[Federal Register Volume 62, Number 145 (Tuesday, July 29, 1997)]
[Notices]
[Pages 40642-40693]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-19917]
[[Page 40641]]
_______________________________________________________________________
Part IV
Department of Housing and Urban Development
Department of Health and Human Services
_______________________________________________________________________
Notice of Funding Availability Community Partnerships for Resident
Uplift and Economic Development; Notice
Federal Register / Vol. 62, No. 145 / Tuesday, July 29, 1997 /
Notices
[[Page 40642]]
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DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
DEPARTMENT OF HEALTH AND HUMAN SERVICES
[Docket No. FR-4240-N-01]
Notice of Funding Availability Community Partnerships for
Resident Uplift and Economic Development
AGENCIES: Sponsors of this interagency public/private competitive grant
announcement are:
(a) Department of Housing and Urban Development (HUD):
(1) Office of the Assistant Secretary for Public and Indian
Housing, Office of Community Relations and Involvement (OCRI);
(2) Office of the Assistant Secretary for Community Planning and
Development, Empowerment Zones and Enterprise Communities (EZ/EC);
(b) Department of Health and Human Services (HHS):
(1) Administration for Children and Families, Office of Community
Services (OCS);
(2) Administration for Children and Families, Office of Family
Assistance (OFA);
(3) Administration for Children and Families, Child Care Bureau
(CCB);
(4) Office of Intergovernmental Affairs;
(c) Department of Agriculture (USDA):
(1) Cooperative State Research, Education, and Extension Service;
and
(d) Boys & Girls Clubs of America (B&GCA).
ACTION: Notice of Funding Availability (NOFA).
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SUMMARY: Several Federal and private agencies are combining over $6
million dollars in program funds and technical assistance in a
consolidated competitive grant initiative entitled Community
Partnerships for Resident Uplift and Economic Development. The purpose
of this initiative is to create neighborhood-based programs to move
families residing in public housing and the adjacent neighborhood from
welfare to self-sufficiency. To accomplish this, the sponsors are
pursuing and linking two (2) primary strategies:
(1) Encourage the creation of employment and business development
opportunities for low-income people through business, physical or
commercial development in the neighborhood; and
(2) Provide an array of supportive services in neighborhood-based
comprehensive service centers (and accessible to persons with
disabilities) to enable participants to successfully make and sustain
the transition to self-sufficiency.
Approximately seven (7) urban, suburban and rural communities of
varying sizes will be selected.
The sponsors of this initiative are three (3) separate Federal
departments, specifically HUD, HHS, and USDA, as well as a major
national private sector organization, the Boys & Girls Club of America
(please see the above list under the heading AGENCIES:). They are
coordinating several existing programs in one integrated solicitation.
It is important to understand that this is a coordinated grant, not a
block grant.
Although there is only one grant announcement (this NOFA) and a
single application package for funding under this initiative, each
sponsoring agency will award and administer the grants through a
coordinating committee composed of program managers from each of the
agencies (the Interagency Agreement reflects this arrangement). Co-
applicants could receive up to two Federal grant awards (HUD and HHS)
and additional funding from the Boys & Girls Club of America for this
collaborative project.
The structure of the initiative reflects this collaborative
approach. Specifically, at a minimum, there must be two co-applicants:
a public housing authority and a community development corporation.
There may be other co-applicants. Co-applicants carry legal
responsibility for the performance of the grant. The co-applicants must
develop partnerships with the residents, one or more local businesses,
and the State Welfare and Child Care departments in order to be
considered for this grant.
An important feature of this initiative is its short duration and
ambitious agenda. The initiative, therefore, is geared to housing
authority communities which already have in place operational
components such as needs assessments and economic development incentive
packages. The intent of this initiative is to integrate existing
resources and focus them on families affected by welfare reform to
achieve the specific outcome of self-sufficiency.
Application Deadline Dates: HUD will serve as the receiving agency
for applications on behalf of all the co-sponsors.
(a) Applications for funding under this NOFA must be physically
received at the correct HUD Headquarters Office on or before September
12, 1997 at 3:00 pm, local time. This application deadline is firm as
to date and hour.
(b) In the interest of fairness to all competing co-applicants, the
Departments will treat as ineligible for consideration any application
that is received after the respective program deadline. Co-applicants
should take this practice into account and make early submission of
their materials to avoid any risk of loss of eligibility brought about
by any unanticipated or delivery-related problems. Delivery of
applications by facsimile (FAX) is not acceptable.
Application Submission Requirements: The Community Partnerships for
Resident Uplift and Economic Development NOFA is required as the formal
submission to apply for funding under this initiative. The application
checklist in Appendix A contains information on all exhibits and
certifications required under this NOFA, as well as additional
guidance. An application package consists of one application per each
co-applicant. Only one application from each co-applicant may be
submitted under this initiative (See Appendix A for each co-applicant's
submission within the consolidated application package). The NOFA may
be obtained from the HUD Resident Initiatives Clearinghouse, telephone
1-800-955-2232.
An original application and two identical copies of the original
application must be received by the deadline at the following address.
It is not sufficient for an application to bear a postage date within
the submission time period. Applications should be addressed to:
Patricia Arnaudo, Senior Program Advisor, U.S. Department of Housing
and Urban Development, Office of Community Relations and Involvement,
451 Seventh Street, SW, Room 4126, Washington, DC 20410-5000.
Applications may also be addressed to La Wanda Young, Administrative
Officer, at the same address.
Program Information Contacts: For questions concerning the
Department of Housing and Urban Development (HUD), contact Patricia
Arnaudo, Office of Community Relations and Involvement, 451 7th Street
SW Washington DC 20410, telephone (202) 619-8201 ext. 4250 or call
HUD's Resident Initiatives Clearinghouse, telephone (800) 955-2232; or
consult the funding cross reference under HUD's Business and Community
Partner HomePage on the Internet's World Wide Web (http://www.hud.gov/
bushome.html): look under funding, then under Public Housing, and then
under OCRI.
For questions concerning the U.S. Department of Health and Human
Services, contact Thelma Woodland, HHS Administration for Children and
[[Page 40643]]
Families, 370 L'Enfant Promenade S.W., Washington D.C. 20447, telephone
(202) 401-5294, fax (202) 401-4687, e-mail: twoodland@acf.dhhs.gov.
Hearing-or-speech impaired persons may call (800) 877-8339.
(Federal Information Relay Service TTY.) Except for the ``800'' number,
these telephone numbers are not toll-free.
SUPPLEMENTARY INFORMATION:
Table of Contents
Part I--Preamble and Summary Overview
(a) Background
(b) Purpose
(c) Funding
(d) Structure
(1) Co-Applicants
(2) Required Partnerships
(3) Coordination
(e) Promoting Comprehensive Approaches to Housing and Community
Development
Part II--Program Specifications
(a) Authority
(b) Definitions
(c) Eligible Participants
(d) Maximum Grant Amount
(e) Matching Requirements
(f) Eligible Activities
(g) Term of Grant
Part III--Application Process
(a) Threshold Requirements
(b) Selection Criteria
(c) Selection Processing
Part IV--General Grant Requirements
(a) Grant Administration
(b) Cost Principles
(c) Ineligible Contractors
(d) Freedom of Information Act
(e) Grant Staff Personnel
(f) Grant Agreement
(g) Duplication of Funds
(h) Risk Management
(i) Treatment of Income
(j) Reports and Closeout
Part V--Findings and Certifications
(a) Paperwork Reduction Act
(b) Environmental Impact
(c) Federalism Executive Order
(d) Prohibition of Advance Disclosure of Funding Decisions
(e) Section 102 of the HUD Reform Act--Documentation, Access,
and Disclosure
(f) Prohibition Against Lobbying Activities
(g) Intergovernmental Review
(h) Standard Form 424
(i) Standard Form 424A
(j) SF-424B ``Assurances-Non-Construction''
(k) Certification Regarding Environmental Tobacco Smoke
(l) Certification Regarding Drug-Free Workplace Requirements
(m) Catalog of Federal Domestic Assistance Numbers
Appendix A--Application Checklist
Appendix B--Program Elements for the Joint Initiative
Appendix C--Developing a Child Care System
Appendix D--Guidelines of a Business Plan
Appendix E--Poverty Income Guidelines (HHS)
Appendix F--OMB State Single Point of Contact Listing (HHS)
Part I--Summary and Overview
(a) Background
The recent passage of The Personal Responsibility and Work
Opportunity Reconciliation Act of 1996 (Pub. L. 104-73) transformed the
former Aid to Families with Dependent Children (AFDC) program into the
Temporary Assistance to Needy Families Program (TANF). This change
confronts the public housing and surrounding communities with a
profound challenge and opportunity. The role of the Federal government
changed from manager of the welfare system to a partner with the states
in identifying how best to assist recipients to effect their transition
from welfare to work. As a result, it is important that the combined
funding of a variety of discretionary programs from the sponsoring
Federal Departments be used to encourage local partnerships and
innovation in utilizing public and private resources to address complex
problems with the corresponding multiple strategies as contained in
this initiative. This specifically entails the simultaneous
implementation of accessible human services centers, economic
development, and job creation with the primary focus on individual
economic self-sufficiency.
Approximately forty percent (40%) of the families residing in
public housing list AFDC/TANF as their primary source of income. The
rewards of moving this substantial segment of the public housing
residents from welfare dependency to work and self sufficiency have
never been more clear. The potential consequences of failure are
equally clear and threaten not only the economic well being of
individual families, but of entire public housing neighborhoods that
could experience significant losses of rental income as residents
become ineligible for further welfare assistance.
(b) Purpose
(1) This initiative is designed to assist public housing residents
and others in the surrounding neighborhood who are affected by welfare
reform in becoming economically self-sufficient. The co-sponsors
believe that an effective joint welfare-to-work program requires
leveraging of existing resources. Two primary strategies will be
pursued:
(i) Revitalize the public housing neighborhood by attracting public
and private investment for business or commercial development and
create new, full-time, permanent jobs and/or business ownership
opportunities in those businesses and industries for the target
population affected by welfare reform. Co-applicants should be able to
immediately identify existing or new businesses and industries,
especially those in projected job growth areas, that would be willing
to expand their activities and/or relocate into the target area,
pursuant to a package of economic incentives. This will entail
coordination with currently operational economic development
strategies. It will also require in most instances a mix of different
businesses/industries that are willing to design and dedicate a certain
number and type of positions appropriate for the target population.
Among the fastest growing and marketable employment growth areas in
various sizes and types of American communities are property management
and maintenance, education, child care, information systems,
environmental services, and health care. Co-applicants are urged to
focus their job development strategies in these or other documented
local growth areas.
(ii) Support the participating residents in their transition to
self-sufficiency by concentrating supportive services in human service
centers including nearby schools and business/employer facilities,
located within or in proximity to the targeted public housing
development at locations that are highly visible and accessible to
persons with disabilities. It is envisioned that the following
essential supportive services will be available: child care, remedial
and vocational education (permitted to be off-site to take advantage of
local resources), job readiness preparation, transportation and other
health and human resources deemed important to prepare and support the
residents in their transition from welfare to work.
(2) Key elements for this two-pronged approach include:
(i) Implementing larger community-based strategic plans, such as
the Empowerment Zone/Enterprise Community strategies, to optimize the
use of community resources and more effectively achieve the economic
and community revitalization in public housing neighborhoods.
(ii) Leveraging of existing Federal, State and local human,
material, real property and financial resources (including tax
abatements and related financial investment incentives) to support the
revitalization activities.
(iii) Creating a child care system with linkages to other
comprehensive supportive services through a plan addressing consumer
education, utilization of existing resources, and development of a
coordinated network of new and existing child care homes
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and centers and before/after school activities.
(iv) Enhancing or developing appropriate recreational, tutoring,
mentoring and related activities for children and youth located in the
targeted neighborhoods.
(3) This joint initiative is particularly relevant to the
Administration's mission of strengthening the American family and
promoting self-sufficiency. This program has goals of increasing the
access of low-income people to employment-related opportunities,
improving job skills, and improving the integration, coordination, and
continuity of the various services potentially available to families
living in poverty.
Additional information regarding these program ingredients is
contained in Appendices B and C.
(c) Funding
HUD and HHS are each making $2.5 million available for award under
this joint initiative.
The Boys & Girls Clubs of America is making up to $500,000
available to selected co-applicants for after school programs and other
youth development activities providing constructive environments for
children of program participants.
The Departments of Housing and Urban Development, Health and Human
Services, and Agriculture will provide technical assistance related to
the implementation of economic and job development strategies related
to EZ/EC communities, child care, employment preparation and
coordinated transportation systems to facilitate the participating
residents' transition from welfare-to-work efforts.
(d) Structure
This is a three year initiative. Grants will be awarded by
September 30, 1997 and are expected to be underway immediately upon
award. Since a comprehensive, integrated strategy is important to
enable families to achieve self-sufficiency, this initiative is
designed to foster collaboration between the public and private
sectors. Toward this end, a number of components and features are
required.
(1) Co-Applicants
Co-sponsored applications are required. The co-applicants will
function as joint administrators to develop, direct, and coordinate
appropriate financial and human resources. Together, they will be
responsible for creating and managing the essential community-based
social and economic architecture to assure successful implementation.
At a minimum, each application must have a Housing Authority (HA)
and Community Development Corporation (CDC) as co-applicants to be
eligible. All HAs (urban, rural, suburban, except Indian Housing
Authorities) and CDCs are eligible. The co-applicants must identify a
grant manager to assure effective administration and resource
integration.
The required co-applicants may also, if they wish, have additional
co-applicants, such as nonprofit and for-profit corporations and public
bodies, including their agencies or instrumentalities.
All co-applicants must have a legal partnership evidenced by an
executed Memorandum of Agreement (MOA) which delineates the partners'
roles and responsibilities for grant administration. Co-applicants are
considered an integral part of the application and cannot be changed
once applications are submitted and under review without disqualifying
an application. If a co-applicant is awarded a grant, it must obtain
HUD and HHS approval prior to dissolving a partnership with a co-
applicant or significantly changing its role. Dissolution of the Joint
Grant is not permitted and is considered grounds for default under the
Grant Agreement.
(2) Required Partnerships
The HA and CDC partners must secure partnerships with appropriate
social, economic, educational, transportation, and employment readiness
agencies in the public and private sector in advance of applying for
the funds under this joint initiative. Through these partnerships, the
public and private service providers will describe the specific
resources to be provided in the targeted community, and the process for
consulting with residents to assure successful implementation of
programs. The specific requirements for each partnership are described
in Part III, Section (a)--Threshold Requirements. Required partnerships
with the HA and CDC include, but are not limited to:
(i) Partnership with Residents: The purpose of this partnership is
to promote customer participation in the planning and implementation of
the project.
(ii) Partnership with Business/Industry: The purpose of these
partnerships is to provide incentives for businesses or industries to
locate in the target area and create new and/or expand existing job
opportunities for residents affected by welfare reform.
(3) Other Partnerships
(i) Boys & Girls Club Partnership: Applications with a partnership
with the local Boys & Girls Club to provide enhanced child care,
afterschool services, or other youth development activities may receive
funding from the Boys & Girls Club of America. This funding will be
provided to the local Boys & Girls Club to support those activities.
(ii) Empowerment Zone/Enterprise Community Partnership: In
addition, special consideration will be given for collaboration with
Empowerment Zone/Enterprise Community Agencies as this type of
partnership can have substantial impact on the number of new jobs
created in these communities.
(4) Coordination
This joint initiative will be coordinated locally through a grant
manager designated by the co-applicants.
A Federal Interagency Coordinating Committee will oversee this
joint initiative at the national level. An Interagency Agreement,
signed by all participating Federal agencies (HUD, HHS, and USDA)
outlines the administrative, legal and fiscal responsibilities agreed
upon by each agency. The Coordinating Committee, constituted by program
officers from each participating agency, will be responsible for the
development and implementation of the grant application review, rating
and selection process, and monitoring of the progress of grants, except
that HHS will assume sole responsibility for any construction or
renovation. The Chair of the Interagency Coordinating Committee will
rotate among the participating agencies. Ultimate responsibility on
grant implementation will be retained by each agency on individual
grants.
(e) 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, HUD in recent years has developed the
Consolidated Planning process designed to help communities undertake
such approaches.
In this spirit, it may be helpful for co-applicants under this NOFA
to be aware
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of other related HUD NOFAs that have recently been published or are
expected to be published in this fiscal year. By reviewing these NOFAs
with respect to their program purposes and the eligibility of co-
applicants and activities, co-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.
With respect to community and economic development, the following
related NOFAs have been published: (1) The NOFA for the Community
Outreach Partnership Centers (March 20, 1997, at 62 FR 13506); (2) the
NOFA for the Tenant Opportunity Program--Economic Development and
Supportive Services (June 6, 1997, at 62 FR 31272); and (3) the NOFA
for Historically Black Colleges (May 12, 1997, 62 FR 26180).
To foster comprehensive, coordinated approaches by communities, the
Department intends for the remainder of FY 1997 to continue to alert
co-applicants of HUD's NOFA activity. In addition, a complete schedule
of NOFAs published during the fiscal year appears under the HUD
Homepage on the Internet, which can be accessed at http://www.hud.gov/
nofas.html. Additional steps to better coordinate HUD's NOFAs are being
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.
Part II--Program Specifications
(a) Authority
This joint initiative is authorized pursuant to:
(1) The Community Planning and Development section of the 1997 HUD
Appropriations Act entitled, ``An Act Making Appropriations for the
Departments of Veteran Affairs and Housing and Urban Development, and
for sundry independent agencies; boards, commissions, corporations, and
offices for the fiscal year ending September 30, 1997, and for other
purposes'', (P.L. 104-204, approved September 26, 1996), which provides
grants to housing authorities to enable them to establish programs that
increase resident self-sufficiency.
(2) The Community Initiative program is authorized by Sections
681(a) and 681(b)(1) of the Community Services Block Grant Act (42
U.S.C. sections 9910(a) and (b)(1)), as amended. Under the Community
Initiative Program, the HHS Secretary is authorized to make funds
available to support on-going program activities of national or
regional significance to alleviate the causes of poverty in
economically distressed communities with special emphasis on community
and economic development activities.
(b) Definitions
Budget Period: The interval of time into which a grant period of
assistance is divided for budgetary and funding purposes.
Commitment: Documented evidence in the form of a written obligation
(on appropriate letterhead) specifying:
(1) The dollar amount (or value), source of funds or types of
resources promised for the program, and their use in the program;
(2) The date of availability and duration of funds or other types
of resources;
(3) The authority by which the commitment is made (such as board
resolution, grant award notification); and
(4) The signature of the appropriate executive officer authorized
to commit the resources.
Community Development Corporation (CDC): A private, nonprofit
entity, governed by a board consisting of residents of community and
business and civic leaders, which has as a principal purpose planning,
developing, or managing low-income housing or community development
projects (proof of non profit status, i.e., the IRS determination
letter of tax exemption must be included.)
Community Facility: A non-dwelling structure that provides space
for multiple supportive services for the benefit of public housing
residents (as well as others eligible for the services provided)
including but not limited to: child care, after-school activities for
youth, job training, Campus of Learners activities, and English as a
Second Language (ESL) classes.
Construction Projects: For the purpose of this announcement,
construction projects, funded only by HHS, involve land improvements
and development or major renovation of (new or existing) facilities and
buildings, including their improvements, fixtures and permanent
attachments. HHS will have sole responsibility for reviewing
construction-related projects.
Development: Has the same meaning as the term ``Project'' below.
Distressed Community: A geographic urban neighborhood or rural
community of high unemployment and pervasive poverty.
Empowerment Zones/Enterprise Communities: Those communities
designated as such by the Secretaries of Agriculture or Housing and
Urban Development.
Equity Investment: The provision of capital to an organization for
use as working capital or for some other specified purpose in return
for a portion of ownership.
Job Placement: Placing a person in an existing vacant job of a
business, service, or commercial activity not related to new
development or expansion activity.
Project: For an HA's purposes, 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.)
Public Housing Agency (HA): Any state, county, municipality, or
other governmental entity or public body (or agency or instrumentality
thereof) which is authorized to engage in or assist in the development
and operation of low-income housing.
Resident Council (RC): An incorporated or unincorporated nonprofit
organization or association that consists of persons residing in public
housing and that meets each of the requirements specified in 24 CFR
964.115.
Resident Management Corporation: An entity that consists of
residents residing in public housing and that meets the requirements
specified in 24 CFR 964.120.
Rural: An area that is not within the outer boundary of a
metropolitan entity having a population of 25,000 or more and
contiguous communities with a population density of 100 persons or more
per square mile according to the latest decennial census. Such an area
may be located entirely within one State or made up of contiguous
interstate communities.
Secretary: The Secretary of Housing and Urban Development and/or
the Secretary of Health and Human Services, as appropriate.
Surrounding Neighborhood: A geographic area within a jurisdiction
of a unit of general local government (but not the entire jurisdiction
unless the population of the unit of general local government is less
than 25,000) designated in comprehensive plans, ordinances, or other
local documents as neighborhood, village, or similar geographical
designation, or the entire jurisdiction of a unit of general local
government with a population that is less than 25,000.
Technical Assistance: A problem-solving event generally utilizing
the services of an expert. Such services may be provided on-site, by
telephone, or other means of communication. These services address
specific problems and are intended to assist with the
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resolution of a given problem or set of problems.
(c) Eligible Participants
Residents of public housing and residents in the surrounding
neighborhood who are below the poverty line and affected by the welfare
reform legislation (including AFDC/TANF recipients, legal immigrants,
disabled SSI recipients, etc.) are eligible to participate in and/or
receive the benefits of this grant. Section 8 tenants with certificates
or vouchers or tenants in Section 8 project-based units are eligible to
participate in and/or receive the benefits of this grant, as long as
they are residing in the surrounding neighborhood as identified in the
application. Eligible participants also include low-income residents in
the neighborhood surrounding the HA project, who are displaced workers;
at-risk teenagers; non-custodial parents, particularly those of
children receiving AFDC/TANF assistance; individuals who are homeless;
and those with developmental disabilities.
Projects proposed for funding must result in direct benefits to
low-income people as defined in the most recent Annual Revision of
Poverty Income Guidelines published by HHS (See Appendix E).
Annual revisions to the Poverty Income Guidelines are normally
published in the Federal Register in February or early March. Grantees
will be required to apply the most recent guidelines throughout the
project period. These revised guidelines may be obtained at public
libraries, Congressional offices, or by writing the Superintendent of
Documents, U. S. Government Printing Office (GPO), Washington, D.C.
20402. No other government agency or privately-defined poverty
guidelines are applicable for the determination of low-income
eligibility for the OCS programs.
Note, however, that low-income individuals granted lawful temporary
resident status under Section 245A or 210A of the Immigration and
Nationality Act, as amended by the Immigration Reform and Control Act
of 1986 (Public Law 99-603) may not be eligible for direct or indirect
assistance based on financial need under this program for a period of
five years from the date such status was granted.
(d) Maximum Grant Amounts
(1) The maximum combined grant awards are estimated to be as
follows:
(i) For housing authorities with 1 to 1,250 units, the maximum
grant award is $400,000 in combined HHS/HUD funds.
(ii) For housing authorities with 1,251 to 10,000 units, the
maximum grant award is $600,000 in combined HHS/HUD funds.
(iii) For housing authorities with more than 10,000 units, the
maximum grant award is $1.2 million in combined HHS/HUD funds.
(2) Note: HUD and HHS funds will be awarded to HAs and CDCs
respectively. Budgets must therefore be broken down to separate HUD/HHS
funds. Amounts may or may not be equal in sum from HUD/HHS.
(e) Matching Requirements
HUD funds must be matched dollar-for-dollar (100%) in either in-
kind (including contributions of personnel, space and/or equipment) or
in cash. HHS funds do not require any matching contribution. If a match
is included, grantees will be held accountable and a disallowance could
result from failure to meet the match. See Part III, Section (a), Item
8 (Leveraging Other Resources) for more detailed information.
(f) Eligible Activities
Please note that grantees will need to establish separate books of
account for any specific funding sources, including the two prime
Federal programs. Under OMB Cost Circulars (A-87, A-21, A-110, and A-
122), grantees may not duplicate funding from (i.e., charge the same
costs to) this joint grant and any other funding sources, although the
costs of budget line items may be shared between the grant and other
funding sources in accordance with allocation criteria in the
applicable OMB Cost Circular. Adequate financial controls must be in
place to assure compliance with these requirements.
While an array of eligible activities, as described below, can be
funded with HHS resources, the activities must be linked directly to
the development of new employment opportunities and/or the preparation
and support of the individuals that will be employed in the new jobs.
``Job creation'' means new jobs that are realized as a result of an HHS
funded project. This includes the development of either new or
expanding business, service, physical and commercial activities. The
jobs created must not have been in existence prior to the start of the
project. Job creation is to be distinguished from job placement
services which are concerned with the placing of a person in an
existing vacant job or business, service or commercial activity not
related to new development or expansion. Following is a description of
eligible activities:
(1) Economic Development activities includes activities essential
to facilitate job creation and economic uplift and provide access to
the skills and resources needed for self-development and business
development. HUD funds, however, cannot be used toward capital costs
for acquisition, construction, and equipment. Economic development
activities may include:
(i) Entrepreneurship training (e.g., literacy training, computer
skills training, business development planning);
(ii) Entrepreneurship development (e.g., entrepreneurship training
curriculum, entrepreneurship courses);
(iii) Job creation activities (i.e., new jobs which result from new
or expanded businesses, services, or commercial activities). For OCS
funding, the jobs created must not have been in existence prior to the
start of the project;
(iv) Micro/Loan fund entails developing a strategy for establishing
a revolving micro loan fund and/or capitalizing a loan fund. A loan
fund (from non-grant funds and/or grant funds) may be included as part
of a comprehensive entrepreneurship training program. HHS/OCS funds may
not be used to establish or expand revolving loan funds;
(v) Developing credit unions entails creating on-site credit
union(s) to provide financial and economic development initiatives to
HA residents. 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); HUD funds
cannot be used to capitalize a credit union. HHS/OCS funds cannot be
used for any type of credit union activity.
(vi) Employment training and counseling (e.g., job training,
preparation and counseling, job search assistance, job development and
placement, and continued follow-up assistance after job placement); and
(vii) Employer linkage and placement includes collaboration with
area employers to determine job placement and training issues and on-
going follow-through with residents placed in training or full-time
positions; please note that HHS/OCS funds for economic development are
limited to providing job related training for newly created (not
existing) jobs; program components involving training and placement in
existing vacant positions are not eligible for HHS/OCS funding.
(2) Supportive Services entail the provision of services to assist
eligible residents become economically self-sufficient, particularly
families with children where the head of household would benefit from
the receipt of
[[Page 40647]]
supportive services and is working, seeking work, or is preparing for
work by participating in job-training or educational programs. Please
note that HHS funding is restricted to activities related to new job
creation as discussed above, under Economic Development Activities.
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, and ensure the healthy
development of children. Categories of care include center-based child
care, family child care and in-home child care;
(ii) Employment training and counseling (e.g., job training such as
apprenticeship programs, job preparation and counseling, job search
assistance, job development and placement, and continued follow-up
assistance after job placement);
(iii) Computer-based educational opportunities, skills training,
and economic development activities;
(iv) Education (e.g., remedial education, literacy training,
assistance in the attainment of certificates of high school
equivalency, trade school assistance, two-year college tuition
assistance, youth leadership skills and related activities). Activities
may include peer leadership roles training for youth counselors, peer
pressure reversal, life skills, goal planning;
(v) Youth mentoring of a type that mobilizes a potential pool of
role models to serve as mentors to public housing youth. Mentor
activities may include after-school tutoring, drug abuse treatment, job
counseling or mental health counseling;
(vi) Transportation costs, as necessary to enable any participating
family member to commute to training, supportive services' activities
and/or place of employment, including but not limited to assessing
needs and resources, purchase of transit passes, joint purchase of
vehicles with local transit providers, assistance with vehicle repairs
and maintenance;
(vii) Personal welfare (e.g., family/parental development
counseling, parenting skills training for adult and teenage parents,
substance/alcohol abuse treatment and counseling, and self-development
counseling, etc.);
(viii) Supportive health care services (e.g., outreach and referral
services); and
(ix) Any other services and resources that are determined to be
appropriate in assisting eligible residents.
(3) The employment of service coordinator(s)/case manager(s). For
the purposes of this NOFA, a service coordinator/case manager 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;
(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) Monitoring and evaluating the delivery, impact, effectiveness
and outcomes of supportive services under this program;
(iv) Coordinating this program with other self-sufficiency,
education and employment programs;
(v) Performing other duties and functions that are appropriate to
assist eligible public housing and other neighborhood residents to
become self-sufficient;
(vi) Mobilizing other national and local public/private resources
and partnership; and
(vii) Any other services and resources proposed by the co-applicant
and approved by the co-sponsors that are determined to be appropriate
in assisting eligible residents.
(g) Term of Grant/Period of Availability of Funds
With certain exceptions of HHS grant funds, all funds must be
expended within three years (36 months) after the effective date of
grant agreement. Grant implementation progress must be evident and
documented within the first six (6) months of grant award. Grantees
must have completed all but grant close-out activities within 30 months
after the effective date of the grant agreement. Grant terms may not be
extended without substantial good cause (circumstances reasonably
unforeseen and reasonably beyond the grantee's control) and are subject
to approval by HUD and HHS. Concerning HHS grant funds, co-applicants
with projects involving construction only may request project and
budget periods of up to 36 months. Co-applicants for non-construction
projects under these priority areas may request project and budget
periods of up to 17 months.
Part III--Application Process
Each application that is submitted in a timely manner to the HUD
Headquarters Office of Community Relations and Involvement and that
otherwise meets the requirements of this NOFA will be evaluated
competitively on a joint basis by the sponsoring Federal agencies under
the auspices of the Federal Interagency Coordinating Steering Committee
using a point scale.
Co-applicants may submit only one application package under this
NOFA (See Appendix A for each co-applicant's submission within a
consolidated package). The proposed funding can be no more than the
cost limits described in Section I.(e) above.
(a) Threshold Requirements
The following information must be contained in the application as
threshold requirements to be considered essential for rating and
ranking as discussed in Section III.(b) of this NOFA.
(1) Joint Application
The application must be jointly submitted by the HA and the CDC,
and there must be an MOA between the two organizations.
(2) Needs Assessment Report
The application must contain a report on the proposed recipient
population that includes, at minimum, sections containing statistical
or survey information that addresses the economic status of the target
and surrounding area (including a description of local business
conditions), the relative needs of the recipient population in the
affected community(s) to be served, and an identification of economic
strategies and supportive services resources to meet the needs. The
Needs Assessment Report must include supporting data to justify the
economic needs of the development/neighborhood to be served, the
viability of existing businesses in the area and prospective
opportunities for job growth, and identified businesses or industries
which are under-represented in the area that could improve the economic
vitality of the neighborhood.
(3) Grant Implementation Plan
The application must contain a grant implementation plan (See
Appendix A). The plan must be based on a thorough examination of the
public housing and adjacent neighborhood needs and resources and
address a portion of the needs in the Needs Assessment Report. The plan
must, at a minimum, include the following:
(i) A component promoting training, employment and contracting
opportunities through the HA (in accordance with section 3 of the
Housing and Urban Development Act of 1980; see 24 CFR part 135);
(ii) A brief description outlining how the plan conforms to the
applicable state AFDC/TANF and child care plans, community economic
development strategies and job creation efforts.
[[Page 40648]]
(iii) A business plan (can be an existing or a new business plan);
(iv) Specific measurable objectives (such as the objective of 200
residents being employed, 10 resident businesses started, and 250
residents completing GED requirements) to be achieved as a result of
grant activities;
(v) Major milestones and activities necessary to accomplish the
goals;
(vi) A timetable for accomplishing activities;
(vii) A detailed budget;
(viii) A description of how resources and/or services firmly
committed by the co-applicants and other partners are effectively
directed to support the residents self-sufficiency efforts and how they
will be provided for at least three years. To be considered firmly
committed there must be a written agreement to provide the resources.
These resources must be provided for a period of at least three years.
The written agreement may be contingent upon a co-applicant receiving a
grant award;
(ix) Identification of a grant manager, selected by the co-
applicants, to assure effective administration and resource
integration.
(x) Identification of HA development(s) and surrounding
neighborhoods to be assisted under this joint initiative.
(4) Required Partnerships
(i) Partnership with Business/Industry: The application must
contain signed commitments from businesses or industries that intend to
participate describing how these businesses/industries will create new
and/or expand existing job opportunities for residents in the target
area. The following specific features must be included:
(A) Jobs to be created will accommodate the projected number of
AFDC/TANF and other residents affected by welfare reform targeted for
employment. This does not suggest that a single business/industry must
employ only AFDC/TANF residents or absorb all the targeted population.
It is anticipated that a variety of businesses/industries will be
needed to produce the appropriate number and type of employment
opportunities.
(B) The co-grantees will have authority to screen co-applicants for
jobs to be filled by AFDC/TANF recipients and to verify their
eligibility.
(ii) Partnership with Residents: The application must contain a
written commitment to involve residents of the target area in plan
development and implementation, and a corresponding commitment from
appropriate resident groups. The residents may be represented by a
Resident Council, Resident Management Corporation, or applicable
neighborhood association or tenant organization. Also, experience with
such collaborations should be described.
(iii) Partnership with a Boys & Girls Club (if B&GCA funds are
sought):
The application must contain a Memorandum of Agreement (MOA)
between the co-applicants and the appropriate Boys & Girls Club that
will be providing enhanced services to the HA communities. Boys & Girls
Club funds are added on and will be provided to the co-applicants'
awarded funds.
(5) Welfare and Child Care Plan Linkage
The application must provide documentation from the appropriate
State welfare agency that the proposed Grant Implementation Plan is
consistent with the State TANF (welfare) and Child Care Plans or the
State's proposed plans to date. In order to be consistent with these
State plans, the implementation plan must have a performance objective
that would result in a majority of the participants becoming self-
sufficient and working by the deadline for the termination of AFDC/TANF
assistance set by the State. In addition, the co-applicants' plan must
be guided by the goals, objectives and schedules of the State TANF plan
both overall and to the extent that such goals, objectives and
schedules are set for individual families. With respect to time limits,
the co-applicants must, however, comply with the restrictions of this
joint initiative if its requirements conflict with those of the State
Welfare plan. For example, the State Welfare Plan may give the AFDC/
TANF recipients five years to leave public assistance, but this joint
program is to be completed within three years regardless.
(6) Focus on Residents affected by Welfare Reform
The application must provide written evidence from the co-
applicants that all (100%) of area residents to be targeted in the
proposed program are affected by the welfare reform legislation,
including AFDC/TANF recipients, legal immigrants, and disabled SSI
recipients.
(7) Accessible Community Facility(s)
The application must contain evidence (e.g., through a use
agreement) that a preponderance of the proposed activities will be
administered at community facilities in or within easy access of the
specific public housing development(s). These facilities must be
accessible to persons with disabilities. This may include deprogrammed
units, existing community space or off-site facilities, such as a
neighborhood school. If units have to be converted from dwelling use
into a community facility or a facility to be constructed, the co-
applicants must submit a plan for the conversion or construction that
provides for adequate resourcing and a time schedule. Only HHS funds
may be used for construction or renovation. If the proposed community
facility is to be provided by an entity other than the co-applicants,
the application must include an agreement with the proper authority
(owner or operator of the site) for use of the proposed facility. The
community facilities must be operational within nine (9) months of the
grant award. In the case of applications for programs to be implemented
for the primary benefit of residents in housing that is dispersed in a
rural setting, the co-applicants must provide evidence that
participants will have access to transportation to the facility that is
convenient. This community facility requirement also shall not apply to
reverse commute activities that provide transportation to jobs that are
distant from the dwellings of participants.
(8) Leveraging Other Resources (Matching Requirements)
(i) For HUD-sponsored funds, the application (including the
budget, narrative, and other Memoranda of Agreement (MOAs)) must
clearly evidence firm commitments for non-grant resources and services
equal to the HUD grant amount proposed in the application. These
resources and services can include commitments from HUD's Comprehensive
Grant, all other governmental units/agencies of any type and/or private
sources, whether for profit or nonprofit. However, current HUD/Economic
Development and Supportive Services and HHS/Community Services funds do
not qualify as a part of the match. The match amount may consist of a
monetary commitment of funds, such as in-kind or other types of
contributions. The remainder of the one for one match can consist of
personnel, space, and/or equipment.
(ii) For HUD, the following are OMB guidelines for valuing certain
types of in-kind contributions:
(A) The value of volunteer time and services shall be computed at a
rate of five 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 joint initiative is located;
[[Page 40649]]
(B) 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 information for comparable property similarly
situated not more than one-year old taken from the community where the
item or program is located, as appropriate.
(iii) No match is required for HHS funds. However, if a match is
included, third party in-kind contributions are defined as the value of
non-cash contributions provided by non-Federal third parties which may
be in the form of real property, equipment, supplies and other
expendable property, and the value of goods and services directly
benefitting and specifically identifiable to the project or program.
Also, grantees will be held accountable and a disallowance could result
from failure to meet match.
(9) PHMAP Score
An HA co-applicant must provide documentation that its last Public
Housing Management Assessment Program (PHMAP) score included an overall
``B'' average, as well as a ``C'' on Indicator #7, Resident Services
and Community Building, and a ``C'' on Indicator 6(a), Operating
Reserves. (See 24 CFR Part 901 published December 30, 1996.) If the
HA's most recent PHMAP score was based on the prior PHMAP regulation,
the HA must provide documentation that its overall score included an
overall ``B'' average, as well as a ``C'' on Indicator #11, Resident
Initiatives, and at least a ``C'' on Indicator #9, Operating Reserve.
No HA co-applicant designated as ``troubled'' as a result of its most
recent PHMAP score is eligible for this initiative.
(10) Audit Findings and Equal Opportunity
The co-applicants cannot have unresolved, outstanding audit
findings or fair housing and equal opportunity monitoring review
findings or field office (for HUD)/Regional office (for HHS) management
review findings related to discriminatory practices. In addition, the
co-applicants must be in compliance with civil rights laws and equal
opportunity requirements. Co-applicants will be considered to be in
compliance if:
(i) As a result of a formal administrative proceeding, there are no
outstanding findings of non-compliance with civil rights laws or the
co-applicants are operating in compliance with a Federally-approved
compliance agreement designed to correct the area(s) of non-compliance.
(ii) There is no adjudication of a civil rights violation in a
civil action brought against them by a private individual, or the co-
applicants demonstrate that they are operating in compliance with a
court order, or implementing a HUD-approved selection and assignment
plan or compliance agreement, designed to correct the area(s) of non-
compliance.
(iii) There is no deferral of Federal funding based on civil rights
violations.
(iv) HUD has no deferred application processing by HUD under Title
VI of the Civil Rights Act of 1964 942 U.S.C. 2000d-1) (Title VI), the
Attorney General's Guidelines (28 CFR 50.3) and HUD's Title VI
regulations (24 CFR 1.8) and procedures (HUD Handbook 8040.1) or under
Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794) (Section
504) and HUD's implementing regulations (24 CFR 8.57);
(v) There is no pending civil rights suit brought against the co-
applicants by the Department of Justice; and
(vi) There is no unresolved finding of discrimination against the
co-applicants issued under section 810 of the Fair Housing Act (24
U.S.C. 3601-3619), as implemented at 24 CFR 103.400.
(11) Automated Capability
The application must provide certification that the program will
include access to on-line computer/internet capability as a means of
communication with HUD on grant matters.
(12) Compliance With Current Programs
The co-applicants must provide certification that they are not in
default at the time of application submission with respect to
applicable grant programs funded by HUD and HHS. Such compliance may be
waived if the co-applicants provide sufficient evidence that any
aspects of non-compliance with prior grants were beyond their control,
such as a natural disaster.
(b) Selection Criteria
Each application for a grant award submitted in a timely manner, as
specified in this NOFA, that otherwise meets the threshold and other
requirements of this NOFA will be evaluated competitively using a point
scale. The number of points that an application receives will depend on
how well it addresses the selection factors described below. HUD and
HHS program components of the applications will be scored on the
following factors:
(1) FACTOR I: Quality of Planning for Community-Building/Economic
Development (maximum points: 40)
(i) Needs Assessment Report (maximum points: 5)
A description of the proposed target neighborhood containing a
socio-demographic profile of the residents, an economic assessment of
the area's business development and growth, and a brief discussion of
the current social problems, available resources and corresponding
service needs of the resident population. Up to five (5) points will be
awarded based on the quality and comprehensiveness of the needs
assessment document and its discussion of existing and potential
businesses and job opportunities in the community. In order to obtain
maximum points, this document must contain statistical data which
provides:
(A) A socio-economic profile of the eligible residents in
relationship to relevant jurisdictional and national data on the
following: AFDC/TANF, SSI, and other fixed income arrangements; in job
training or entrepreneurship and community services programs; in
resident owned businesses; and those employed. Specific information
should be provided on training, contracting and employment through the
HA.
(B) An assessment of the current economic situation in the target
area and within the surrounding community, including current economic
and job development strategies, and their current status and
effectiveness.
(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.
(D) A timetable of the proposed plan to address the needs
identified in the assessment report. The timetable should cover the
three-year period of the grant term and include the planning and
implementation phases of the support services to be provided to the
target population and how such services and objectives can be met in
the limited time frame.
(ii) Grant Plan Implementation Strategies (maximum points: 35)
A description of the co-applicants' proposed plan to address the
goals of the initiative within the target neighborhood within the grant
period. The score on this factor will be based on the viability and
comprehensiveness of the strategies proposed to meet the unmet need in
the following areas: economic development/job creation, including a
business plan, as well as welfare-to-work and other necessary
supportive services and strategies.
[[Page 40650]]
(A) Economic Development/Job Development Strategies (maximum
points: 10)
The score in this factor will be based on the extent and
comprehensiveness of economic development/job development strategies to
be provided. A high score will be received if there is a comprehensive
description of the economic and job development strategies with
accompanying business plan(s) that explains how the co-applicants' plan
provides the additional economic opportunities and creates new jobs for
targeted residents affected by welfare reform in the three-year time
frame of the grant program. Briefly, the plan should describe the key
work tasks and show how the project objectives will be accomplished
including the development of business and creation of jobs for welfare
recipients (AFDC/TANF) during the allowable OCS project period. It is
anticipated that co-applicants responding to this announcement will be
using existing economic development/business plans initiated under
other public or private developmental efforts (e.g., EZ/EC strategies)
rather than attempting to develop a completely new strategy. As a
result, the Business Plan Guideline in Appendix D is provided to assist
the co-applicants in assessing the completeness of the existing plans
rather than the development of new ventures in response to this
initiative.
(B) Supportive Services Strategies (maximum points: 6)
The score in this factor will be based on the comprehensiveness of
services that will be provided. A high score is received if there is a
comprehensive description of how the co-applicants' plan provides the
core services that specifically address the unmet resident needs to
successfully transition from welfare to work AFDC/TANF recipients. In
addition, the plan's description should discuss how the planned
supportive services relate to the existing economic and business
resources of the community, as identified in the needs assessment
report. To receive a high score, co-applicants should include case
management/counseling, job training/development/placement (and/or
business training/development/start-up), child care and transportation.
To obtain maximum points the services must be located in the community
facility(ies) (services may be provided at more than one community
facility) and be available on a 12-hour-day basis or as needed by the
eligible residents.
(C) Resident Contracting and Employment Strategies (maximum points:
5)
The score in this factor will be based on the extent to which
residents will achieve self-sufficiency through the HA co-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 or
contract with a substantial number of residents and a narrative
describing the number of jobs or contracts, as well as the training
processes related to the grant implementation plan.
(D) Work Incentive Strategies including Rent Reform and Occupancy
Incentives (maximum points: 4)
The score in this area will be based on the degree to which the co-
applicants have implemented or propose to implement or collaborate with
the State AFDC/TANF agency to implement work incentive initiatives
designed to promote resident self-sufficiency. These work incentives
could include, but are not limited to, rent strategies such as income
disregards, ceiling rents, rent escrows 1, occupancy
preferences for co-applicants who work or are in a self-sufficiency
program and stipends. A high score is received if the co-applicants can
show how various incentives, including but not limited to rent escrows
and/or occupancy preferences for co-applicants who work or who are in a
self-sufficiency program, complement other aspects of the program
implementation plan.
---------------------------------------------------------------------------
\1\ Unlike the FSS program, HUD will not subsidize the rent
escrows so that the PHA or some other source would need to fund the
escrow amounts.
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(E) Budget Appropriateness and Reasonableness (maximum points: 5)
Funds requested are commensurate with the level of effort necessary
to accomplish the goals and objectives of the project. The application
must include a detailed budget breakdown for each of the budget
categories prescribed in the standardized application forms. The co-
applicants must present reasonable administrative costs for each
component within a 15% cap as a guideline. The estimated cost to the
government of the project must also be reasonable in relation to the
anticipated results.
(F) Reasonableness of the Timetable (maximum points: 5)
The score in this factor will be based on the speed at which the
co-applicants can realistically accomplish the goals of the proposed
program. To receive a high score the co-applicant must demonstrate that
it will make substantial progress within the first six months after
grant execution, including putting staff in place, finalizing
partnership agreements, completing the development of requests for
proposals and achieving other milestones that are prerequisites for
implementation of the program. In addition, the co-applicants 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 36
months of the grant term.
(2) Factor II: Co-Applicant's Organizational Structure for
Administering Grant Activities (maximum points: 35)
In assessing this factor, the following will be considered:
(i) Proposed Program Staffing (maximum points: 5)
The score in this factor will be based on the extent to which the
co-applicants' proposed staffing in support of the program is suited to
accomplishing the program's objectives in terms of the appropriateness
of staff/consultant skills, assignments, and level of responsibility.
In order to receive a high score, the co-applicants must provide a
comprehensive description of who will provide the services and how the
services identified will be delivered. This should include an
organizational chart, proposed staff/other resources/consultants
proposed, and a discussion of coordination among various services
providers.
(ii) Program Administration (maximum points: 10)
The score in this factor will be based on the soundness of the
proposed management of the program. In order to receive a high score,
the application must contain a comprehensive description of the project
management structure, including the use of a grant manager. The
narrative must provide a description of how any other 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.
(iii) Fiscal Management (maximum points: 5)
The score in this factor will be based on the soundness of the co-
applicants' proposed fiscal management. In order to receive a high
score the co-applicants must provide a comprehensive description of the
fiscal management structure, including but not limited to budgeting,
fiscal controls and accounting as well as procedures for tracking the
contributions from the participating state and local public and private
partners. The application must explain the staff responsible for fiscal
[[Page 40651]]
management, and the processes and timetable for implementation during
the proposed grant period.
(iv) Program Evaluation (maximum points: 5)
The score in this factor will be based on the quality of the co
applicants' plan to assess the progress and success of the proposed
program from the inception of the program, during program
implementation, as well as at the end of the grant. In order to receive
a high score, the application must contain a comprehensive description
of the program evaluation system, including staff designated for the
program quality controls, performance measures, use of automated
systems for collecting the program data, and timetable for undertaking
this activity. The performance measures must be related to the specific
goals and objectives of the proposed program and could include but not
be limited to the following: the number of residents starting jobs or
entrepreneurship training programs, the number of residents
successfully completing job training, or starting businesses, the
number of residents receiving supportive services (specified by type of
service), the number of community facilities used for welfare to work
and other self-sufficiency/independence efforts, and the number of
community partnerships executed in support of self-sufficiency for
residents.
(v) Track Record (maximum points: 10)
The score in this factor will be based on each of the co-
applicants' prior performance in successfully carrying out grant
programs to assist residents in increasing their self-sufficiency and
in building a community economic base. Co-applicants with no prior
experience in operating programs that foster self-sufficiency and
economic development will receive a score of 0 on this factor.
(A) For the HA co-applicant (up to 5 points), prior performance
will include but not be limited to the following grant programs for the
HA co-applicant: the Family Investment Center Program (FIC), the Youth
Development Initiative under FIC, the Youth Apprenticeship Program, the
Apprenticeship Demonstration Program in the Construction Trades
Program, the Urban Youth Corps Program, the HOPE I Program, the Public
Housing Services Coordinator Program, the Public Housing Drug
Elimination program, the Youth Sports Program. Performance on the
Family Self-Sufficiency Program will be rated as well, whether or not
the PHA has received a grant for service coordination.
(B) For the CDC co-applicant (up to 5 points), prior performance
will include but not be limited to projects previously undertaken that
have provided permanent benefits to the low income population; whether
the co-applicant has demonstrated the ability to implement major
activities in such areas as business development, commercial
development, physical development, or financial services, and the
ability to mobilize dollars from sources such as the private sector
(corporations, banks, etc.), foundations, the public sector, including
State and local government, or individuals. The applicable grant
programs include the Discretionary and Job Opportunities for Low Income
Individuals (Joli) Grants. In order to receive a high score, the co-
applicant must demonstrate compliance and successful implementation of
any applicable grant programs (including those listed above).
(3) Factor III: Partnerships (maximum points: 25)
(i) Overall Partnerships (maximum points: 20)
The score in this factor will be based on the successful
integration of partners into implementation of the proposed joint
initiative. In order to receive a high score, the co-applicants must
provide signed Memoranda of Agreement (MOA)--or equivalent signed
documentation provided that it delineates the responsibilities of each
of the parties and the benefits they will receive--that delineate
specific partnerships related to the components in the grant
implementation plan. In assessing this factor, a number of aspects of
the proposed partnership will be examined 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;
(C) The extent of the commitment of the partners (such as, time,
resources, and funds); and
(D) The extent to which the partners, and the partnership as a
whole, addresses a broader level of unmet resident needs; and the
extent to which the addition of the partners provides the ability to
meet needs of the co-applicants that could not otherwise be met without
the partners.
(ii) EZ/EC Partnership (maximum points: 5)
The co-applicants will receive up to 5 points based on the criteria
specified under Factor III(i), above, if they show a partnership with
an EZ/EC organization.
(c) Selection Processing
(1) Corrections to Deficient Applications
After the submission deadline date, each application will be
screened to determine whether it is complete, consistent, and contains
correct computations.
(i) Co-applicants will be notified, in writing, of any curable
technical deficiencies in the application that must be completed before
the grant is awarded.
(ii) Curable technical deficiencies relate to items that:
(A) Are not necessary for review under threshold/selection
criteria/ranking factors; and
(B) Would not improve the quality of the co-applicant's program
proposal.
(C) An example of a curable technical deficiency would be the
failure of a co-applicant to submit a required assurance,
certification, co-applicant data form, summaries of written resident
comments, incomplete forms or lack of required signatures, appendices
and documentation referenced in the application or a computational
error based on the use of an incorrect number(s) such as incorrect unit
counts.
(iv) An example of a non-curable defect or deficiency would be a
missing SF-424A (Budget Information).
(2) Scoring
Each application that meets the requirements of this NOFA will be
evaluated jointly by the sponsoring Federal agencies using a review
process. Points will be awarded on the basis of the quality and
responsiveness of the application in addressing the selection criteria
for the program. Components will each be evaluated according to the
selection criteria in Part III, Section (b). The two scores will be
averaged and ranked on a national basis. Awards shall be made in ranked
order, until all funds are expended. HUD/HHS will select the highest
ranking applications that can be fully funded. However, in the event
Departments determine that the available funds exceed quality projects,
the Departments will not fund projects that are poor in quality.
(3) Post Selection Administration
(i) All awards will be made to fund fully an application, except as
follows: The co-sponsors may approve an application for an amount lower
than the amount requested, withhold funds after approval, adjust line
items in the proposed grant budget within the amount requested and/or
the grantee
[[Page 40652]]
will be required to comply with special conditions added to the grant
agreement, in accordance with 24 CFR 85.12 (HAs), as applicable, and
the requirements of this NOFA, or where:
(A) HUD/HHS determine that the amount requested for one or more
eligible activities is not supported in the application, and/or is
unreasonable or unnecessary;
(B) The application does not otherwise meet applicable cost
limitations established for the program;
(C) The co-applicants have requested an ineligible activity; an
activity proposed for funding does not qualify as an eligible activity
and can be separated from the budget;
(D) Insufficient amounts remain in that funding round to fund the
full amount requested in the application and HUD/HHS determines that
partial funding is a viable option; or
(E) For any other reason where good cause exists.
(ii) Grantees are required to attend a HUD/HHS sponsored training
specifically designated for grantees under this program. The sponsoring
Departments intend to offer this training session within four months of
grant award.
Part IV--General Grant Requirements
In addition to the requirements set forth in this NOFA, grantees
are responsible for ensuring that grant funds are administered in
accordance with all applicable laws and regulations, OMB circulars,
fiscal and audit controls, grant agreements, grant special conditions,
the grantee's approved budget (SF 424A), and supporting budget
narrative, plan and activity timetable. Applicable Federal laws include
but are not limited to those related to fair housing and equal
opportunity and the following:
(a) Grant Administration
The policies, guidelines, and requirements of the following apply
to this NOFA:
(1) For HAs and any governmental co-applicants/subgrantees/
partners: 24 CFR Part 85, OMB Circular A-87 and 24 CFR Part 44;
(2) For CDCs or other private non-profit grantees or co-applicants/
sub-grantees/partners: 45 CFR Part 74 and OMB Circulars A-110 or A-133;
and
(3) For-profit participants: 24 CFR Part 84 and Federal Acquisition
Requirements (FAR).
(b) Cost Principles
The cost principles of OMB Circulars A-87, A-21, A-110 or A-122, as
applicable to the specific entity incurring the cost, apply to co-
applicant grantees and subgrantees funded under this NOFA.
(c) Ineligible Contractors
The provisions of 24 CFR Part 24 (HA's) and 45 CFR Part 76 (CDC's)
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
apply to those co-applicant grantees and sub-grantees funded under this
NOFA.
(d) Freedom of Information Act
Applications submitted in response to this NOFA are subject to
disclosure under the Freedom of Information Act (FOIA), 5 U.S.C. 552.
(e) Grant Staff Personnel
For HUD grant purposes, all persons or entities compensated by
grants for services provided under a grant must meet all applicable
personnel or procurement requirements and shall be required, as a
condition of employment, to meet relevant State, local government,
insurance, training, licensing, civil rights, or other similar
standards and requirements.
(f) Grant Agreements
After an application has been approved, each co-applicant shall
enter into a Grant Agreement setting forth the amount of the grant and
its applicable terms, conditions, financial controls, payment mechanism
and special conditions, including sanctions for violation of the
agreement. Except as otherwise specified in the Grant Agreement, the
co-applicant's entire application, including but not limited to the
budget, timetable, and narrative will be incorporated in the Grant
Agreement.
(g) Duplication of Funds
Under OMB Cost Circulars (A-87, A-21, A-110, and A-122), grantees
may not duplicate funding from (i.e., charge the same costs to) this
joint grant and any other funding sources, although the costs of budget
line items may be shared between the grant and other funding sources in
accordance with allocation criteria in the applicable OMB Cost
Circular. Adequate financial controls must be in place to assure
compliance with these requirements.
(h) Risk Management
Co-Grantees 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. The following
requirements address these concerns:
(1) Insurance/Indemnification
Each grantee shall obtain adequate insurance coverage to protect
itself against any potential liability arising out of the eligible
activities under this part.
(2) Failure to Implement Program
If the grant plan, approved budget, and timetable, as described in
the approved application, are not operational within 90 days of the
grant agreement date, the grantee must report by letter to the
designated grant monitors in HUD/HHS the steps being taken to initiate
the plan and timetable, the reason for the delay, and the expected
starting date. Any timetable revisions that resulted from the delay
must be included. The designated monitors will determine if the delay
is acceptable, approve/disapprove the revised plan and timetable, and
take any additional appropriate action.
(3) Default
HUD/HHS may impose sanctions, subject to notice and the co-grantee
opportunity to respond/correct as described in the grant agreement if
the co-grantees:
(i) Are not complying with the requirements of this part or any
other Federal laws or requirements;
(ii) Fail to make satisfactory progress toward their program goals,
as specified in their plan and reflected in performance or financial
status reports or through other information available to the co-
sponsors;
(iii) Do not establish procedures that will minimize the time
lapsing between drawdowns and disbursements of funds (45 CFR
74.21(b)(5));
(iv) Do not adhere to grant agreement requirements or special
conditions;
(v) Propose substantial plan changes to the extent that, if
originally submitted, the application would not be selected for
funding;
(vi) Engage in improper award or administration of grant
subcontracts;
(vii) Do not submit reports; or
(viii) File false certification.
(4) Sanctions
The sanctions that may be imposed include but are not limited to:
(i) Temporarily withhold cash payments pending correction of the
deficiency by the grantees or subgrantee(s);
(ii) Disallow all or part of the cost of the activity or action not
in compliance;
(iii) Wholly or partly suspend or terminate the current award for
the co-grantees' program;
[[Page 40653]]
(iv) Require that some or all of the grant amounts be remitted to
HUD and/or HHS;
(v) Condition a future grant(s) and/or elect not to provide future
grant funds to the co-grantees until appropriate actions are taken to
ensure compliance;
(vi) Withhold future awards for the program; or
(vii) Take any other remedies that may be legally available.
(i) Treatment of Income
For policies pertaining to treatment of income for public housing
and Section 8 families, see 24 CFR, Part 5, Subpart F.
(j) Reports and Closeout
(i) Semi-Annual Reports
Each grantee (HA/CDC) shall submit to HUD/HHS, as applicable, a
semi-annual progress report and a Form 269 (CDC) in a format prescribed
by HUD and HHS that indicates program expenditures and measures
performance in achieving program milestones and goals. No grant
payments will be approved for grantees with overdue progress reports.
(ii) Final Reports and Closeout
As part of a grant closeout process, each joint grantee shall
submit to HUD and HHS a final report in a format prescribed by the
departments that reports final program expenditures and measures
performance in achieving program goals.
(iii) Audits and Closeouts
HUD/HHS will make maximum use of audits required under 24 CFR part
44 and 45 (HUD); 45 CFR 74.26 and 74.71 (HHS), as applicable in
conducting grant close-outs. At grant close-out, HUD grantees shall
make the last audit available to HUD with the final report. For OCS
grantees, a final audit report covering the total grant period will be
due in compliance with the requirements of OMB Circular No.
A-133.
Part V--Findings and Certifications
The following findings and certifications apply to this Initiative:
(a) Paperwork Reduction Act
The information collection requirements contained in this Notice
have been approved by the Office of Management and Budget under the
Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520), and assigned OMB
control numbers 2577-0211 (the ED/SS Program) and 0970-0062 (HHS/OCS
Program). 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.
(b) Environmental Impact
The HUD portions of this NOFA do not direct, provide for assistance
or loan or mortgage insurance for, or otherwise govern or regulate real
property acquisition, disposition, leasing, rehabilitation, alteration,
demolition, or new construction, or establish, revise or provide for
standards for construction or construction materials, manufactured
housing, or occupancy. Accordingly, under HUD's regulations in 24 CFR
50.19 (c) (l), the portion of this NOFA pertaining to HUD assistance is
categorically excluded from environmental review under the National
Environmental Policy Act of 1969, as amended (42 U.S.C. 4321).
(c) Federalism Executive Order
The General Counsel, as the Designated Official under Section 6(a)
of Executive Order 12612, Federalism, has determined that the policies
contained in this notice will not have substantial direct effects on
States or their political subdivisions, or the relationship between the
Federal government and the States, or on the distribution of power and
responsibilities among the various levels of government. As a result,
the notice is not subject to review under the Order. This notice
announces the availability of funds to HAs and CDCs to provide economic
development opportunities and supportive services to assist residents
of public housing and other low-income families in the surrounding
neighborhood to become economically self-sufficient, and, thus could
benefit families significantly.
(d) Prohibition of Advance Disclosure of Funding Decisions
HUD's regulation implementing Section 103 of the Department of
Housing and Urban Development Reform Act of 1989, codified as 24 CFR
part 4, subpart B, applies to the funding competition announced today.
The requirements of the rule continue to apply until the announcement
of the selection of successful co-applicants. All persons including HUD
and other Federal employees involved in the review of applications and
in the making of funding decisions are prohibited 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 co-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. Co-applicants or Federal
employees who have ethics related questions should contact the HUD
Ethics Law Division (202) 708-3815. (This is not a toll-free number.)
(e) Section 102 HUD Reform Act--Documentation and Public Access
Requirements
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 B, contain a number of provisions that are designed
to ensure greater accountability and integrity in the provision of
certain type 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:
(i) Documentation and public access requirements
HUD/HHS 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 5-year period beginning not less
than 30 days after the award of the assistance. Material will be made
available not less than 30 days after the award of the assistance.
Materials 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/HHS will include the recipients of
assistance pursuant to this NOFA in its Federal Register notice of all
recipients of assistance awarded on a competitive basis.
(ii) Disclosures
HUD will make available to the public for five years all co-
applicant disclosure reports (HUD Form 2880) submitted in connection
with this NOFA. Updated reports (also Form 2880) will be made available
along with the co-applicant disclosure reports, but in no case for a
period less than three years. All reports--both co-applicant disclosure
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.
[[Page 40654]]
(f) Prohibition Against Lobbying Activities
Co-applicants for funding under this NOFA 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. Section 1352
(the Byrd Amendment) and to the provisions of the Lobbying Disclosure
Act of 1995, P.L. 104-65 (December 19, 1995). The Byrd Amendment, which
is implemented in regulations at 24 CFR part 87, prohibits applicants
for Federal contracts and grants from using appropriated funds to
attempt to influence Federal Executive or legislative officers or
employees in connection with obtaining such assistance, or with its
extension, continuation, renewal, amendment or modification. The Byrd
Amendment applies to the funds that are the subject of this NOFA.
Therefore, co-applicants must file a certification stating that they
have not made and will not make any prohibited payments and, if any
payments or agreement to make payments of nonappropriated funds for
these purposes have been made, a form SF-LLL disclosing such payments
must be submitted. The certification and the SF-LLL are included in the
application package. The Lobbying Disclosure Act of 1995, P.L. 104-65
(December 19, 1995), which repealed Section 112 of the HUD Reform Act
and resulted in the elimination of the regulations at 24 CFR Part 86,
requires all persons and entities who lobby covered Executive or
Legislative Branch officials to register with the Secretary of the
Senate and the Clerk of the House of Representatives and file reports
concerning their lobbying activities.
Co-applicants must provide a certification concerning Lobbying.
Prior to receiving an award in excess of $100,000, co-applicants shall
furnish an executed copy of the lobbying certification. Co-applicants
must sign and return the certification with their applications.
Co-applicants must fill out, sign and date form SF-LLL, Disclosure
of Lobbying Activities, if applicable.
(g) Intergovernmental Review
The HHS programs are covered under Executive Order 12372,
``Intergovernmental Review of Federal Programs.'' Under the Order,
States may design their own processes for reviewing and commenting on
proposed Federal assistance under covered programs. The HHS program is
also subject to 45 CFR Part 100, ``Intergovernmental Review of
Department of Health and Human Services Programs and Activities.''
All States and Territories except Alabama, Alaska, American Samoa,
Colorado, Connecticut, Hawaii, Idaho, Kansas, Louisiana, Massachusetts,
Minnesota, Montana, Nebraska, New Jersey, Oklahoma, Oregon, Palau,
Pennsylvania, South Dakota, Tennessee, Vermont, Virginia and Washington
have elected to participate in the Executive Order process and have
established Single Points of Contact (SPOCs). Co-applicants from these
twenty-three jurisdictions need take no action regarding E.O. 12372.
Co-applicants should contact their SPOCS as soon as possible to alert
them of the prospective applications and receive any necessary
instructions. Co-applicants must submit any required material to the
SPOCs as soon as possible so that the program office can obtain and
review SPOC comments as part of the award process. It is imperative
that the co-applicant submit all required materials, if any, to the
SPOC and indicate the date of this submittal (or the date of contact if
no submittal is required) on the Standard Form 424, item 16a.
Under 45 CFR 100.8(a)(2), a SPOC has 60 days from the application
deadline date to comment on proposed new or competing continuation
awards.
SPOCs are encouraged to eliminate the submission of routine
endorsements as official recommendations. Additionally, SPOCs are
requested to clearly differentiate between mere advisory comments and
those official State process recommendations which they intend to
trigger the ``accommodate or explain'' rule.
When comments are submitted directly to ACF, they should be
addressed to: Department of Health and Human Services, Administration
for Children and Families, Division of Discretionary Grants, 370
L'Enfant Promenade, SW., Mail Stop 6C-462, Washington, DC 20447.
(h) Standard Form 424
The application must contain a Standard Form 424 ``Application for
Federal Assistance'' (SF-424) for each co-applicant. The SF 424 must be
signed by an official of the CDC and HA applying for the grant who has
authority to obligate the organization legally.
(i) Standard Form 424A
The application must contain Standard Form 424A ``Budget
Information--Non Construction Programs'' (SF 424A) for each co-
applicant.
(j) SF-424B ``Assurances-Non-Construction''
All co-applicants, whether or not the project involves
construction, must file the Standard Form 424B, ``Assurances: Non-
Construction Programs.'' Co-applicants must sign and return the
Standard Form 424B. The SF 424B must be signed by an official of the
CDC and HA applying for the grant who has authority to obligate the
organization legally.
(k) Certification Regarding Debarment, Suspension, and Other
Responsibility Matters--Primary Covered Transactions
Co-applicants must make the appropriate certification. By signing
and submitting the applications, co-applicants are providing the
certification regarding Debarment, Suspension, and Other Responsibility
Matters--Primary Covered Transactions and need not mail back the
certification with their application.
(l) Certification Regarding Environmental Tobacco Smoke
CDC Co-applicants must make the appropriate certification of their
compliance with the Pro-Children Act of 1994. By signing and submitting
the applications, co-applicants are providing the certification
regarding environmental tobacco smoke and need not mail back the
certification with their applications.
(m) Certification Regarding Drug-Free Workplace Requirements
OCS applicants must fill out and return this form.
(n) Catalog of Federal Domestic Assistance Numbers
The Catalog of Federal Domestic Assistance Number for the HUD
Economic Development and Supportive Services Program is 14.853; and for
the HHS Community Services is 93.570.
Dated: July 23, 1997.
Kevin Emanuel Marchman,
Acting Assistant Secretary for Public and Indian Housing, Department of
Housing and Urban Development.
Donald Sykes,
Director, Office of Community Services, Department of Health and Human
Services.
Appendix A
Application Checklist
Threshold Requirements
The application MUST address the following requirements in order
for it to be accepted for further consideration.
[[Page 40655]]
Application
page
number(s)
1. Joint Application (HA-CDC MOA).......................... __________
2. Needs Assessment........................................ __________
3. Grant Implementation Plan............................... __________
Business Plan............................................ __________
4. Partnerships............................................ __________
Business/Industry........................................ __________
Residents................................................ __________
Welfare and Child Care Plans............................. __________
Boys & Girls Club (optional)............................. __________
Other (optional)......................................... __________
5. Evidence that 100% of Target Participants are Affected
by Welfare Reform......................................... __________
6. Accessible Community Facility (including Use Agreement). __________
7. Leveraging of Other Resources........................... __________
8. Compliance with Current Programs........................ __________
9. Evidence of Automated Capability........................ __________
10. Audit Findings and Equal Employment Opportunity
Certifications............................................ __________
11. PHMAP Score Requirements (HA only)..................... __________
Selection Factors
HA and CDC components will each be rated and scored on the
following factors.
Application
page
number(s)
1. Quality of Planning for Community Building/Economic
Development:
A. Economic/Job Development.............................. __________
B. Supportive Services................................... __________
C. Resident Contracting/Employment....................... __________
D. Work Incentives....................................... __________
E. Budget Appropriateness/Reasonableness................. __________
F. Reasonableness of Timetable........................... __________
2. Co-Applicant Capability/Organizational Structure for
Grant Administration:
A. Staffing.............................................. __________
B. Program Administration................................ __________
C. Fiscal Management..................................... __________
D. Program Evaluation.................................... __________
E. Track Record.......................................... __________
3. Resident and Other Partnerships:
A. Overall Partnerships.................................. __________
B. EZ/EC Partnerships.................................... __________
Required certifications and assurances HA CDC
1. Application Form (SF 424 and 424A)............. ______ ______
2. Proof of CDC's non-profit status evidenced by
a copy of the CDC's listing in the Internal
Revenue Services (IRS) most recent list of tax-
exempt organizations described in section
501(c)(3) of the IRS Code, or by a copy of a
currently valid IRS tax-exemption certificate,
or by a copy of the Articles of Incorporation
bearing the Seal of the State in which the
corporation or association is domiciled; And
proof of CDC status evidenced by providing the
purposes section of the Articles of
Incorporation and a list of the current Board
of Directors' names, titles and addresses,
copies of resumes of the project director and
other key management team members, written
agreements, coordination with AFDC/TANF, etc.
and Single Point of Contact comments (where
applicable).................................... ________ ________
3. Assurances for Non-Construction Programs (424B) ________ ________
4. a. Certification for a Drug-Free Workplace
(HUD-2880)..................................... ________ ________
b. Lobbying Disclosure Update Report (HUD-2880). ________ ________
c. Disclosure of Lobbying Activities (SF-LLL)... ________ ________
d. Certification Regarding Drug-Free Workplace
Requirements................................... ________ ________
e. Certification Regarding Lobbying, Debarment,
Suspension, etc., and Drug-Free Workplace
Requirements................................... ________ ________
Appendix B
Program Elements for the Joint HHS/HUD Initiative
Community Partnerships for Economic Uplift and Economic Development
A. Program Elements
Following is a description of key program elements in this joint
initiative.
1. Comprehensive Service Center
The comprehensive human service center is the focal point of
this initiative. It is a neighborhood-based facility located within
or adjacent to a public housing facility. It contains an array of
redeployed public and private resources to support the housing
residents, AFDC/TANF recipients and other low-income individuals in
the area. It provides social, health, education, vocational,
employment readiness, child care, transportation and other
appropriate services and resources important to assisting residents
and others achieve self sufficiency.
2. Job Creation/Employment Readiness
In order to induce a business/industry to locate in the public
housing community setting it is essential that the target
population, that will constitute the labor pool, be prepared to
compete for and effectively function in the available positions
offered by the host businesses/industries. Important to the adequate
preparation of the resident population is a clear understanding of
the businesses'/industries' labor capability requirements. These
should be articulated in an education and performance standards
document that stipulates what preparatory training the industry
requires for an eligible employment pool. The public agency would be
responsible for providing the necessary training and certifying the
readiness of the candidates for employment.
There is a critical need for a highly focused and intensive
remedial and vocational education and employment readiness capacity
to meet the demands for qualified labor by the specific industry.
This often requires upgrading existing remedial and vocational
education training to more effectively address the education and
performance standards. In addition, it requires coordination with a
variety of support services.
3. Incentive Package
In order to attract appropriate businesses and industries the
cities will have to provide an incentive package. The incentive
package could include:
Cost or rent free land/buildings to locate operations;
[[Page 40656]]
Local and state tax abatement packages related to land,
equipment, products, utilities, etc.;
Assistance in developing and/or renovating the physical
facilities and the affected transportation arteries and systems;
Assistance in obtaining low interest loans to purchase
equipment and inventory;
Increased law enforcement to ensure the safety of the
employees and the property;
Preparation and support of the resident work-force
through a comprehensive education/service center on or adjacent to
the work site;
Provision of public/private salary support packages
involving the use of TANF/child care and other program resources as
well as Labor's employment and training funds.
4. Entrepreneurial Development
The comprehensive service delivery centers should provide
directly or through linkage to the Small Business Administration's
Small Business Development Centers assistance to residents and local
organizations interested in entrepreneurial efforts, such as,
establishing small businesses in the area. The assistance could
focus on financing, marketing , production, organization,
engineering and technical problems and feasibility studies as well
as venture capital formation. The business development could be
designed to support a broad variety of individual and corporate
needs such as child care, transportation, grocery stores, grounds
and equipment maintenance, restaurants, cleaners and other related
services.
5. Leveraging Resources
The participating communities would be expected to dedicate a
variety of public and private human, financial and material
resources to implement the comprehensive service centers and the
economic development and revitalization efforts.
In order to effectively package the economic development plan it
will be essential that the community leverage considerable public
and private financial resources and taxes and other incentives to
induce significant private investment. This will require close
coordination with existing economic development strategies and
tactical efforts with the city and county governments as part of an
Empowerment Zone and Enterprise Community effort or similar venture.
Appendix C
Developing a Child Care System
Child Care is an essential component of economic and community
development. Parents cannot seek and maintain employment or training
unless they have adequate child care arrangements for their
children. In order to meet the needs of housing residents, the Child
Care Bureau is urging housing authorities to create systems of
quality child care that are readily accessible and affordable. Below
are some key elements to creating child care systems.
A. Needs Assessment
In order to determine the appropriate level of need in the
community, co-applicants should conduct a needs assessment of child
care demand and supply. Such an assessment should be conducted in
consultation with an expert on low-income child care needs such as a
local Child Care Resource and Referral Agency, or a non-profit
organization. The assessment would evaluate the services currently
available in close proximity to the housing site, child care
information resources, the training opportunities for residents
entering or currently employed in child care, and the corresponding
demand. Assessments of demand and supply should include breakdowns
by age, type of care, and hours of care.
B. Plan
A plan should then be developed to address the findings of the
needs assessment. This plan should include what type of services or
job opportunities co-applicants will provide or help coordinate, to
meet need. The plan should outline ways to provide child care
consumer education, linkages with other services, training
opportunities and provider support, jobs and direct services in
either centers or family day care homes. All planned services must
meet State, county, and city regulatory requirements to ensure that
children are in safe and healthy child care environments. It is
suggested that co-applicants also consult an expert to develop a
plan, for instance before completing a use agreement; there is a
need to assure the dedicated space will comply with child care
licensure and other needs.
C. Coordination
Coordination with the State Child Care Administrator is
necessary to be able to secure funding for services, ensure the
satisfaction of health and safety standards, and to be eligible for
technical assistance. The co-applicant should obtain commitment from
the State Child Care Administrator, and work closely with state and
local agencies to conduct the needs assessment and develop the plan.
Appendix D
Guidelines of a Business Plan
The business plan is an essential component to determine the
feasibility of the economic development/job development ventures
being proposed under this joint initiative and will be rated and
ranked under that component of the grant implementation plan. As
noted previously in this announcement, it is assumed that the
business plan or plans that will be included in response to this
solicitation will have been developed previously as part of other
public or private development ventures. The specific business plan
must address all the relevant elements as follows:
(a) The Business and Its Industry: This section should describe
the nature and history of the business and provide some background
on its industry.
(b) Products and Services: This section deals with the
following:
(i) Description: Describe in detail the products or services to
be sold;
(ii) Proprietary Position: Describe proprietary features if any
of the product, e.g., patents, trade secrets; and
(iii) Potential: Features of the product or service that may
give it an advantage over the competition.
(c) Market Research and Evaluation: This section should present
sufficient information to show that the product or service has a
substantial market and can achieve sales in the face of competition.
(d) Marketing Plan: The marketing plan should detail the
product, pricing, distribution, and promotion strategies that will
be used to achieve the estimated market share and sales projections.
The marketing plan must describe what is to be done, how it will be
done and who will do it. The plan should address the following
topics--Overall Marketing Strategy, Packaging, Service and Warranty,
Pricing, Distribution and Promotion.
(e) Design and Development Plans: If the product, process or
service of the proposed venture requires any design and development
before it is ready to be placed on the market, the nature and extent
and cost of this work should be fully discussed. The section should
cover items such as Development Status and Tasks, Difficulties and
Risks, Product Improvement and New Products, and Costs.
(f) Manufacturing and Operations Plan: A manufacturing and
operations plan should describe the kind of facilities, plan
location, space, capital equipment and labor force (part and/or full
time and wage structure) that are required to provide the company's
product or service.
(g) Management Team: The management team is the key in starting
and operating a successful business. The management team should be
committed with a proper balance of technical, managerial and
business skills, and experience in doing what is proposed. This
section must include a description of: the key management personnel
and their primary duties; compensation and/or ownership; the
organizational structure; Board of Directors; management assistance
and training needs; and supporting professional services.
(h) Overall Schedule: A schedule that shows the timing and
inter-relationships of the major events necessary to launch the
venture and realize its objectives. Prepare, as part of this
section, a month-by-month schedule that shows the timing of such
activities as product development, market planning, sales programs,
and production and operations. Sufficient detail should be included
to show the timing of the primary tasks required to accomplish each
activity.
(i) Critical Risks and Assumptions: The development of a
business has risks and problems and the Business Plan should contain
some explicit assumptions about them. Accordingly, identify and
discuss the critical assumptions in the Business Plan and the major
problems that will have to be solved to develop the venture. This
should include a description of the risks and the critical
assumptions relating to the industry, the venture, its personnel,
the product's market appeal, and the timing and financing of the
venture.
(j) Community Benefits: The proposed project must contribute to
economic, human and community development within the
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project's target area. A section that describes and discusses the
potential economic and non-economic benefits to low-income members
of the community must be included as well as a description of the
strategy that will be used to identify and hire individuals being
served by public assistance programs and how linkages with community
agencies/organizations administering the AFDC/TANF program will be
developed.
(k) The Financial Plan: The Financial Plan is basic to the
development of a Business Plan. Its purpose is to indicate the
project's potential and the timetable for financial self-
sufficiency. In developing the Financial Plan, the following
exhibits must be prepared for the first three years of the business'
operation:
(i) Profit and Loss Forecasts--quarterly for each year;
(ii) Cash Flow Projections--quarterly for each year;
(iii) Pro Forma Balance Sheets--quarterly for each year.
Also, additional financial information for the business
operation that must be included is an initial Source and Use of
Funds Statement for project funds and a brief summary paragraph
discussing any further capital requirements and their sources.
Applications which propose to use the requested HHS/OCS funds to
make an equity investment or a loan to a business concern, including
a wholly-owned subsidiary, or to make a sub-grant with a portion of
the HHS/OCS funds, must include a written agreement between the
community development corporation and the recipient of the grant
funds.
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[FR Doc. 97-19917 Filed 7-24-97; 1:06 pm]
BILLING CODE 4210-33-C
