[Federal Register Volume 62, Number 100 (Friday, May 23, 1997)]
[Notices]
[Pages 28576-28583]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-13519]
[[Page 28575]]
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Part IV
Department of Housing and Urban Development
_______________________________________________________________________
Public and Indian Housing Drug Elimination Technical Assistance
Program; Funding Availability--FY 1997; Notice
Federal Register / Vol. 62, No. 100 / Friday, May 23, 1997 /
Notices
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DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
[Docket No. FR-4208-N-01]
Public and Indian Housing Drug Elimination Technical Assistance
Program Notice of Funding Availability--FY 1997
AGENCY: Office of the Assistant Secretary for Public and Indian
Housing, HUD.
ACTION: Public and Indian Housing Drug Elimination Technical Assistance
Program Notice of Funding Availability (NOFA) for Fiscal Year (FY)
1997.
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SUMMARY: This notice announces the availability of $2.8 million under
the FY 97 Public and Indian Housing Drug Elimination Technical
Assistance Program. The $2.8 million is derived from $376,411 available
from prior year carryover funds and $2,423,589 available from the $10
million technical assistance set-aside within the $290 million
appropriation provided for Public Housing Drug Elimination in the FY
1997 Appropriations Act. The purpose of this program is to provide
short-term technical assistance to public housing agencies (PHAs),
Indian housing authorities (IHAs), resident management corporations
(RMCs), incorporated resident councils (RCs) and resident organizations
(ROs) that are combating drug-related crime and abuse of controlled
substances in public and Indian housing communities. Resident
participation in the determination of programs and activities to be
undertaken is critical to the success of all aspects of the program.
HUD greatly desires and encourages programs that foster
interrelationships among residents, the housing owner and management,
the local law enforcement agency, and other community groups affecting
the housing. When partnering with the neighborhood law enforcement
agency/precinct, the community as a whole can enhance and magnify the
effect of specific program activities. These funds reimburse
consultants who provide expert advice and work with housing authorities
or resident councils to assist them in gaining skills and training to
eliminate drug abuse and related problems from public housing
communities. This document describes the purpose of the NOFA, applicant
eligibility, selection criteria, eligible and ineligible activities,
application processing, consultant eligibility, and consultant
application processing.
DATES: This NOFA is effective upon publication. Technical assistance
applications and consultant application kits may be immediately
submitted to the address specified in the application kit. Applications
may be submitted anytime, up to close of business on June 30, 1997.
Technical assistance applications will be reviewed on a continuing
basis until June 30, 1997, or until funds available under this NOFA are
expended. There is no application deadline for consultants.
ADDRESSES: (a) An application kit may be obtained from the local HUD
Field Office with jurisdiction or by calling HUD's Drug Information and
Strategy Clearinghouse at (800) 578-3472; or for hearing- or speech-
impaired persons (202) 708-0850 (TTY). (The TTY number is not a toll-
free number.) The application kit contains information on all exhibits
and requirements of this NOFA.
(b) An applicant must submit the application to the address
specified in the application kit.
(c) In addition, applicants must simultaneously forward a copy of
these documents to the HUD Field Office (FO) or Office of Native
American Programs (ONAP) with jurisdiction over the relevant housing
authority. HUD might not consider the application until the appropriate
FO or ONAP has confirmed receipt with the appropriate office in
Washington, DC. This copy must be addressed to Director, Public Housing
Division, or Administrator, Office of Native American Programs, as
appropriate.
FOR FURTHER INFORMATION CONTACT: For questions regarding the Public
Housing Drug Elimination program contact Bertha M. Jones, Office of
Crime Prevention and Security (OCPS), Office of Community Relations and
Involvement (OCRI), Department of Housing and Urban Development, Room
4112, 451 Seventh Street, SW., Washington, DC 20410; telephone (202)
708-1197. For questions regarding the Native American program contact
Tracy Outlaw, National Office of Native American Programs (ONAP),
Department of Housing and Urban Development, Suite 3990, 1999 Broadway,
Denver, CO 80202; telephone (303) 675-1600.
Hearing and speech-impaired persons may access the telephone
numbers via TTY by calling the Federal Information Relay Service at 1-
800-877-8339. (With the exception of the ``800'' number, these are not
toll-free numbers.)
Promoting Comprehensive Approaches to Housing and Community Development
HUD is interested in promoting comprehensive, coordinated
approaches to housing and community development. Economic development,
community development, public housing revitalization, homeownership,
assisted housing for special needs populations, supportive services,
and welfare-to-work initiatives can work better if linked at the local
level. Toward this end, the Department in recent years has developed
the Consolidated Planning process designed to help communities
undertake such approaches.
In this spirit, it may be helpful for applicants under this NOFA to
be aware of other related HUD NOFAs that have recently been published
or are expected to be published in the near future. By reviewing these
NOFAs with respect to their program purposes and the eligibility of
applicants and activities, applicants may be able to relate the
activities proposed for funding under this NOFA to the recent and
upcoming NOFAs and to the community's Consolidated Plan.
The list of related NOFAs HUD is publishing elsewhere in this issue
of the Federal Register are: The Public and Indian Housing Drug
Elimination Program NOFA, the Federally Assisted Low-Income Housing
Drug Elimination Grants NOFA, and the Safe Neighborhood Grants NOFA.
To foster comprehensive, coordinated approaches by communities, the
Department intends for the remainder of FY 1997 to continue to alert
applicants to upcoming and recent NOFAs as each NOFA is published. In
addition, 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. Additional steps on NOFA coordination may be considered for
FY 1998.
To help in obtaining a copy of your community's Consolidated Plan,
please contact the community development office of your municipal
government.
SUPPLEMENTARY INFORMATION:
I. Purpose and Substantive Description
(a) Purpose
The TA program is intended to provide immediate, short-term (90
days for completion) training, recommendations, and assistance to
assess needs, train staff and residents, identify and design
appropriate strategies to eliminate drugs and drug-related crime, and
generally prepare and educate public and Indian housing and resident
organization staff and residents to address problems related to crime
and the abuse of controlled substances
[[Page 28577]]
in public and Indian housing communities. HUD encourages housing
authorities and eligible resident organizations with or without a drug
elimination grant in their communities to use this resource. Technical
assistance is not intended for program implementation, the financial
support of existing programs, or programs requiring more than 30
billable days of technical assistance over a 90 day period.
(b) Allocation Amounts
The Departments of Veterans Affairs and Housing and Urban
Development, and Independent Agencies Appropriations Act, 1997 (Pub.L.
104-204, approved September 26, 1996) (FY 1997 Appropriations Act)
appropriated $290 million in FY 1997 funds for HUD's low-income housing
drug elimination programs. Of this amount, the FY 1997 Appropriations
Act set aside $10 million for ``grants, technical assistance, contracts
and other assistance training, program assessment and execution for or
on behalf of public housing agencies and resident organizations
(including the cost of necessary travel for participants in such
training).'' This notice announces the availability of $2.8 million
under the FY 97 Public and Indian Housing Drug Elimination Technical
Assistance Program. The $2.8 million is derived from $376,411 available
from prior year carryover funds and $2,423,589 available from the $10
million technical assistance set-aside within the $290 million
appropriation provided for Public Housing Drug Elimination in the FY
1997 Appropriations Act. Applications received from HAs and qualified
RCs, ROs, and RMCs are eligible for a maximum amount of TA no greater
than approximately $15,000.
Note: The average amount of TA provided any one application in
this program has been approximately $10,000. The amount of $15,000
is a maximum funding ceiling and is not guaranteed. HUD-initiated TA
is eligible for a maximum of $25,000 where HUD determines the
circumstances require levels of assistance greater than $15,000.
(c) Eligibility
The following is a listing of eligible applicants, eligible
consultants, eligible activities, ineligible activities, and general
program requirements under this NOFA.
(1) Eligible Applicants. (i) Public housing agencies (PHAs), Indian
housing authorities (IHAs), incorporated resident councils (RCs),
resident organizations (ROs) in the case of IHAs, and resident
management corporations (RMCs) are eligible to receive short-term
technical assistance services under this NOFA.
(ii) An eligible RC or RO must be an incorporated nonprofit
organization or association that meets each of the following
requirements:
(A) It must be representative of the residents it purports to
represent.
(B) It may represent residents in more than one development or in
all of the developments of a PHA or IHA, but it must fairly represent
residents from each development that it represents.
(C) It must adopt written procedures providing for the election of
specific officers on a regular basis (but at least once every three
years).
(D) It must have a democratically elected governing board. The
voting membership of the board must consist of residents of the
development or developments that the resident organization or resident
council represents.
(iii) An eligible RMC must be an entity that proposes to enter
into, or that enters into, a management contract with a PHA under 24
CFR part 964, or a management contract with an IHA. An RMC must have
each of the following characteristics:
(A) It must be a nonprofit organization that is incorporated under
the laws of the State or Indian tribe in which it is located.
(B) It may be established by more than one resident organization or
resident council, so long as each such organization or council:
(1) Approves the establishment of the corporation; and
(2) Has representation on the Board of Directors of the
corporation.
(C) It must have an elected Board of Directors.
(D) Its by-laws must require the Board of Directors to include
representatives of each resident organization or resident council
involved in establishing the corporation.
(E) Its voting members must be residents of the development or
developments it manages.
(F) It must be approved by the resident council. If there is no
council, a majority of the households of the development must approve
the establishment of such an organization to determine the feasibility
of establishing a corporation to manage the development.
(G) It may serve as both the resident management corporation and
the resident council, so long as the corporation meets the requirements
of 24 CFR part 964 for a resident council. (In the case of a resident
management corporation for an Indian Housing Authority, it may serve as
both the RMC and the RO, so long as the corporation meets the
requirements of this NOFA for a resident organization.)
(iv) Applicants are eligible to apply to receive technical
assistance if they are already receiving technical assistance under
this program, as long as the request creates no scheduling conflict
with other TA requests from the same applicant.
(v) Applicants are eligible to apply to receive technical
assistance whether or not they are already receiving drug elimination
funds under the Public and Indian Housing Drug Elimination Program.
(vi)(A) In circumstances determined by HUD to be crime and drug-
related and to require immediate attention because of drug and crime
issues, eligible parties may receive technical assistance initiated and
approved by HUD. These circumstances may include, for example:
(1) HAs unsuccessful in gaining Drug Elimination or Youth Sports
Program grants;
(2) Applicants which have a demonstrated inability to explain their
local drug or crime circumstances;
(3) Applicants with a demonstrated inability to identify or develop
potential solutions to their local drug or crime problem;
(4) Applicants unable to develop local anti-drug, anti-crime
partnerships;
(5) The need for training;
(6) Pervasive drug-related violence; and
(7) Disputes among tenants and disputes between tenants and
management that are related to these issues.
(B) In instances of HUD-initiated TA, HUD staff requesting the TA
will be required to explain the situation of the targeted housing
authority or qualified resident council in terms of the three selection
criteria outlined in section I.(d) of this NOFA which will be
documented in the file, and used to choose a consultant and design and
target the TA.
(vii) The applicant must have substantially complied with the laws,
regulations, and Executive Orders applicable to the Drug Elimination TA
Program, including applicable civil rights laws. Noncompliance may be
evidenced by:
(A) An outstanding finding of civil rights noncompliance, unless
the applicant demonstrates that it is operating in compliance with a
HUD-approved compliance agreement designed to correct the area(s) of
noncompliance;
(B) An adjudication of a civil rights violation in a civil action
brought
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against it by a private individual, unless the applicant demonstrates
that it is operating in compliance with a court order designed to
correct the area(s) of noncompliance;
(C) A deferral of Federal funding based upon civil rights
violations;
(D) A pending civil rights suit brought against it by the
Department of Justice; or
(E) An unresolved charge of discrimination issued against it by the
Secretary under section 810(g) of the Fair Housing Act, as implemented
by 24 CFR 103.400.
(2) Eligible Consultants. Consultants who want to provide short-
term technical assistance services under this NOFA must be listed in
the Consultant Database approved by HUD's Crime Prevention and Security
Division (CPSD). To be included in that database, consultants must
complete, in accordance with the requirements of section I.(c)(2)(ii),
below, of this NOFA, a consultant application packet available from the
Drug Information and Strategy Clearinghouse at (800) 578-3472, or (202)
708-0850 (TTY), and submit the packet to the address specified in the
application kit. (The TTY number is not a toll-free number.)
(i) Consultant eligibility. HUD is seeking individuals or entities
who have experience working with public or Indian housing or other low-
income populations to provide short-term technical assistance under
this NOFA. Consultants who have previously been deemed eligible and are
part of the TA Consultant Database need not reapply, but they are
encouraged to update their file with more recent experience and rate
justification. To qualify as eligible consultants, individuals or
entities should have experience in one or more of the following general
areas:
(A) PHA/IHA-related experience with:
(1) Agency organization and management;
(2) Facility operations;
(3) Program development; and
(4) Experience working with residents and community organizations.
(B) Anti-crime- and anti-drug related experience with:
(1) Prevention/intervention programs;
(2) Enforcement strategies; and
(C) Experience as an independent consultant, or as a consultant
working with a firm with related experience and understanding of on-
site work requirements, contractual, reporting and billing
requirements.
(D) HUD is especially interested in encouraging TA consultant
applications from persons who are qualified in the following
professional areas:
(1) Lease, screening and grievance procedures;
(2) Defensible space, security and environmental design;
(3) Parenting, peer support groups and youth leadership;
(4) Career planning, job training, tutoring and entrepreneurship;
(5) Community policing, neighborhood watch and anti-gang work; and
(6) Resident organizing, involvement, and relations with
management.
(E) HUD especially encourages PHAs, IHAs, PHA/IHA employees, RMCs,
incorporated resident councils and resident organizations, and public
and Indian housing residents, with experience in the above areas, to
submit a consultant application for eligibility under this NOFA.
Eligible consultants will be entered into the Consultant Database for
possible recommendation to technical assistance applicants.
(ii) Applying to be a consultant. Individuals or entities
interested in being listed in the TA Consultant Database should prepare
their applications and send them to the address specified in the
application kit. Before they can be entered into the Consultant
Database, consultants must submit an application that includes the
following information:
(A) The Consultant Resource Inventory Questionnaire, including at
least three written references, all related to the general areas listed
above in sections I.(c)(2)(A)-(C). One or two of the written references
must relate to work for a public or Indian housing authority, RC, RO or
RMC;
(B) A resume;
(C) Evidence submitted by the consultant to HUD that documents the
standard daily fee previously paid to the consultant for technical
assistance services similar to those requested under this NOFA.
(1) For consultants who can justify up to the equivalent of ES-IV
per day, this evidence may include an accountant's statement, W-2 Wage
Statements, or payment statements, and it should be supplemented with a
signed statement or other evidence from the employer of days worked in
the course of the particular project (for a payment statement) or the
tax year (for a W-2 Statement).
(2) For consultants who can justify above the equivalent of ES-IV
per day, there must be three forms of documentation of the daily rate:
(i) A previous invoice and payment statement showing the daily rate
charged and paid, or the overall amount paid and the number of days for
work of a similar nature to that offered in this TA program;
(ii) A certified accountant's statement outlining the daily rate
with an explanation of how the rate was calculated by the accountant.
This should include at a minimum the total number of jobs of a similar
nature completed by the consultant in the past 12 months, an
explanation of the specific jobs used to calculate the rate, and the
daily rates for each of the jobs used to justify the rate; and
(iii) A signed statement from the consultant that the certified
daily rate was charged for work of a nature similar to that being
provided for the Drug Elimination Technical Assistance Program. The
accountant must be able to demonstrate independence from the
consultant's business.
(iii) Working and billing in the TA program. No one individual may
have active at one time any more than three contracts or purchase
orders. If an individual is working as a member of a multi-person firm,
the key individual for the specific contract must be listed on the
contract as the key point of contact. The key point of contact must be
on-site more hours than any other contracted staff billing to the
purchase order, and that individual may have no more than three
purchase orders active at the same time.
(iv) Consultant payment. HUD will determine a specific fee to pay a
consultant under this NOFA based upon the evidence submitted in section
I(c)(2)(ii)(C), above, of this NOFA.
(v) Conflicts of interest. In addition to the conflict of interest
requirements in 24 CFR part 85:
(A) No person who is an employee, agent, officer, or appointed
official of the applicant may be funded as a consultant to the
applicant by this Drug Elimination Technical Assistance Program.
(B) Consultants who wish to provide drug elimination technical
assistance services through this program may not have any involvement
in the preparation or submission of the TA proposal that requests their
services. Any involvement of the consultant will be considered a
conflict of interest, which makes the consultant ineligible for
providing consulting services to the applicant and could disqualify the
consultant from future consideration. This prohibition includes the
preparation and distribution of prepared generic or sample
applications, if HUD determines that any application by a HA, RC, RO or
RMC duplicates a sufficient amount of any prepared sample to raise
issues of possible conflict of interest.
(C) Consultants may no longer be requested by name in any
application.
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HUD will recommend consultants considering at least three elements
including previous experience, proximity and cost. Section I.(e)(2)(ii)
of this NOFA explains this further.
(3) Eligible Activities. To assist the eligible applicants
identified in section I.(c)(1), above, of this NOFA, in responding
immediately to drug-related problems in public and Indian housing
developments, HUD has supplemented the Public and Indian Housing Drug
Elimination Program (PHDEP) and Youth Sports Program (YSP) with funds
for short-term technical assistance. Short-term technical assistance
means that consultants shall only be reimbursed for a maximum of 30
days of work, which must be completed in less than 90 days from the
date of the approved statement of work. The TA program is intended to
provide short-term, immediate assistance to PHAs, IHAs, RMCs, RCs, and
ROs in developing and/or implementing their strategies to eliminate
drugs and drug-related crime. The program will fund the use of
consultants who can provide the necessary consultation and/or training
for the types of activities outlined below. HUD will fund the use of
consultants who will assist the applicant in undertaking a task such as
program planning and development for future strategies to eliminate
drugs and drug-related crime, or conducting a needs assessment or
survey. The TA program also funds efforts in:
(i) Assessing drug problems in public or Indian housing
development(s) and surrounding community(ies);
(ii) Designing and identifying appropriate anti- crime- and anti-
drug related practices and programs in the following areas:
(A) Law enforcement strategies, including negotiating with the
local police, working with Federal law enforcement, Operation Safe
Home, Weed and Seed, and other federal anti-crime efforts;
(B) Resident involvement in all aspects of the local anti-drug,
anti-crime activities;
(C) Youth initiatives;
(D) Resident Patrols;
(E) Security and physical design;
(F) Community organization and leadership development; and
(G) Other areas that meet the purposes of eliminating drugs and
drug-related crime described in this NOFA, as determined by HUD.
(iii) Training for housing authority staff and residents in anti-
crime and anti-drug practices, programs, and management;
(iv) Improving overall agency management, operations, and
programming so that the applicant can more effectively respond to crime
and drug problems in the targeted public housing development(s).
(4) Ineligible Activities. (i) Funding is not permitted for any
type of monetary compensation for residents unless the residents are
listed in the TA Consultant Database and are working as consultants.
(ii) Funding is not permitted for any activity that is funded under
any other HUD program; including TA and training for the incorporation
of resident councils or RMCs, and other management activities.
(iii) Funding is not permitted for salary or fees to the staff of
the applicant, or former staff of the applicant within a year of his or
her leaving the housing authority or resident organization.
(iv) Funding is not permitted for underwriting conferences.
(v) Funding is not permitted for conference speakers unless the
speaker will also be providing additional TA as outlined in the
eligible activities in sections I.(c)(3) (i)-(iv), above, of this NOFA.
(vi) Funding is not permitted for program implementation, proposal
writing, the purchase of hardware or equipment, or any activities
deemed ineligible in the Drug Elimination Program, excluding
consultant's fees.
(5) General Program Requirements. (i) Applications for short-term
technical assistance may be funded up to $15,000 per request, with HUD
providing payment directly to the authorized consultant for the
consultant's fee, travel, room and board, and other approved costs.
(ii) For technical assistance initiated by HUD, the TA may be for
any amount up to $25,000.
(iii) Applicants that have not previously received technical
assistance under this program may submit only one application
initially. After the applicant's initial technical assistance report
has been received and reviewed by HUD or the contractor administering
the program, as appropriate, the applicant may submit multiple
applications. For TA initiated by HUD an applicant may have more than
one TA opportunity active at the same time.
(iv) Applications must be signed and certified by both the
Executive Director and a resident leader, certifying the following:
(A) That a copy of the application was sent to the local HUD Field
Office, Director of Public Housing Division, or Administrator, Office
of Native American Programs; and
(B) That the application was reviewed by both the Housing Authority
Executive Director, and a resident leader.
(d) Selection Criteria/Rating Factors
An application must include the minimum required elements and
cannot request assistance for ineligible activities as listed in
section I.(c)(4), above, of this NOFA. If HUD receives more than one
application from a HA, or group of RCs, ROs, or RMCs in proximity to
one another, HUD may exercise discretion to consider any two or more
applications as one, recommending one or more consultants and executing
contracts for any combination of applications. As an example, if three
resident councils at one HA, or three HAs within one geographic area
submit three separate TA applications within the same period of time,
HUD may contract with one, two or three consultants to carry out the
work, as HUD determines the best use of HUD funds, and the best
outcomes for the applicants. Applications will be scored according to
the criteria outlined below. Applicants must address the specific
questions directly as listed below.
(1)(i) The extent to which the applicant needs short-term technical
assistance. This will be measured by the applicant's discussion of the
problems that triggered the request for assistance under this NOFA.
(Maximum points: 5) For the maximum of five points allowed for this
criterion, the discussion must include answers to each of the following
questions:
(A) What is the nature of the drug-related crime problem in your
community in terms of the extent of such crime, the types of crime, and
the types of drugs being used?
(B) What is the nature of the housing authority's working
relationships with law enforcement agencies, particularly local
agencies, and indicate if and how TA funds will be used to improve
those relationships?
(C) Are housing authority residents selling or using drugs, or
committing the crimes? What about non-residents?
(D) What type of problems are you requesting assistance for in this
application?
(E) How are those problems related to the drug and drug-related
crime problems outlined above?
(ii) If the applicant cannot provide answers to each of these
questions, but wishes to receive the maximum of five points allowed for
this criterion, the applicant's discussion for this criterion must
include answers to each of the following questions:
[[Page 28580]]
(A) What prevents you from identifying the problems?
(B) What prevents you from describing the problems?
(C) What prevents you from measuring the problems? (Maximum points:
5)
(2) The extent to which the applicant clearly describes the kind of
technical assistance and skills needed to address the problems, and how
well the technical assistance requested will address the problems. To
receive the maximum of five points, the discussion for this criterion
must address each of the following:
(i) Describe what you would like a consultant to do to help you
with the problems outlined in Factor One.
(ii) Whom would you like the consultant to meet when the consultant
is on-site?
(iii) What do you want the consultant to do when on-site?
(iv) What do you want in place after the consultant is finished on-
site? (Maximum points: 5)
(3) The likelihood that the requested technical assistance will
assist the applicant's current strategy to eliminate drugs and drug-
related crime, as described in the application; or, if the applicant
does not currently have a strategy, the extent to which the technical
assistance will help them develop a strategy to eliminate drugs and
drug-related crime. To receive the maximum of five points, the
discussion for this criterion must address each of the following:
(i) Describe the steps you and your organization are currently
taking to measure, understand or address the drug-related crime problem
in your development or housing authority.
(ii) How will the proposed assistance support these efforts?
(iii) Describe how the proposed assistance will allow you to
develop an anti-drug, anti-crime strategy; or describe how the proposed
assistance fits into your current strategy. (Maximum points: 5)
(e) Application Review, Awards, and Payment
(1) Application Review. Applications for Technical Assistance will
be reviewed and scored as they are received. Consultant applications
will be received throughout the year with no deadline. A TA application
must include both the descriptive letter (or form provided in the
application kit) and certification statement (or form provided in the
application kit) to be eligible for funding. All applications that
qualify on the basis of the minimum required elements will be scored on
the basis of the selection criteria in section I.(d), above, of this
NOFA. Applications must receive a total of 8 or more points, with no
less than 2 points in any of the three selection criteria in section
I.(d), above, of this NOFA to be eligible for funding. Eligible
applications will be funded in the order in which negotiations for a
statement of work are completed between the consultant and the program
administrator until all funds are expended. The basis for each funding
decision under this section will be documented.
(2) Application Awards.
(i) If the application includes the descriptive letter (or forms)
requesting eligible activities, the certification statements (or form),
and scores at least 8 points as described in section I.(e)(1), above,
of this NOFA, it is eligible for funding. If sufficient funds are
available to fund the technical assistance request, staff will confer
with the applicant to confirm the work requirements.
(ii) If HUD receives more than one application from a HA, or group
of RCs, ROs or RMCs in proximity to one another, HUD may exercise
discretion to consider any two or more applications as one, assuming
that the applications are received at the same time, or prior to
approval by the Office of Finance and Accounting and the Office of
Procurement and Contracts, executing the contract, and providing
notification to the consultant to proceed to work. The TA Consultant
Database will be searched to choose at least three consultants who: (1)
Have a principal place of business or residence located within a
reasonable distance from the applicant, as determined by HUD or its
agent; or (2) appear to have the requisite knowledge and skills to
assist the applicant in addressing its needs. An employee of a housing
agency (HA) may not serve as a consultant to his or her employer. An HA
employee who serves as a consultant to someone other than his or her
employer must be on annual leave to receive the consultant fee.
Applicants may not request any specific consultant. A list of the
suggested consultants will be forwarded to the applicant. From this
list, the applicant will recommend a consultant to provide the
requested technical assistance. Instructions for consultants who wish
to be included in the TA Consultant Database are outlined above in
section I.(c)(2)(ii) of this NOFA.
(iii) The applicant must contact three TA consultants from the list
provided. HUD may request confirmation from each recommended consultant
to ensure that the three consultants have been contacted by the
applicant. If HUD determines that any consultant was not contacted, HUD
may consider the recommendation by the applicant void, and can choose a
consultant independent of the applicant. After making contact with each
consultant, the applicant must send a written justification to HUD with
a list of the consultants in order of preference, indicating any that
are unacceptable, and stating the reasons for its preference. If the
applicant does not provide HUD the written justification of consultant
choice within the period requested, HUD will make its own choice of a
consultant and proceed to negotiate a statement of work with the
consultant. There is no guarantee that the applicant's first preference
will be approved. Consultants will only be approved for the TA if the
request is not in conflict with other requests for the consultant's
services.
(iv) Staff designated by HUD will work with the consultant and
applicant to develop a statement of work that includes a timeline and
estimated budget. The statement of work should also include a
discussion of the kind of technical assistance and skills needed to
address the problem, and how the technical assistance requested will
address these needs; and a description of the current crime and drug
elimination strategy, and how the requested technical assistance will
assist that strategy. If the applicant does not currently have a
strategy, there should be a statement of how the technical assistance
will help them develop a crime and drug elimination strategy. When HUD
has completed the authorization to begin work, the consultant will be
contacted to start work. The consultant must receive written
authorization from HUD or its authorized agent before he or she can
begin to provide technical assistance under this NOFA. The applicant
and the relevant Field Office or Office of Native American Programs
will also be notified. Because this program is for short-term technical
assistance, consultants shall only be reimbursed for a maximum of 30
days of work, which must be completed in fewer than 90 days from the
date of the approved statement of work. Work begun before the
authorized date will be considered unauthorized work and may not be
compensated by the Department.
(3) TA Consultant Work and Reports. HUD is working to improve the
quality of TA consultant reports and invoices and has added
requirements to improve the quality of reports and invoices, both for
the benefit of the applicant, and for a record that will reflect the
level of funds expended for the services. Reports
[[Page 28581]]
and invoices which do not include the new elements or meet the new
standard will be returned to the consultant. If HUD returns a
disapproved report or invoice to a consultant, HUD may withhold up to
25 percent of the payment requested by the consultant, or authorized in
the purchase order, for the related work. HUD may also deny further
work to the consultant in the TA program until the report or invoice is
accepted by HUD. Examples of reports and invoices considered reasonable
by HUD are available from the Drug Information and Strategy
Clearinghouse, at 1-800-578-3472. Consultants are encouraged to obtain
copies and use these as models before submitting an invoice or report
in FY 1997. Previously acceptable standards may no longer be accepted
by HUD.
(4) Payment of TA Consultants. The consultant must submit a report
of its activities, findings and recommendations, a fee invoice, and
expenses and original receipts to the address specified in the
application kit. A copy of the report must also be submitted to the
applicant. A revised version of the ``Guidelines for Consultants''
book, available from the Clearinghouse, describes the required elements
of these reports. These required elements have changed from previous
years and consultants are encouraged to review them closely to make
sure all invoices and reports follow the new guidelines before
submitting an invoice or report. After the report and expenses have
been approved, and a verbal or written evaluation is received from the
applicant, payment will be issued to the consultant.
II. Application Process
(a) Application Kit. An application kit may be obtained from the
local HUD Field Office or Office of Native American Programs, or by
calling HUD's Drug Information and Strategy Clearinghouse at (800) 578-
3472 or (202) 708-0850 (TTY) (The TTY number is not a toll-free
number). The application kit contains information on all exhibits and
requirements of this NOFA. Requirements in the new FY 1997 Application
Kit have changed from previous years and applicants are encouraged to
carefully review the requirements to make sure that the application
meets all requirements before submission.
(b) Application Submission. This NOFA is effective upon
publication. Short-term (90 days for completion) technical assistance
applications and consultant application kits may be immediately
submitted to the address specified in the application kit. The
application submission deadline for the short-term technical assistance
grants available under this NOFA is June 30, 1997. Technical assistance
applications will be reviewed on a continuing first-come, first-served
basis, until funds under this NOFA are no longer available or until
June 30, 1997. Applicants are encouraged to submit their applications
as early as possible in the fiscal year.
(1) An applicant must submit the application and the necessary
assurances to the address specified in the application kit.
(2) In addition, applicants must simultaneously forward a copy of
these documents to the HUD Field Office or Office of Native American
Programs with jurisdiction over the relevant housing authority. This
copy must be addressed to Director, Division of Public Housing, or
Administrator, Office of Native American Programs, as appropriate.
III. Checklist of Application Submission Requirements
Each application for a grant under this program must include the
following:
(a) An application will not be considered for funding unless it
includes, at a minimum, the following elements:
(1) An application letter of no more than four pages that responds
to each of the selection criteria in section I(d), above, of this NOFA,
or the completed application forms available in the application kit;
and
(2) A certification statement, or the form provided in the
application kit, signed by the executive director of the housing
authority and the authorized representative of the RMC or incorporated
RC or RO, certifying that any technical assistance received will be
used in compliance with all requirements in the NOFA, including those
outlined in I(a)(3)-(4); and
(b) A completed and signed HUD Form 2880.
IV. Corrections to Deficient Applications
(a) HUD will notify an applicant, in writing or by telephone, of
any curable technical deficiencies, such as a missing signature in the
application. A log of telephone notifications will be maintained. The
applicant must correct the deficiency in accordance with the
information specified in HUD's notification. The application will not
be given further consideration until the deficiency is corrected.
(b) Curable technical deficiencies relate to items that are not
necessary to make a determination of an applicant's eligibility. The
items necessary for this determination are listed at section III.(a),
above, of this NOFA, although missing signatures on the application
letter, certification, or forms are curable.
V. Findings and Certifications
Paperwork Reduction Act Statement
The information collection requirements contained in this Notice
have been submitted to the Office of Management and Budget, in
accordance with the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-
3520). 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. The OMB control number,
when assigned, will be announced by separate notice in the Federal
Register.
Nondiscrimination and Equal Opportunity
The following nondiscrimination and equal opportunity requirements
apply:
(1) The requirements of title VIII of the Civil Rights Act of 1968
(42 U.S.C. 3600-20) (Fair Housing Act) and implementing regulations
issued at subchapter A of title 24 of the Code of Federal Regulations,
as amended by 54 FR 3232 (published January 23, 1989); Executive Order
11063 (Equal Opportunity in Housing) and implementing regulations at 24
CFR part 107; and title VI of the Civil Rights Act of 1964 (42 U.S.C.
2000d-2000d-4) (Nondiscrimination in Federally Assisted Programs) and
implementing regulations issued at 24 CFR part 1;
(2) The Indian Civil Rights Act (title II of the Civil Rights Act
of 1968) (25 U.S.C. 1301-1303) (ICRA) provides that no Indian tribe in
exercising powers of self-government shall deny to any person within
its jurisdiction the equal protection of its laws or deprive any person
of liberty or property without due process of law. The Indian Civil
Rights Act applies to any tribe, band, or other group of Indians
subject to the jurisdiction of the United States in the exercise of
recognized powers of self-government. The ICRA is applicable in all
cases where an IHA has been established by exercise of tribal powers of
self-government.
(3) The prohibitions against discrimination on the basis of age
under the Age Discrimination Act of 1975 (42 U.S.C. 6101-07) and
implementing regulations at 24 CFR part 146, and the prohibitions
against discrimination against individuals with disabilities under
section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794) and
[[Page 28582]]
implementing regulations at 24 CFR part 8;
(4) The requirements of Executive Order 11246 (Equal Employment
Opportunity) and the regulations issued under the Order at 41 CFR
Chapter 60;
(5) The requirements of the Americans with Disabilities Act of 1990
(42 U.S.C. 12131) and implementing regulations at 29 CFR part 1640, 28
CFR part 35, and 28 CFR part 36.
(6) The requirements of Executive Orders 11625, 12432, and 12138.
Consistent with HUD's responsibilities under these Orders, recipients
must make efforts to encourage the use of minority and women's business
enterprises in connection with funded activities.
Use of Debarred, Suspended, or Ineligible Contractors
Applicants for short-term technical assistance under this NOFA are
subject to the provisions of 24 CFR part 24 relating to the employment,
engagement of services, awarding of contracts, or funding of any
contractors or subcontractors during any period of debarment,
suspension, or placement in ineligibility status.
Drug-Free Workplace Act of 1988
The requirements of the Drug-Free Workplace Act of 1988 and
implementing regulations at 24 CFR part 24, subpart F apply under this
notice.
Environmental Impact
This NOFA does not direct, provide for assistance or loan and
mortgage insurance for, or otherwise govern or regulate property
acquisition, disposition, lease, rehabilitation, alteration,
demolition, or new construction, or set out or provide for standards
for construction or construction materials, manufactured housing, or
occupancy. Accordingly, under 24 CFR 50.19(c)(1), this NOFA is
categorically excluded from environmental review under the National
Environmental Policy Act of 1969, as amended (42 U.S.C. 4321). In
addition, the provision of assistance under this NOFA is categorically
excluded from review in accordance with 24 CFR 50.19(b)(9).
Federalism Impact
The General Counsel, as the Designated Official under section 6(a)
of Executive Order 12612, Federalism, has determined that the
provisions of this NOFA do not have federalism implications within the
meaning of the Order. The NOFA provides short-term technical assistance
to housing authorities and resident organizations to assist them in
their anti-drug efforts in public housing communities. The involvement
of resident organizations should greatly increase the success of the
anti-drug efforts under this technical assistance program and therefore
should have positive effects on the target population. As such, the
program helps housing authorities to combat serious drug problems in
their communities, but it does not have federalism implications.
Catalog of Federal Domestic Assistance Number
The Catalog of Federal Domestic Assistance Number for this program
is 14.854.
Section 102 HUD Reform Act--Documentation and Public Access
Requirements; Applicant/Recipient Disclosures
Section 102 of the Department of Housing and Urban Development
Reform Act of 1989 (HUD Reform Act) and the final rule codified at 24
CFR part 4, subpart A, published on April 1, 1996 (61 FR 1448), 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 are applicable to assistance awarded under
this NOFA as follows:
(1) Documentation and Public Access. HUD will ensure that
documentation and other information regarding each application
submitted pursuant to this NOFA are sufficient to indicate the basis
upon which assistance was provided or denied. This material, including
any letters of support, will be made available for public inspection
for a five-year period beginning not less than 30 days after the award
of the assistance. Material will be made available in accordance with
the Freedom of Information Act (5 U.S.C. 552) and HUD's implementing
regulations at 24 CFR part 15. In addition, HUD will include the
recipients of assistance pursuant to this NOFA in its Federal Register
notice of all recipients of HUD assistance awarded on a competitive
basis.
(2) HUD responsibilities--disclosures. HUD will make available to
the public for five years all applicant disclosure reports (HUD Form
2880) submitted in connection with this NOFA. Update reports (also Form
2880) will be made available along with the applicant disclosure
reports, but in no case for a period less than three years. All
reports, both applicant disclosures and updates, will be made available
in accordance with the Freedom of Information Act (5 U.S.C. 552) and
HUD's implementing regulations at 24 CFR part 15.
Section 103 HUD Reform Act
HUD's regulation implementing section 103 of the HUD Reform Act,
codified as 24 CFR part 4, applies to the funding competition announced
today. The requirements of the rule continue to apply until the
announcement of the selection of successful applicants.
HUD employees involved in the review of applications and in the
making of funding decisions are restrained by part 4 from providing
advance information to any person (other than an authorized employee of
HUD) concerning funding decisions, or from otherwise giving any
applicant an unfair competitive advantage. Persons who apply for
assistance in this competition should confine their inquiries to the
subject areas permitted under 24 CFR part 4.
Applicants who have ethics related questions should contact HUD's
Ethics Law Division (202) 708-3815 (This is not a toll-free number.)
Prohibition Against Lobbying Activities
The use of funds awarded under this NOFA is subject to the
disclosure requirements and prohibitions of section 319 of the
Department of Interior and Related Agencies Appropriations Act for
Fiscal Year 1990 (31 U.S.C. 1352) (The ``Byrd Amendment'') and the
implementing regulations at 24 CFR part 87. These authorities prohibit
recipients of federal contracts, grants, or loans from using
appropriated funds for lobbying the Executive or Legislative branches
of the federal government in connection with a specific contract,
grant, or loan. The prohibition also covers the awarding of contracts,
grants, cooperative agreements, or loans unless the recipient has made
an acceptable certification regarding lobbying.
Under 24 CFR part 87, applicants, recipients, and subrecipients of
assistance exceeding $100,000 must certify that no federal funds have
been or will be spent on lobbying activities in connection with the
assistance. Indian Housing Authorities established by an Indian Tribe
as a result of the exercise of their sovereign power are excluded from
coverage, but IHAs established under state law are not excluded from
coverage.
[[Page 28583]]
Dated: May 16, 1997.
Kevin Emanuel Marchman,
Acting Assistant Secretary, Office of Public and Indian Housing.
[FR Doc. 97-13519 Filed 5-22-97; 8:45 am]
BILLING CODE 4210-33-P
