No information will be available to applicants
during the period of HUD evaluation of proposals, approximately 90
days, except for HUD notification in writing or by telephone to those
applicants that are determined to be ineligible or that have technical
deficiencies in their applications that may be corrected. Selectees
will be announced by HUD upon completion of the evaluation process,
subject to final negotiations and award.
(2) Funding Instrument. HUD expects to award a cost reimbursable or
fixed price grant or cooperative agreement to each successful
applicant. HUD reserves the right, however, to use the form of
assistance agreement determined to be most appropriate after
negotiation with the applicant.
(3) Performance Sanctions. A recipient failing to comply with the
procedures set forth in its grant agreement will be liable for such
sanctions as may be authorized by law, including repayment of
improperly used funds, termination of further participation in the
Local Lead Hazard Awareness Campaign, and denial of further
participation in programs of the Department or of any Federal agency.
IV. Application Submission Requirements
In addition to the forms, certifications and assurances listed in
Section II(G) of the General Section of this SuperNOFA, all
applications must, at a minimum, contain the following items:
(A) Transmittal Letter
Which identifies thus SuperNOFA, the program under the SuperNOFA
for which funds are requested and the dollar amount requested for each
program, and the applicant submitting the application.
(B) Summary Budget
Identifying costs by cost category in accordance with the
following:
(1) Direct Labor by position or individual, indicating the
estimated hours per position, the rate per hour, estimated cost per
staff position and the total estimated direct labor costs;
(2) Fringe Benefits by staff position identifying the rate, the
salary base the rate was computed on, estimated cost per position, and
the total estimated fringe benefit cost;
(3) Material Costs indicating the item, unit cost per item, the
number of items to be purchased, estimated cost per item, and the total
estimated material costs;
(4) Transportation Costs, as applicable. Where a local private
vehicle is proposed to be used, costs should indicate the proposed
number of miles, rate per mile of travel identified by item, and
estimated total private vehicle costs. Where air transportation is
proposed, costs should identify the destination(s), number of trips per
destination, estimated air fare and total estimated air transportation
costs. If other transportation costs are listed, the applicant should
identify the other method of transportation selected, the number of
trips to be made and destination(s), the estimated cost, and the total
estimated costs for other transportation costs. In addition, applicants
should identify per diem or subsistence costs per travel day and the
number of travel days included, the estimated costs for per diem/
subsistence and the total estimated transportation costs;
(5) Equipment Charges, if any. Equipment charges should identify
the type of equipment, quantity, unit costs and total estimated
equipment costs;
(6) Consultant Costs, if applicable. Indicate the type, estimated
number of consultant hours, rate per hour, total estimated consultant
costs per consultant and total estimated costs for all consultants;
(7) Subcontract Costs, if applicable. Indicate each individual
subcontract and amount. For each proposed subcontract that is in excess
of 10% of the grant amount, a separate budget which identifies costs by
cost categories should be included;
(8) Other Direct Costs listed by item, quantity, unit cost, total
for each item listed, and total direct costs for the award;
(9) Indirect Costs should identify the type, approved indirect cost
rate, base to which the rate applies and total indirect costs. The
submission should include the rationale used to determine costs and
validation of fringe and indirect cost rates, if the applicant is not
using an accepted, Federally negotiated indirect cost rate.
(C) Financial Management and Audit Information
Each applicant must submit a certification from an Independent
Public Accountant or the cognizant government auditor, stating that the
financial management system employed by the applicant meets proscribed
standards for fund control and accountability required by: OMB Circular
A-133, Audits of States, Local Governments and Non-Profit
Organizations; OMB Circular A-110 (as codified at 24 CFR Part 84),
Grants and Agreements With Institutions of Higher Education, Hospitals,
and other Non-Profit Organizations; and/or OMB Circular A-102 (as
codified at 24 CFR Part 85) Administrative Requirements for Grants and
Cooperative Agreements to State, Local and Federally Recognized Indian
Tribal Governments. This information should contain the name and
telephone number of the Independent Auditor, cognizant Federal auditor,
or other audit agency, as applicable. Copies of the OMB Circulars may
be obtained from EOP Publications, Room 2200, New Executive Office
Building, Washington, DC 10503, telephone (202) 395-7332 (this is not a
toll free number).
(D) Narrative Statement
Addressing the Factors for Award in Section III.(B) of this program
section of the SuperNOFA. Your narrative response should be numbered in
accordance with each factor for award identified under Section III.(B),
Items III.(B)(1) through III.(B)(4).
V. Corrections to Deficient Applications
The General Section of this SuperNOFA provides the procedures for
corrections to deficient applications.
VI. Environmental Requirements
In accordance with 24 CFR 50.19(b) (2) and (4), the assistance
provided under this program relates only to the provision of
information services and public services concerned with health and
therefore is categorically excluded from the requirements of the
National Environmental Policy Act of 1969 and is not subject to
environmental review under the related laws and authorities.
Appendix A to SuperNOFA--HUD Field Office Contact Information
Not all Field Offices listed handle all of the programs
contained in the SuperNOFAs. Applicants should look to the
SuperNOFAs for contact numbers for information on
[[Page 23955]]
specific programs. Office Hour listings are local time. Persons with
hearing or speech impediments may access any of these numbers via
TTY by calling the Federal Relay Service at 1-800-877-8339.
New England
Connecticut State Office, One Corporate Center, 19th Floor,
Hartford, CT 06103-3220, 860-240-4800, Office Hours: 8:00-4:30 PM
Maine State Office, 99 Franklin Street, Third Floor, Suite 302,
Bangor, ME 04401-4925, 207-945-0467, Office Hours: 8:00 AM-4:30 PM
Massachusetts State Office, Thomas P. O'Neill, Jr. Federal Building,
10 Causeway Street, Room 375, Boston, MA 02222-1092, 617-565-5234,
Office Hours: 8:30 AM-5:00 PM
New Hampshire State Office, Norris Cotton Federal Building 275
Chestnut Street, Manchester, NH 03101-2487, 603-666-7681, Office
Hours: 8:00 AM-4:30 PM
Rhode Island State Office, Sixth Floor, 10 Weybosset Street, 6th
floor, Providence, RI 02903-2808, 401-528-5230, Office Hours: 8:00
AM-4:30 PM
Vermont State Office, U.S. Federal Building, Room 237, 11 Elmwood
Avenue, P.O. Box 879, Burlington, VT 05402-0879, 802-951-6290,
Office Hours: 8:00 AM-4:30 PM
New York/New England
Albany Area Office, 52 Corporate Circle, Albany, NY 12203-5121, 518-
464-4200, Office Hours: 7:30 AM-4:00 PM
Buffalo Area Office, Lafayette Court, 465 Main Street, Fifth Floor,
Buffalo, NY 14203-1780, 716-551-5755, Office Hours: 8:00 AM-4:30 PM
Camden Area Office, Hudson Building, 800 Hudson Square, Second
Floor, Camden, NJ 08102-1156, 609-757-5081, Office Hours: 8:00 AM-
4:30 PM
New Jersey State Office, One Newark Center, 13th Floor, Newark, NJ
07102-5260, 973-622-7900, Office Hours: 8:00 AM-4:30 PM
New York State Office, 26 Federal Plaza, New York, NY 10278-0068,
212-264-6500, Office Hours: 8:30 AM-5:00 PM
Mid Atlantic
Delaware State Office, 824 Market Street, Suite 850, Wilmington, DE
19801-3016, 302-573-6300, Office Hours: 8:00 AM-4:30 PM
District of Columbia Office, 820 First Street, N.E., Suite 450,
Washington, DC 20002-4205, 202-275-9200, Office Hours: 8:30 AM-4:30
PM
Maryland State Office, City Crescent Building, 10 South Howard
Street, Fifth Floor, Baltimore, MD 21201-2505, 410-962-2520, Office
Hours: 8:30 AM-4:30 PM
Pennsylvania State Office, The Wanamaker Building, 100 Penn Square
East, Philadelphia, PA 19107-3380, 215-656-0600, Office Hours: 8:30
AM-4:30 PM
Pittsburgh Area Office, 339 Sixth Avenue, Sixth Floor, Pittsburgh,
PA 15222-2515, 412-644-6428, Office Hours: 8:30 AM-4:30 PM
Virginia State Office, The 3600 Centre, 3600 West Broad Street,
Richmond, VA 23230-4920, 804-278-4539, Office Hours: 8:30 AM-4:30 PM
West Virginia State Office, 405 Capitol Street, Suite 708,
Charleston, WV 25301-1795, 304-347-7000, Office Hours: 8:00 AM-4:30
PM
Southeast/Caribbean
Alabama State Office, Beacon Ridge Tower, 600 Beacon Parkway West,
Suite 300, Birmingham, AL 35209-3144, 205-290-7617, Office Hours:
8:00 AM-4:30 PM
Caribbean Office, New San Juan Office Building, 159 Carlos E.
Chardon Avenue, San Juan, PR 00918-1804, 787-766-5201, Office Hours:
8:00 AM-4:30 PM
Florida State Office, Gables One Tower, 1320 South Dixie Highway,
Coral Gables, FL 33146-2926, 305-662-4500, Office Hours: 8:30 AM-5
PM
Georgia State Office, Richard B. Russell Federal Building, 75 Spring
Street, S.W., Atlanta, GA 30303-3388, 404-331-5136, Office Hours:
8:00 AM-4:30 PM
Jacksonville Area Office, Southern Bell Tower, 301 West Bay Street,
Suite 2200, Jacksonville, FL 32202-5121, 904-232-2627, Office Hours:
8:00 AM-4:30 PM
Kentucky State Office, 601 West Broadway, P.O. Box 1044, Louisville,
KY 40201-1044, 502-582-5251, Office Hours: 8:00 AM-4:45 PM
Knoxville Area Office, John J. Duncan Federal Building, 710 Locust
Street, 3rd Floor, Knoxville, TN 37902-2526, 423-545-4384, Office
Hours: 7:30 AM-4:15 PM
Memphis Area Office, One Memphis Place, 200 Jefferson Avenue, Suite
1200, Memphis, TN 38103-2335, 901-544-3367, Office Hours: 8:00 AM-
4:30 PM
Mississippi State Office, Doctor A. H. McCoy Federal Building, 100
West Capital Street, Room 910, Jackson, MS 39269-1096, 601-965-4738,
Office Hours: 8:00 AM-4:45 PM
North Carolina State Office, Koger Building, 2306 West Meadowview
Road, Greensboro, NC 27407-3707, 910-547-4000, Office Hours: 8:00
AM-4:45 PM
Orlando Area Office, Langley Building, 3751 Maguire Blvd, Suite 270,
Orlando, FL 32803-3032, 407-648-6441, Office Hours: 8:00 AM-4:30 PM
South Carolina State Office, Strom Thurmond Federal Building, 1835
Assembly Street, Columbia, SC 29201-2480, 803-765-5592, Office
Hours: 8:00 AM-4:45 PM
Tampa Area Office, Timberlake Federal Building Annex, 501 East Polk
Street, Suite 700, Tampa, FL 33602-3945, 813-228-2501, Office Hours:
8:00 AM-4:30 PM
Tennessee State Office, 251 Cumberland Bend Drive, Suite 200,
Nashville, TN 37228-1803, 615-736-5213, Office Hours: 8:00 AM-4:30
PM
Midwest
Cincinnati Area Office, 525 Vine Street, 7th Floor, Cincinnati, OH
45202-3188, 513-684-3451, Office Hours: 8:00 AM-4:45 PM
Cleveland Area Office, Renaissance Building, 1350 Euclid Avenue,
Suite 500, Cleveland, OH 44115-1815, 216-522-4065, Office Hours:
8:00 AM-4:40 PM
Flint Area Office, The Federal Building, 605 North Saginaw, Suite
200, Flint, MI 48502-2043, 810-766-5108, Office Hours: 8:00 AM-4:30
PM
Grand Rapids Area Office, Trade Center Building, 50 Louis Street,
NW, 3rd Floor, Grand Rapids, MI 49503-2648, 616-456-2100, Office
Hours: 8:00 AM-4:30 PM
Illinois State Office, Ralph H. Metcalfe Federal Building, 77 West
Jackson Blvd, Chicago, IL 60604-3507, 312-353-5680, Office Hours:
8:15 AM-4:45 PM
Indiana State Office, 151 North Delaware Street, Indianapolis, IN
46204-2526, 317-226-6303, Office Hours: 8:00 AM-4:45 PM
Michigan State Office, Patrick V. McNamara Federal Building, 477
Michigan Avenue, Detroit, MI 48226-2592, 313-226-7900, Office Hours:
8:00 AM-4:30 PM
Minnesota State Office, 220 Second St., South, Minneapolis, MN
55401-2195, 612-370-3000, Office Hours: 8:00 AM-4:30 PM
Ohio State Office, 200 North High Street, Columbus, OH 43215-2499,
614-469-5737, Office Hours: 8:00 AM-4:45 PM
Wisconsin State Office, Henry S. Reuss Federal Plaza, 310 West
Wisconsin Avenue, Suite 1380, Milwaukee, WI 53203-2289, 414-297-
3214, Office Hours: 8:00 AM-4:30 PM
Southwest
Arkansas State Office, TCBY Tower, 425 West Capitol Avenue, Suite
900, Little Rock, AR 72201-3488, 501-324-5931, Office Hours: 8:00
AM-4:30 PM
Dallas Area Office, Maceo Smith Federal Building, 525 Griffin
Street, Room 860, Dallas, TX 75202-5007, 214-767-8359, Office Hours:
8:00 AM-4:30 PM
Houston Area Office, Norfolk Tower, 2211 Norfolk, Suite 200,
Houston, TX 77098-4096, 713-313-2274, Office Hours: 7:45 AM-4:30 PM
Louisiana State Office, Hale Boggs Federal Building, 501 Magazine
Street, 9th Floor, New Orleans, LA 70130-3099, 504-589-7201, Office
Hours: 8:00 AM-4:30 PM
Lubbock Area Office, George H. Mahon Federal Building and United
States Courthouse, 1205 Texas Avenue, Lubbock, TX 79401-4093, 806-
472-7265, Office Hours: 8:00 AM-4:45 PM
New Mexico State Office, 625 Truman Street, N.E., Albuquerque, NM
87110-6472, 505-262-6463, Office Hours: 7:45 AM--4:30 PM
Oklahoma State Office, 500 West Main Street, Suite 400, Oklahoma
City, OK 73102, 405-553-7401, Office Hours: 8:00 AM--4:30 PM
San Antonio Area Office, Washington Square, 800 Dolorosa Street, San
Antonio, TX 78207-4563, 210-472-6800, Office Hours: 8:00 AM--4:30 PM
Shreveport Area Office, 401 Edwards Street, Suite 1510, Shreveport,
LA 71101-3289, 318-676-3385, Office Hours: 7:45 AM--4:30 PM
Texas State Office, 1600 Throckmorton Street, P.O. Box 2905, Fort
Worth, TX 76113-2905, 817-978-9000, Office Hours: 8:00 AM--4:30 PM
Tulsa Area Office, 50 East 15th Street, Tulsa, OK 74119-4030, 918-
581-7434, Office Hours: 8:00 AM--4:30 PM
Great Plains
Iowa State Office, Federal Building, 210 Walnut Street, Room 239,
Des Moines, IA
[[Page 23956]]
50309-2155, 515-284-4512, Office Hours: 8:00 AM--4:30 PM
Kansas/Missouri State Office, Gateway Tower II, 400 State Avenue,
Kansas City, KS 66101-2406, 913-551-5462, Office Hours: 8:00 AM--
4:30 PM
Nebraska State Office, Executive Tower Centre, 10909 Mill Valley
Road, Omaha, NE 68154-3955, 402-492-3100, Office Hours: 8:00 AM--
4:30 PM
St. Louis Area Office, Robert A. Young Federal Building, 1222 Spruce
Street, 3rd Floor, St. Louis, MO 63103-2836, 314-539-6583, Office
Hours: 8:00 AM--4:30 PM
Rocky Mountains
Colorado State Office, 633--17th Street, Denver, CO 80202-3607, 303-
672-5440, Office Hours: 8:00 AM--4:30 PM
Montana State Office, Federal Office Building, 301 South Park, Room
340, Drawer 10095, Helena, MT 59626-0095, 406-441-1298, Office
Hours: 8:00 AM--4:30 PM
North Dakota State Office, Federal Building, P.O. Box 2483, Fargo,
ND 58108-2483, 701-239-5136, Office Hours: 8:00 AM--4:30 PM
South Dakota State Office, 2400 West 49th Street, Suite I-201, Sioux
Falls, SD 57105-6558, 605-330-4223, Office Hours: 8:00 AM--4:30 PM
Utah State Office, 257 Tower Building, 257 East--200 South, Suite
550, Salt Lake City, UT 84111-2048, 801-524-3323, Office Hours: 8:00
AM--4:30 PM
Wyoming State Office, Federal Office Building, 100 East B Street,
Room 4229, Casper, WY 82601-1918, 307-261-6250, Office Hours: 8:00
AM--4:30 PM
Pacific/Hawaii
Arizona State Office, Two Arizona Center, 400 North 5th Street,
Suite 1600, Phoenix, AZ 85004, 602-379-4434, Office Hours: 8:00 AM--
4:30 PM
California State Office, Philip Burton Federal Building and U.S.
Courthouse, 450 Golden Gate Avenue, San Francisco, CA 94102-3448,
415-436-6550, Office Hours: 8:15 AM--4:45 PM
Fresno Area Office, 2135 Fresno Street, Suite 100, Fresno, CA 93721-
1718, 209-487-5033, Office Hours: 8:00 AM--4:30 PM
Hawaii State Office, Seven Waterfront Plaza, 500 Ala Moana
Boulevard, Suite 500, Honolulu, HI 96813-4918, 808-522-8175, Office
Hours: 8:00 AM--4:00 PM
Los Angeles Area Office, 611 West 6th Street, Suite 800, Los
Angeles, CA 90017-3127, 213-894-8000, Office Hours: 8:00 AM--4:30 PM
Nevada State Office, 333 North Rancho Drive, Suite 700, Las Vegas,
NV 89106-3714, 702-388-6525, Office Hours: 8:00 AM--4:30 PM
Reno Area Office, 1575 Delucchi Lane, Suite 114, Reno, NV 89502-
6581, 702-784-5356, Office Hours: 8:00 AM--4:30 PM
Sacramento Area Office, 777--12th Street, Suite 200, Sacramento, CA
95814-1997, 916-498-5220, Office Hours: 8:00 AM--4:30 PM
San Diego Area Office, Mission City Corporate Center, 2365 Northside
Drive, Suite 300, San Diego, CA 92108-2712, 619-557-5310, Office
Hours: 8:00 AM--4:30 PM
Santa Ana Area Office, 3 Hutton Centre Drive, Suite 500, Santa Ana,
CA 92707-5764, 714-957-3745, Office Hours: 8:00 AM--4:30 PM
Tucson Area Office, Security Pacific Bank Plaza, 33 North Stone
Avenue, Suite 700, Tucson, AZ 85701-1467, 520-670-6237, Office
Hours: 8:00 AM--4:30 PM
Northwest/Alaska
Alaska State Office, University Plaza Building, 949 East 36th
Avenue, Suite 401, Anchorage, AK 99508-4135, 907-271-4170, Office
Hours: 8:00 AM--4:30 PM
Idaho State Office, Plaza IV, 800 Park Boulevard, Suite 220, Boise,
ID 83712-7743, 208-334-1990, Office Hours: 8:00 AM--4:30 PM
Oregon State Office, 400 Southwest Sixth Avenue, Suite 700,
Portland, OR 97204-1632, 503-326-2561, Office Hours: 8:00 AM--4:30
PM
Spokane Area Office, Farm Credit Bank Building, Eighth Floor East,
West 601 First Avenue, Spokane, WA 99204-0317, 509-353-2510, Office
Hours: 8:00 AM--4:30 PM
Washington State Office, Seattle Federal Office Building, 909 1st
Avenue, Suite 200, Seattle, WA 98104-1000, 206-220-5101, Office
Hours: 8:00 AM--4:30 PM
[FR Doc. 98-11392 Filed 4-29-98; 8:45 am]
BILLING CODE 4210-32-P
