[Federal Register Volume 64, Number 153 (Tuesday, August 10, 1999)]
[Notices]
[Pages 43530-43549]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-20429]
[[Page 43529]]
_______________________________________________________________________
Part V
Department of Housing and Urban Development
_______________________________________________________________________
Notice of Funding Availability: Resident Opportunities and Self
Sufficiency (ROSS) Program; Notice
Federal Register / Vol. 64, No. 153 / Tuesday, August 10, 1999 /
Notice
[[Page 43530]]
DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
[Docket No. FR-4520-N-01]
Notice of Funding Availability: Resident Opportunities and Self
Sufficiency (Ross) Program (Formerly Economic Development and
Supportive Services, Tenant Opportunities Program and Public Housing
Service Coordinators)
AGENCY: Office of Public and Indian Housing, HUD.
ACTION: Notice of funding availability (NOFA).
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SUMMARY:
Purpose of Program
The purpose of ROSS is to link services to public and Indian
housing residents by providing grants for supportive services, resident
empowerment activities and activities to assist residents in becoming
economically self-sufficient.
Available Funds
Approximately $66.6 million is being made available for the ROSS
Program under this NOFA.
Eligible Applicants
Grants may be made to Public Housing Agencies (PHAs) on behalf of
public housing residents, or directly to resident management
corporations, resident councils, or resident organizations (including
nonprofit entities supported by residents). Intermediary Resident
Organizations (IROs) and those non-profits that operate associations
and networks that administer programs benefiting public and assisted
resident organizations are also eligible recipients for ROSS funding
categories where specifically noted in this NOFA. Indian Tribes
(Tribes) and Tribally designated housing entities (TDHEs) are eligible
for grants under the Technical Assistance/Training Support for Resident
Organizations and Resident Service Delivery Models (RSDM) funding
categories.
Application Deadline
Completed applications (one original and two copies) must be
submitted by the time described in section I. of this NOFA, below, on:
October 12, 1999 for Resident Management and Business Development;
October 12, 1999 for Capacity Building and/or Conflict Resolution;
November 8, 1999 for Resident Service Delivery Models; and September 9,
1999 for Service Coordinators.
Match
All grants require a match of at least 25% of the grant amount.
This match does not have to be a cash match. It can be in-kind and/or
cash contributions.
Additional Information
If you are interested in applying for funding under any of these
programs, please review carefully the following information.
I. Application Due Date, Application Kits, Further Information and
Technical Assistance
Application Due Date
Except for the Resident Service Delivery Models funding category,
eligible applications will be funded on a first-come, first-served
basis, and applicants are urged to make their submissions as soon as
possible before the due dates listed above.
(1) Mailed Applications (Other than Overnight or Express Mail Delivery)
Your application will be considered timely filed if postmarked
before midnight, local time, on the application due date and received
on or within ten (10) days of the application due date.
(2) Applications Sent by Overnight/Express Mail Delivery
Applications sent by overnight delivery or express mail will be
considered timely filed if received before or on the application due
date, or upon submission of documentary evidence that they were placed
in transit with the overnight delivery service by no later than the
specified application due date.
(3) Hand Carried Applications
Applications must be delivered by 6:00 pm local time on the due
date. Hand carried applications will be accepted during normal business
hours before the application due date. On the application due date,
business hours will be extended to 6:00 pm.
Address for Submitting Applications
By the application due date an original and one copy of the
application must be received at the Grants Management Center (GMC); one
copy must be received at the local Field Office with delegated public
or assisted housing responsibilities attention: Director, Office of
Public Housing, or, in the case of Indian Tribes/TDHEs, an original and
one copy to ONAP, Denver Program Office, 1999 Broadway, Suite 3390,
Denver, CO 80202. Applications, other than those from Tribes/TDHEs,
should be sent to the GMC at the following address: Grants Management
Center, Attention: Director, 501 School Street, SW, Suite 800,
Washington, DC 20024. A list of HUD Field Offices is included in the
application kit for this NOFA.
For Application Kits
For an application kit and any supplemental information please call
the PIH Information and Resource Center at 1-800-955-2232. Persons with
hearing or speech impairments may call the Center's TTY number at 1-
800-HUD-2209. The application kit also will be available on the
Internet through the HUD web site at http://www.hud.gov. When
requesting an application kit, please refer to ROSS and provide your
name, address (including zip code), and telephone number (including
area code).
For Further Information and Technical Assistance
For answers to your questions, you have several options. For ROSS
and any of its funding categories, you may call the local HUD field
office with delegated responsibilities over the pertinent housing
agency/authority. Answers may also be obtained by calling the Public
and Indian Housing Information and Resource Center at 1-800-955-2232.
Information on this NOFA may also be obtained through the HUD web site
on the Internet at http://www.HUD.gov.
II. Amount Allocated
(A) Total Amount
Approximately $66.6 million in funding is being made available
under this NOFA. This amount is comprised of approximately $40 million
from the Departments of Veterans Affairs and Housing and Urban
Development, and Independent Agencies Appropriations Act, 1999, (Pub.
L. 105-276, 112 Stat. 2461, approved October 21, 1998), (FY 1999
Appropriations Act), and approximately $26.6 million of carryover funds
from the Departments of Veterans Affairs and Housing and Urban
Development and Independent Agencies Appropriations Act, 1998 (Pub. L.
105-65, 111 Stat. 1344, approved October 27, 1997), (FY 1998
Appropriations Act).
(B) Allocation
To the extent that there are a sufficient number of qualified
applications, not less than 25% percent of funds available for ROSS
shall be provided directly to resident councils, resident
organizations, and resident management corporations. This requirement
will be implemented by the awards made to resident organizations for
the Technical Assistance/Training
[[Page 43531]]
Support for Resident Organizations and the Resident Service Delivery
Models funding categories.
III. General Program Description; Funding Categories
(A) General Program Description
The Quality Housing and Work Responsibility Act of 1998 (the Public
Housing Reform Act) (title V of the FY 1999 Appropriations Act)
institutes various public housing reforms aimed at creating mixed
income communities. Reforms contained in the Public Housing Reform Act
will: reduce the costs of public and assisted housing by streamlining
regulations; facilitate the formation of local partnerships; leverage
State, local, and private resources; and uphold and protect residents'
right to organize and empower themselves to improve their own
communities. Specific provisions grant Public Housing Agencies (PHAs)
increased flexibility to develop local situations to address housing
needs, but they are required to use that flexibility to better serve
their residents by creating healthier, more economically integrated
communities. Several initiatives are intended to enhance the quality of
life for public housing residents while promoting self-sufficiency and
personal responsibility in communities.
Section 538 of the Public Housing Reform Act adds a new section 34
to the United States Housing Act of 1937 which provides a mandate to
link services and public housing residents for economic self-
sufficiency. The Resident Opportunities and Self Sufficiency (ROSS)
Program responds to this initiative by redefining, restructuring and
consolidating certain aspects of previous programs while incorporating
objectives contained in the Public Housing Reform Act.
The newly enacted legislative authority formally recognizes a vital
connection between providing housing delivery and other services that
are necessary for improvements in the quality of life for public
housing residents. Through ROSS the Department will programmatically
address essential links of services to public housing residents. The
purpose of ROSS is to provide linkages to public housing residents by
providing supportive services, resident empowerment activities and
assisting residents in becoming economically self-sufficient. This
program purpose is consistent with the Department's goal to most
effectively focus resources on ``welfare to work'' and on independent
living for the elderly and persons with disabilities. HUD believes that
it is imperative that housing authorities and residents work together
to meet the challenge of welfare reform.
Under the ROSS Program, priority will be given to funding those
models that are successful models and may have proven themselves on a
limited basis in practical situations. The ROSS Program seeks to
provide assistance to implement practical solutions within the grant
term, thereby delivering results in the form of improved economic self-
sufficiency for public housing residents. This philosophy should be
reflected in the proposed grant activities for all funding categories
within the ROSS program.
As indicated in section II., above, of this NOFA, the funding
sources for this first ROSS Program NOFA are the FY 1997 Appropriations
Act, the FY 1998 Appropriations Act and the FY 1999 Appropriations Act,
specifically, from funds made available under these Acts for Economic
Development and Supportive Services (EDSS), the Tenant Opportunities
Program (TOP), and Public Housing Service Coordinators. HUD has
determined that these programs are sufficiently similar to the new ROSS
Program under section 34 of the 1937 Act to permit the funds
appropriated for them to be made available under ROSS. However, the
specific statutory provisions under the FY 1997, 1998 and 1999
Appropriations Acts that apply to the use of these funds must still be
observed, even though they do not appear in section 34. For example,
Indian Tribes and TDHEs are eligible for funding under the FY 1998 and
1999 Appropriations Acts, and they are eligible under this NOFA
although section 34 does not mention them. Similarly, the provisions in
this NOFA that Section 8 recipients may be among those participating or
receiving benefits are taken from the Appropriations Acts; section 34
only permits public housing residents, not Section 8 recipients, to
participate and receive benefits. HUD anticipates that funding in
subsequent appropriations acts will be specifically targeted for
section 34, and the ``blending'' of requirements to address statutory
provisions, as in this NOFA, will not be necessary.
(B) Funding Categories
The following are funding categories under ROSS:
(1) Technical Assistance/Training Support for Resident Organizations
(a) Resident Management and Business Development. Resident
Management and Business Development grants will be made directly to
resident organizations and to Tribes/TDHEs that partner with Tribal
resident organizations (ROs) and Tribal resident management
corporations (RMCs) to: increase resident involvement and participation
in their housing developments; develop resident management
opportunities; provide resident-led business or cooperative development
opportunities; and obtain necessary supportive services for self-
sufficiency. (See section IV.(A) of this NOFA for a specific
requirements for this funding category.)
(b) Resident Capacity Building and/or Conflict Resolution. The
Resident Capacity Building funding category provides grants to
Intermediary Resident Organizations (IROs) on behalf of public housing
residents, which include Public Housing Site-Based Resident Councils;
Resident Management Corporations; and Tribes/TDHEs on behalf of tribal
housing residents, Tribal ROs and Tribal RMCs; and those non-profits
which operate associations and networks that administer programs that
benefit public and Tribal housing resident organizations, for
assistance to site-based resident associations who do not yet have the
capacity to administer a welfare-to-work program or conduct management
activities. The funds will be used to help establish new resident
organizations or enhance the capacity of existing organizations to
enable them to participate in housing agency decision-making, manage
all or a portion of their developments, and/or apply for and administer
grants. (See section IV.(B) of this NOFA for specific requirements for
this funding category). The Conflict Resolution (CR) funding category
provides assistance to Intermediary Resident Organizations (IROs),
Tribes/TDHEs that partner with Tribal resident organizations and Tribal
resident management corporations, and those non-profits which operate
associations and networks that administer programs that benefit public
and Tribal housing resident organizations, to partner with professional
mediators to resolve conflicts involving public housing residents,
tribal housing residents, and/or site-based resident associations. (See
section IV.(B) of this NOFA for a specific requirements for this
funding category.)
(2) Resident Service Delivery Models
The Resident Service Delivery Models (RSDM) funding category
provides grants to Public Housing Agencies (PHAs), Indian Tribes and
Tribally designated housing entities (TDHEs) on behalf of public and
Tribal housing residents, or directly to resident management
corporations, resident
[[Page 43532]]
councils, or resident organizations, including nonprofit entities
supported by residents. There are two types of grants: (1) Family--
program related and supportive services to establish and implement
comprehensive programs that achieve resident self-sufficiency for
families, or (2) Elderly and Disabled--independent living for the
elderly and persons with disabilities. (See section V. of this NOFA for
a specific requirements for this funding category.)
(3) Service Coordinator Renewals
The Service Coordinator grant category provides resources to PHAs
to address the needs of public housing residents who are elderly and
disabled persons. Service coordinators help residents obtain supportive
services that are needed to enable independent living. Only renewals of
prior Public Housing Elderly and Disabled Service Coordinator grants
will be funded under this NOFA; no applications for new Service
Coordinator grants will be accepted. (See section VI. of this NOFA for
a specific requirements for this funding category.)
(C) Number of Applications Permitted
Each applicant may submit no more than one application under this
NOFA. The only exception is that applicants for Service Coordinator
Renewal grants under section VI. of this NOFA may also apply in one
additional funding category. To avoid a duplication of funding, in any
funding category listed here (Resident Management and Business
Development; Capacity Building, Conflict Resolution; Resident Service
Delivery Models--Family, Resident Service Delivery Models--Elderly/
Disabled), there may be no more than one application per PHA
development. (i.e., a PHA and one of its RAs may not both successfully
submit an application for a Resident Service Delivery Models'Family
grant to serve the same development.)
IV. Technical Assistance/Training Support for Resident
Organizations
(A) Resident Management and Business Development
(1) Program Description
These grants are available to establish and strengthen
organizational capacity for site-based resident associations that do
not have the capacity to administer a welfare-to-work program or
conduct management activities.
(2) Amount Allocated
(a) A total of $6 million, of which $500,000 is for Tribes/TDHEs
that partner with Tribal ROs and Tribal RMCs, is being made available
for awards to qualified applicants for Resident Management and Business
Development (RMBD) grants.
(b) Maximum Grant Award for this funding category shall be $100,000
per applicant.
(3) Eligible Applicants
Site-Based Resident Associations (RAs), City-Wide Resident
Organizations (CWROs), and Tribes/TDHEs that partner with Tribal ROs
and Tribal RMCs. If an RA is a beneficiary or recipient of proposed
grant activities by a CWRO, then that RA cannot also apply under this
category. Previous TOP grantees must demonstrate that they have spent
at least 75 percent of any prior grant by the publication date of this
NOFA. Applications from a Tribe or TDHE must include a Memorandum of
Understanding (MOU) (see section IV.(A)(8)(b), below, of this NOFA)
with the Tribal RO or RMC.
(4) Eligible Participants
For applications that are not from a Tribe or TDHE, at least 75
percent of the persons participating and receiving benefits from RMBD
activities must be residents of conventional public housing; any other
persons (up to 25 percent per grantee) participating or receiving
benefits from these programs must be recipients of Section 8
assistance. In addition, all applicants must provide evidence that at
least 51 percent of those served by the activities are households
affected by welfare reform.
(5) Eligible Activities
Under this funding category funds may be used for the activities
described below.
(a) Training related to resident-owned business or cooperative
development and technical assistance for job training and placement in
RMC developments;
(b) Technical assistance and training in resident managed business
development through: feasibility and market studies; development of
business plans; outreach activities; and innovative financing methods
including revolving loan funds and the development of credit unions;
and legal advice in establishing a resident-managed business entity or
cooperative.
(c) Establishing and funding revolving loan funds;
(d) Training residents, as potential employees of an RMC, in skills
directly related to the operation, management, maintenance and
financial systems of a development;
(e) Training residents with respect to fair housing requirements;
and
(f) Gaining assistance in negotiating management contracts and
designing a long-range planning system.
(g) Providing social support needs (such as self sufficiency and
youth initiatives) including:
(i) Feasibility studies to determine training and social services
needs;
(ii) Training in management-related trade skills, computer skills,
and similar skills;
(iii) Management-related employment training and counseling
including job search assistance, job development assistance, job
placement assistance, and follow up assistance;
(iv) Supportive services including: child care services;
educational services, remedial education, literacy training, ESL
instruction, assistance in attaining a GED; vocational training
including computer training; health care outreach and referral
services; meal services for the elderly or persons with disabilities;
personal assistance to maintain hygiene/appearance for the elderly or
persons with disabilities; housekeeping assistance for the elderly or
persons with disabilities; transportation services; congregate services
for the elderly or persons with disabilities; and case management;
(v) Training for programs such as child care, early childhood
development, parent involvement, volunteer services, parenting skills,
before and after school programs;
(vi) Training programs on health, nutrition, safety and substance
abuse;
(vii) Workshops for youth services including: child abuse and
neglect prevention, tutorial services, youth leadership skills, youth
mentoring, peer pressure reversal, life skills, and goal planning. The
workshops could be held in partnership with community-based
organizations such as local Boys and Girls Clubs, YMCA/YWCA, Boy/Girl
Scouts, Campfire, and Big Brother/Big Sisters;
(viii) Training in the development of strategies to successfully
implement a youth program. For example, assessing the needs and
problems of the youth, improving youth initiatives that are currently
active, and training youth, housing agency staff, resident management
corporations and resident councils on youth initiatives and program
activities;
(ix) Physical improvements to facilities at public housing
developments in order to provide space for self-sufficiency activities
for residents, i.e. to provide cosmetic improvements and repairs to
space to conduct community activities; or to expand existing community
space for proposed ROSS activities. Physical
[[Page 43533]]
improvements may not exceed 50% of the total grant amount and must be
directly related to providing space for self-sufficiency activities for
residents. Refer to Office of Management and Budget (OMB) Circular A-
87, Cost Principles for State, Local and Indian Tribal Governments;
(1) Renovation, conversion, and repair costs may be essential parts
of physical improvements. In addition, architectural, engineering, and
related professional services required to prepare architectural plans
or drawings, write-ups, specifications or inspections may also be part
of the cost components to implement physical improvements.
(2) The renovation, conversion, or combination of vacant dwelling
units in a PHA development to create common areas to accommodate the
provision of supportive services is an eligible activity for physical
improvement.
(3) The renovation of existing common areas in a PHA development to
accommodate the provision of supportive services.
(4) The renovation or repair of facilities located near the
premises of one or more PHA developments to accommodate the provision
of supportive services.
(5) Each applicant must submit a description of the renovation or
conversion to be conducted along with a budget and timetable for those
activities.
(6) Each applicant must demonstrate a firm commitment of assistance
from one or more sources ensuring that supportive services will be
provided for not less than 2 years following the completion of
renovation, conversion, or repair activities funded under this NOFA.
(7) If renovation, conversion, or repair is done off-site, the PHA
must provide documentation that it has control of the proposed property
for not less than 2 years and preferably for 4 years or more. Control
can be evidenced through a lease agreement, ownership documentation, or
other appropriate documentation.
(6) Ineligible Resident Management and Business Development Activities
and Costs
Ineligible activities and costs include the following:
(a) Entertainment, including associated costs such as food and
beverages, except normal per diem for meals related to travel performed
in connection with implementing the Work Plan. (See Travel Notice for
more specific guidance.)
(b) Purchase or rental of land.
(c) Activities not directly related to the welfare-to-work
initiatives (e.g., lead-based paint testing and abatement and operating
capital for economic development activities).
(d) Purchase of any vehicle (car, van, bus, etc.).
(e) Payment of salaries for routine project operations, such as
security and maintenance, or for applicant staff, except that a
reasonable amount of grant funds may be used to hire a person to
coordinate the Resident Management and Business Development grant
activities or coordinate on-site social services.
(f) Payment of fees for lobbying services.
(g) Any expenditures that are fraudulent, wasteful or otherwise
incurred contrary to HUD or OMB directives.
(h) Any cost otherwise eligible under this program section of this
NOFA for which funds are being provided from any other source.
(i) Entertainment equipment such as televisions, radios, stereos,
and VCRs. An exception to this item may be granted by the HUD Field
Office or AONAP or if funding is being utilized specifically for the
purposes of establishing a business directly related to radio,
television or film or some other form of technical communication, and
equipment is being utilized for training of residents or RAs. All such
exceptions must be authorized in writing by the HUD Field Office or
AONAP before purchases may be made.
(j) Any activity or cost determined by HUD on a case-by-case good
cause basis to be ineligible.
(7) Application Submission Requirements
In addition to addressing the application submission requirements
listed in section IX., below, of this NOFA, Resident Management and
Business Development grant applications must include a description of
how they will carry out and fund the following activities and costs:
(a) Training. on HUD regulations and policies governing the
operation of low-income public housing including contracting/
procurement regulations; financial management; capacity building to
develop the necessary skills to assume management responsibilities at
the project and property management; and training in accessing other
funding sources.
(b) Hiring trainers or other experts. Resident grantees must ensure
that all training is provided by a qualified public housing or
management specialist (Consultant/Trainer), HUD Headquarters, AONAP or
Field staff or the local PHA. To ensure the successful implementation
of the grant Work Plan activities, the applicants are required to
determine the need to contract for outside consulting/training
services. The applicant and the PHA must jointly select and approve the
consultant/trainer. Each applicant should make maximum use of its PHA,
non profit, or other Federal, State, Tribal or local government
resources for technical assistance and training needs. The amount
allowed for hiring an individual consultant for this purpose shall not
exceed 30% of the total grant award or $30,000, whichever is less. The
amount available for all consultants and contracts shall not exceed 50%
of the grant or $50,000 whichever is less. HUD Field Offices and AONAPs
will monitor this process to ensure compliance with program and OMB
requirements, and particularly the requirement for competitive bidding.
(c) Stipends. Trainees and program participants of an RA, CWRO, or
Tribe/TDHE may only receive stipends for participating in or receiving
training under RM to cover the reasonable costs related to
participation in training and other activities in the program, subject
to the availability of funds. The stipends should be used for
additional costs incurred during the training programs, such as child
care and transportation costs. The cost of stipends may not exceed $200
per month per trainee without written HUD Field Office or AONAP
authorization.
(d) Reimbursement of reasonable expenses incurred by Officers and
Board members in the performance of their fiduciary duties and/or
training related to the performance of their official duties.
(e) Travel directly related to the successful completion of the
required Work Plan. All grantees must adhere to the travel policy
established by HUD Notice 96-18. The policy sets travel costs at a
maximum amount of $5,000 per RA without special HUD approval.
(f) Child care expenses for individual staff, board members, or
residents in cases where those who need child care are involved in
training-related activities associated with grant activities.
(g) Costs incurred by a RA in applying for 501(c) tax exempt status
with Internal Revenue Service.
(h) Administrative costs. These costs are necessary for the
implementation of grant activities. Administrative costs are not to
exceed 20% of the grant. Appropriate administrative costs include, but
are not limited to, the following reasonable costs or activities:
[[Page 43534]]
(i) Space and equipment. Maintenance, utility costs, postage,
building lease/rental costs, purchase or lease of telephone, computer,
printing, copying, and sundry non-dwelling equipment (such as office
supplies, software, and furniture). A grantee must justify the need for
this equipment or space based on services being delivered in
relationship to implementing its approved grant activities.
(ii) Grant contract and financial management. If a grantee is
unable to obtain the services of a Contract Administrator or accountant
without charge, the cost for a Contract Administrator and or accountant
is eligible. The grantee is required to maintain documentation on file
showing what efforts it made to obtain the services of a Contract
Administrator cost-free.
(iii) Technical assistance regarding any other service and/or
resource, including case management, that are proposed by applicants
and approved by HUD.
(iv) Rental or lease of a car, van, or bus by resident grantees to
attend training;
(8) Threshold Requirements
(a) Focus on Residents Affected by Welfare Reform. The application
must contain written evidence provided by the PHA to the applicant, or
by Tribe or TDHE that at least 51 percent of the public or Tribal
housing residents (including Section 8 tenants as applicable) to be
included in the proposed program are affected by the welfare reform
legislation, including TANF recipients and, if affected, legal
immigrants and SSI recipients. Elderly or disabled residents not
otherwise affected by welfare reform may be included towards meeting
the 51 percent requirement if, under the grant, they will provide
services such as child care or mentoring to persons affected by welfare
reform.
(b) Partnership between the Resident Association and the PHA or the
Tribal RO or RMC and the Tribe/TDHE.
(1) The application must contain a signed Memorandum of
Understanding (MOU) between the RA and the PHA or the Tribe/TDHE and
the Tribal RO or RMC which describes the specific roles,
responsibilities and activities to be undertaken between the two
entities.
(2) The MOU, at a minimum, must identify the principal parties
(i.e. the name of the PHA and RA or the Tribe/TDHE and the Tribal RO or
RMC), the terms of the agreement (expectations or terms for each
party), and indicate that the agreement pertains to the support of the
grant application. This document is the basis for foundation of the
relationship between the RA and PHA or the Tribe/TDHE and the Tribal RO
or RMC. It must be precise and outline the specific duties and
objectives to be accomplished under the grant. All MOUs must be
finalized, dated and signed by duly authorized officials of both the RA
and PHA or the Tribe/TDHE and the Tribal RO or RMC upon submission of
the application. A sample MOU will be provided in the application kit.
(c) Accessible Community Facility. The applicant must provide
evidence (e.g. through an executed use agreement and/or in the MOU with
the PHA) that a majority of the proposed activities will be
administered at community facilities within easy access (i.e., walking
or by direct (no transfers required), convenient, inexpensive and
reliable transport) of the property or properties represented by the
applicant. The community facility must also meet the structural
accessibility requirements of section 504 of the Rehabilitation Act and
the Americans with Disabilities Act.
(d) Match Requirement.
(1) The applicant must supplement grant funds with an in-kind and/
or cash match of not less than 25% of the grant amount. This match does
not have to be a cash match. The match may include: the value of in-
kind services, contributions or administrative costs provided to the
applicant; funds from Federal sources (but not ROSS, EDSS, TOP or SC
funds); funds from any State or local government sources; and funds
from private contributions.
(2) The application must demonstrate that the cash or in-kind
resources and services, which the applicant will use as match amounts
(including resources from the applicant's Comprehensive Grant, other
governmental units/agencies of any type, and/or private sources,
whether for-profit or not-for-profit), are firmly committed and will
support the proposed grant activities. ``Firmly committed'' means there
must be a written agreement to provide the resources and services,
signed by an official legally able to make commitments on behalf of the
organization. The written agreement may be contingent upon an applicant
receiving a grant award.
(3) The following are guidelines for valuing certain types of in-
kind contributions:
(i) The value of volunteer time and services shall be computed at a
rate of six dollars per hour except that the value of volunteer time
and services 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 activity is located.
(ii) The value of any donated material, equipment, building, or
lease shall be computed based on the fair market value at time of
donation. Such value shall be documented by bills of sales, advertised
prices, appraisals, or other information for comparable property
similarly situated not more than one-year old taken from the community
where the item or activity is located, as appropriate.
(e) Contract Administrator. For applicants other than Tribes/TDHEs,
unless HUD or an Independent Public Accountant has determined that the
applicant's financial management system and procurement procedures
fully comply with 24 CFR part 84, the application must contain evidence
that the applicant will use the services of a Contract Administrator in
administering the grant. Troubled PHAs are not eligible to be Contract
Administrators. In cases where the Contract Administrator is the PHA,
the contract administration responsibilities can be incorporated into
the MOU discussed above.
(f) Applicant Non-Profit Status. Applications that are RAs/RCs/
RMCs/CWROs must include evidence that the applicant is registered with
the State as a nonprofit corporation at the time of application
submission. CWROs only must have 501(c) status with the United States
Internal Revenue Service at the time of application submission.
(g) Certification of Elections. Resident Organization applicants
must submit certification of the RA board election, signed by the local
PHA and/or an independent third-party monitor and notarized.
(h) Compliance with Current Programs. The applicant must provide a
valid certification on the format provided in the application kit that
it is not the subject of unresolved HUD Office of Inspector General
findings and that it and the contract administrator are not in default
at the time of application submission with respect to any previous HUD-
funded grant programs the applicant or contract administrator has
received.
(i) List of RAs Receiving Support. CWRO applications must list in
their application the name of the RAs that will receive services and
must submit letters of support from each RA identified in the
application.
(9) Application Selection Process
Applicants for Resident Management and Business Development grants
are required to address application submission requirements, but are
not
[[Page 43535]]
required to address selection factors. Eligibility will be determined
by applications that meet the threshold requirements of sections
IV.(A)(8) and VII. of this NOFA. HUD will accept for funding the first
five eligible applications from each of the ten federal regions and
from ONAP National Program Office in Denver (ONAP) on a first-come,
first-serve basis for 60 days after this NOFA is published. Any funds
remaining after making awards to the first five eligible applications
from each region and ONAP will be awarded to the next eligible
application from each region or ONAP, then the next, and so forth until
funds are exhausted. If sufficient funds are not available in any round
to fund an eligible application from each region, the eligible
applications will then be funded in the order in which they were
received regardless of region. If sufficient funds are not available in
any round to fund an eligible application from ONAP, or if funds remain
available after funding every eligible ONAP application, the remaining
funds are transferable to other funding categories in this NOFA in the
following order: first, to qualifying applications from Tribes/TDHEs
for Resident Service Delivery Model grants under section V. of this
NOFA; second to qualifying applications from Tribes/TDHEs for Resident
Capacity Building and/or Conflict Resolution grants under section
IV.(B) of this NOFA; third, to qualifying applications for Resident
Management and Business Development grants under this section IV.(A)
from applicants that are not Tribes/TDHEs. In addition, if all funds
are not awarded in this funding category to eligible regional
applications received within 60 days after this NOFA is published,
funds are transferable to other non-Tribe/TDHE funding categories in
this NOFA in the following order: first, service coordinators under
section VI. of this NOFA; second, Resident Capacity Building and/or
Conflict Resolution under section IV.(B) of this NOFA; third, Resident
Service Delivery Models under section V. of this NOFA. Where physical
development activities are proposed, HUD will perform an environmental
review, to the extent required by 24 CFR part 50, prior to award. The
results of the environmental review may require that proposed
activities be modified or proposed sites rejected.
(10) Grant Term
The grant term for Resident Management and Business Development
grants is thirty-six months from the execution date of the grant
agreement.
(B) Capacity Building and/or Conflict Resolution
(1) Program description
These grants are available for two types of awards:
(a) Conflict Resolution Grants (CR) are available to secure the
services of professional mediators to resolve conflicts involving
public or Tribal housing residents and/or Site-Based Resident
Associations or Tribal ROs or RMCs. For Conflict Resolution Grants, a
skilled mediator or partner, under the auspices of an applicant, will
bridge impasses between residents and/or factions within specific
developments, among active participants of a Site-Based Resident
Association (RA) or Tribal ROs or RMCs, or between an RA or Tribal RO
or RMC and its partners, especially local Housing Agencies. The scope
of conflict resolution activities may include support for multicultural
cooperation and communication. The applicant must apply in partnership
with a recognized professional mediation organization. All mediators
must have entered into at least one referral agreement with judicial,
law enforcement or social services agencies to mediate for public
housing residents served by the agency. After awarding the grants, HUD
would refer cases requiring mediation to the grantee. Also conflicting
parties, on their own initiative, could make requests for mediation
services directly to the grantee. While mediating for residents and
their partners, the professional mediators would also train grantee
staff in mediation principles and skills for mediation in the future.
(b) Capacity Building Grants (CB) are available to provide
technical assistance and training activities to establish and
strengthen organizational capacity for site-based resident associations
or Tribal ROs or RMCs that do not have the capacity to administer
welfare-to-work and other programs, work with PHAs, Tribes or TDHEs, or
conduct management activities. Capacity Building Grants will be
targeted to help establish new site-based resident organizations or
enhance the capacity of existing organizations to assist residents,
participate in Housing Agency decision making, manage all or a portion
of their housing development, and develop skills and expertise needed
to administer grants.
(2) Amount Allocated for Capacity Building and/or Conflict Resolution
(a) $5 million is available for CB/CR awards, of which $400,000 is
for applications from Indian Tribes or TDHEs.
(b) The maximum grant award will be $15,000 per RA represented, up
to the following maximums: $105,000 for City-Wide Resident
Organizations (CWROs), Indian Tribes, or TDHEs and $240,000 per
applicant for all other applicants in these funding categories. An
applicant that is not a CWRO, an Indian Tribe, or a TDHE is required to
serve a minimum of 10 RAs.
(3) Eligible applicants
(a) Intermediary Resident Organizations (IROs) on behalf of public
housing residents, which include Public Housing Site-Based Resident
Councils; Resident Management Corporations; and Tribes/TDHEs on behalf
of tribal housing residents, Tribal ROs and Tribal RMCs may apply for
Capacity Building and/or Conflict Resolution grants. IROs include
National Resident Organizations, Statewide Resident Organizations,
Regional Resident Organizations, City-Wide Resident Organizations, and
Jurisdiction-Wide Resident Organizations.
(b) Non-profits that operate as associations and/or networks that
administer programs that benefit public and Tribal housing resident
organizations are also eligible for this funding category.
(c) An applicant that is not a CWRO must serve a minimum of 10 RAs.
(d) Previous TOP grantees must demonstrate that they have spent at
least 75 percent of any prior grant by the publication date of this
NOFA.
(4) Eligible Activities
(a) Conflict resolution. Conflict resolution grant activities may
include, but are not limited to:
(i) Efforts to address conflicts related to gang violence;
(ii) Establishing violence-free zones to enhance the quality of
living environment for public housing residents;
(iii) Training programs on mediation and communication skills;
(iv) Training programs on dispute resolution and reconciliation,
including training addressing racial, ethnic and other forms of
diversity;
(v) Workshops for youth services including: child abuse and neglect
prevention, tutorial services, youth leadership skills, youth
mentoring, peer pressure reversal, life skills, goal planning, health,
and nutrition. The workshops may be held in partnership with community-
based organizations such as local Boys and Girls Clubs, YMCA/YWCA, Boy/
Girl Scouts, Campfire and Big Brother/Big Sisters, etc.
[[Page 43536]]
(vi) Training in the development of strategies to successfully
implement a youth program. For example, assessing the needs and
problems of youth, improving youth initiatives that are currently
active, and training youth, housing agency staff, resident management
corporations and resident councils on youth initiatives and program
activities.
(b) Capacity Building. Eligible activities for CB grants may
include, but are not limited to:
(i) Training Board members in community organizing, Board
development, and leadership training;
(ii) Determining the feasibility of and training existing resident
groups for resident management or for a specific resident management
project;
(iii) Assisting in the creation of an RMC, such as consulting and
legal assistance to incorporate, preparing by-laws and drafting a
corporate charter;
(iv) Developing the management capabilities of existing resident
organizations;
(v) Determining the feasibility of homeownership by residents,
including assessing the feasibility of other housing (including HUD-
owned or held single or multi-family) affordable for purchase by
residents.
(5) Ineligible Activities
Ineligible activities are the same as those listed in section
IV.(A)(6) of this NOFA, above. In addition, physical development
activities are not eligible for funding under CB or CR grants.
(6) Application Submission Requirements
In addition to addressing the application submission requirements
listed in section IX., below, of this NOFA, applicants for the CB and
CR grants must provide a narrative description of proposed activities
that addresses the following information: a description of the
geographic boundaries of the RAs or Tribal ROs or RMCs included in the
application; a description of the public or Tribal housing community; a
detailed description of the issues or problems involved with each RA or
Tribal RO or RMC to be served by the grant; and the resources that are
currently being devoted to the problem or issue under consideration.
(7) Threshold Requirements
(a) Written Agreement with Mediator. Conflict Resolution applicants
only must have a written agreement with a professional mediator or
mediation organization (mediator/partner) outlining the roles and
responsibilities of each party, as well as any compensation to the
mediator/partner (which must be reasonable and based on the work to be
performed) defined. The written agreement must specify, consistent with
the work plan, that the mediator/partner will train grantee staff and/
or volunteers such that the grantee will be capable of providing
mediation assistance independently by the end of the grant term;
(b) Mediation Experience/Referral Agreement. Conflict Resolution
applicants only must provide evidence that their mediator/partner that
are PHAs have at least three years of experience in providing mediation
services and at least two years of experience in mediation training;
and include one referral agreement with a judicial, law enforcement or
social service agency such as the court system or Welfare Department
for mediation referral of public housing residents.
(c) Applicant Non-Profit Status. Both CB and CR applications that
are not Tribes/TDHEs must provide evidence that the applicant is
registered with the State as a nonprofit corporation and has 501(c)
status with the United States Internal Revenue Service at the time of
application submission.
(d) Compliance with Current Programs. Both CB and CR applicants
must provide certification on the format provided in the application
kit that the applicant and the mediation partner are not in default at
the time of application submission with respect to any previous HUD
funded grant programs the applicant received and that there are no
unresolved Office of Inspector General findings against the applicant
or mediation partner.
(e) Match Requirement.
(i) Both CB and CR applicants must supplement grant funds with an
in-kind and/or cash match of not less that 25% of the grant amount.
This match does not have to be a cash match. The match may include: the
value of in-kind services, contributions or administrative costs
provided to the applicant; funds from Federal sources (but not ROSS,
EDSS, TOP, or SC funds); funds from any State or local government
sources; and funds from private contributions.
(ii) Both CB and CR applications must demonstrate that the cash or
in-kind resources and services, which the applicant will use as match
amounts (including resources from the applicant's Comprehensive Grant,
other governmental units/agencies of any type, and/or private sources,
whether for-profit or not-for-profit), are firmly committed and will
support the proposed grant activities. ``Firmly committed'' means there
must be a written agreement to provide the resources and services,
signed by an official legally able to make commitments on behalf of the
organization. The written agreement may be contingent upon an applicant
receiving a grant award.
(iii) The following are guidelines for valuing certain types of in-
kind contributions:
(1) The value of volunteer time and services shall be computed at a
rate of six dollars per hour except that the value of volunteer time
and services 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 activity is located.
(2) The value of any donated material, equipment, building, or
lease shall be computed based on the fair market value at time of
donation. Such value shall be documented by bills of sales, advertised
prices, appraisals, or other information for comparable property
similarly situated not more than one-year old taken from the community
where the item or activity is located, as appropriate.
(f) List of RAs Receiving Support. In both CB and CR applications
eligible applicants must list in their application the name of the RAs
or Tribal ROs or RMCs that will receive training, technical assistance
and/or coordinated supportive services and must submit letters of
support from each entity identified in the application.
(8) Application Selection Process
Applicants for Conflict Resolution or Capacity Building grants are
required to address application submission requirements but are not
required to address selection factors. Applicants are required to
include letters of support from the PHA or Tribe on behalf of RAs or
Tribal ROs and RMCs to be served (see section IV.(B)(7)(f), above, of
this NOFA). Eligibility will be determined by applications that meet
the threshold requirements of sections IV.(B)(7) and VII. of this NOFA.
HUD will accept for funding the first two eligible applications from
each of the ten federal regions and from ONAP National Program Office
in Denver (ONAP) on a first-come, first-serve basis for 60 days after
this NOFA is published. Any funds remaining after making awards to the
first two eligible applications from each region or ONAP will be
awarded to the next eligible application from each region or ONAP, then
the next, and so forth until funds are exhausted. If sufficient funds
are not available in any round to fund an eligible application from
each region, the eligible
[[Page 43537]]
applications will then be funded in the order in which they were
received regardless of region. If sufficient funds are not available in
any round to fund an eligible application from ONAP, or if funds remain
available after funding every eligible ONAP application, the remaining
funds are transferable to other funding categories in this NOFA in the
following order: first, to qualifying applications from Tribes/TDHEs
for Resident Service Delivery Model grants under section V. of this
NOFA; second to qualifying applications from Tribes/TDHEs for Resident
Management and Business Development grants under section IV.(A) of this
NOFA; third, to qualifying applications for Resident Capacity Building
and/or Conflict Resolution grants under this section IV.(B) from
applicants that are not Tribes/TDHEs. In addition, if all funds are not
awarded in this funding category to eligible regional applications
received within 60 days after this NOFA is published, funds are
transferable to other non-Tribe/TDHE funding categories in this NOFA in
the following order: first, service coordinators under section VI. of
this NOFA; second, Resident Capacity Building and/or Conflict
Resolution under section IV.(B) of this NOFA; third, Resident Service
Delivery Models under section V. of this NOFA.
(9) Grant Term
The grant term for both Capacity Building and Conflict Resolution
grants is thirty-six months from the execution date of the grant
agreement.
V. Resident Service Delivery Models (RSDM)
(A) Program Description
(1) Resident Service Delivery Models--Families
These grants provide services to assist eligible residents to
become economically self-sufficient, particularly families with
children where the head of household would benefit from the receipt of
supportive services and is working, seeking work, or is preparing for
work by participating in job-training or educational programs. Grants
provide support for program activities essential to facilitate economic
uplift and provide access to the skills and resources needed for
employment, job development and business development.
(2) Resident Service Delivery Models--Elderly/Disabled
This grant category provides supportive services for elderly
residents and persons with disabilities.
(B) Amount Allocated
(1) Amount Allocated for Resident Service Delivery Models
For RSDM, $40.6 million is available for eligible applicants. Of
this amount $2 million is available for Tribes/TDHEs.
(2) Maximum Grant Award
(a) For PHAs and Tribes/TDHEs, the maximum grant application award
will be based on the number of occupied units for family or the elderly
and persons with disabilities, as applicable. For the RSDM category,
PHAs must use the number of occupied units to determine the maximum
grant amount in accordance with the categories listed below for family:
(i) For PHAs and Tribes/TDHEs with 1 to 780 occupied family units,
the maximum grant award is $75,000.
(ii) For PHAs and Tribes/TDHEs with 781 to 7,300 occupied family
units, the maximum grant award is $250,000.
(iii) For PHAs and Tribes/TDHEs with 7,301 or more occupied family
units, the maximum grant award is $500,000.
(b) For Elderly and Disabled RSDM grants, PHAs and Tribes/TDHEs may
apply for the below listed maximums:
(i) For 1 to 217 units occupied by elderly residents or persons
with disabilities, the maximum grant award is $27,125.
(ii) For 218 to 1,155 units occupied by elderly residents or
persons with disabilities, the maximum grant award is $100,000.
(iii) For 1,156 or more units occupied by elderly residents or
persons with disabilities, the maximum grant award is $150,000.
(c) The maximum grant award for RAs is $75,000.
(d) Non profit entities supported by residents or RAs are limited
to $75,000 for each RA. Non profit entities supported by residents may
be awarded no more than three awards for different RAs.
(e) Tribes/TDHEs should use the number of units counted as Formula
Current Assisted Stock for Fiscal Year 1998 as defined in 24 CFR
1000.316. Tribes who have not previously received funds from the
Department under the 1937 Act should count housing units under
management that are owned and operated by the Tribe and are identified
in their housing inventory as of September 30, 1997.
(3) If all funds are not awarded in one funding category, funds are
transferable to the other funding categories in this NOFA.
(C) Eligible Applicants
(1) Family
This funding category provides grants to PHAs, Indian Tribes and
TDHEs on behalf of public and Tribal housing residents, or directly to
resident management corporations, resident councils, or resident
organizations, including nonprofit entities supported by residents, to
enable them to establish and implement comprehensive programs that
assist residents in becoming self-sufficient and/or enable independent
living and aging in place.
(2) Elderly and Disabled
PHAs, Indian Tribes and TDHEs are eligible applicants in providing
supportive services for the elderly and disabled.
(3) Previous Grantees
Previous EDSS, TOP, or Service Coordinator grantees must
demonstrate that they have spent at least 75 percent of any prior grant
by the publication date of this NOFA.
(4) Joint Applications
Two or more applicants may join together to submit a joint
application for proposed grant activities. Joint applications must
designate a lead applicant. All parties in a joint application (lead or
non-lead) are considered to be applying for ROSS and are therefore
subject to the limit of one ROSS application per applicant, with the
exception of those Service Coordinator applicants that may also apply
in one additional ROSS category. Funding for joint applications may not
exceed the stated maximum for this funding category.
(D) Eligible Participants
At least 75 percent of the persons participating and receiving
benefits from these activities must be residents of conventional public
housing or Tribal housing. For applications that are not from a Tribe
or TDHE, any other persons (up to 25 percent per grantee) participating
or receiving benefits from these programs must be recipients of Section
8 assistance.
(E) Eligible Activities
Funds may be used for the activities described below, according to
whether the application is for the family category, or elderly and
disabled category.
(1) Family
(a) Program Coordinator. Applicants are encouraged to include a
Program Coordinator for proposed RSDM
[[Page 43538]]
activities for the entire term of the grant. A Program Coordinator is a
person who is responsible for coordinating various proposed activities
to ensure that their accomplishment will assist in achieving overall
grant goals and objectives.
(b) Physical improvements to provide space for self-sufficiency
activities for residents, i.e. to provide cosmetic and repairs for
space to conduct community activities; or to expand existing community
space for proposed ROSS activities. Physical improvements may not
exceed 50% of the total grant amount and must be directly related to
providing space for self-sufficiency activities for residents. Refer to
Office of Management and Budget (OMB) Circular A-87, Cost Principles
for State, Local and Indian Tribal Governments.
(i) Renovation, conversion, and repair costs may be essential parts
of physical improvements. In addition, architectural, engineering, and
related professional services required to prepare architectural plans
or drawings, write-ups, specifications or inspections may also be part
of the cost components to implement physical improvements.
(ii) The renovation, conversion, or combination of vacant dwelling
units in a housing development to create common areas to accommodate
the provision of supportive services is an eligible activity for
physical improvement.
(iii) The renovation of existing common areas in a housing
development to accommodate the provision of supportive services.
(iv) The renovation or repair of facilities located near the
premises of one or more housing developments to accommodate the
provision of supportive services.
(v) Each applicant should submit a description of the renovation or
conversion to be conducted along with a budget and timetable for those
activities.
(vi) Each applicant must demonstrate a firm commitment of
assistance from one or more sources ensuring that supportive services
will be provided for not less than 2 years following the completion of
renovation, conversion, or repair activities funded under this NOFA.
(vii) If renovation, conversion, or repair is done off-site, the
applicant must provide documentation that it has control of the
proposed property for not less than 2 years and preferably for 4 years
or more. Control can be evidenced through a lease agreement, ownership
documentation or other appropriate documentation.
(c) Entrepreneurship training (literacy training, computer skills
training, business development planning).
(d) Entrepreneurship development (entrepreneurship training
curriculum, entrepreneurship courses).
(e) Micro/Loan fund. Developing a strategy for establishing a
revolving micro/loan fund and/or capitalizing a loan fund, including
licensing, bonding, and insurance needed to operate a business.
(f) Developing credit unions. Developing a strategy to establish
and/or create onsite credit union(s) to provide financial and economic
development initiatives to PHA residents. (RSDM grant funds cannot be
used to capitalize a credit union.) The credit union could support the
normal financial management needs of the community (i.e., check
cashing, savings, consumer loans, micro-businesses money management,
home buyer counseling educational loans, and other revolving loans).
(g) Employment training and counseling (e.g., job training (such as
apprenticeship programs), preparation and counseling, job search
assistance, job development and placement, and continued follow-up
assistance).
(h) Employer linkage and job placement.
(i) Family only--supportive services activities. The provision of
services to assist eligible residents to become economically self-
sufficient, particularly families with children where the head of
household would benefit from the receipt of supportive services and is
working, seeking work, or is preparing for work by participating in
job-training or educational programs. Eligible supportive services may
include, but are not limited to:
(i) Child care, of a type that provides sufficient hours of
operation and serves appropriate ages as needed to facilitate parental
access to education and job opportunities.
(ii) Computer-based educational opportunities, skills training, and
entrepreneurial activities.
(iii) Homeownership training and counseling, development of
feasibility studies and preparation of homeownership plans/proposals.
(iv) Education including but not limited to: remedial education;
computer skills training; career counseling; literacy training;
assistance in the attainment of certificates of high school
equivalency; two-year college tuition assistance; trade school
assistance; youth leadership skills and related activities (activities
may include peer leadership roles training for youth counselors, peer
pressure reversal, life skills, goal planning). Academic support shall
not be limited to TANF recipients.
(v) Youth mentoring of a type that mobilizes a potential pool of
role models to serve as mentors to public or Tribal housing youth.
Mentor activities may include after-school tutoring, help with problem
resolution issues, illegal drugs avoidance, job counseling, or mental
health counseling.
(vi) Transportation costs, as necessary to enable any participating
family member to receive available services to commute to his or her
training or supportive services activities or place of employment.
(vii) Personal well-being (e.g., family/parental development
counseling, parenting skills training for adult and teenage parents,
self-development counseling, support groups/counseling for victims of
domestic violence, and/or families with a mentally ill member, etc.).
(viii) Supportive health care services (e.g., outreach and referral
services to substance and alcohol abuse treatment and counseling,
mental health services, wellness programs).
(ix) Contracting for case management services contracts or
employment of case managers, either of which must ensure
confidentiality about resident's disabilities.
(x) Administrative costs not to exceed 20% of the grant amount.
(xi) Stipends. No more than $200 per participant per month of the
grant award may be used for stipends for active trainees and program
participants to cover the reasonable costs related to participation in
training and other activities.
(2) Elderly and Disabled--Supportive Services Activities
May include, but are not limited to:
(a) Meal service adequate to meet nutritional need;
(b) Assistance with daily activities;
(c) Housekeeping aid;
(d) Transportation services;
(e) Wellness programs, preventive health education, referral to
community resources;
(f) Personal emergency response; and
(g) Congregate services--includes supportive services that are
provided in a congregate setting at a conventional public or Tribal
housing development.
(F) Ineligible Activities
Activities for which costs are ineligible for funding under the
RSDM funding category include:
(1) Payment of wages and/or salaries to participants receiving
supportive services and/or training programs, except that grant funds
under family
[[Page 43539]]
RSDM may be used to hire a resident(s) as a Program Coordinator or to
provide training program activities.
(2) Purchase or rental of land.
(3) New construction, materials, and costs.
(4) Purchase of vehicles.
(G) Threshold Requirements
(1) Elderly Housing Development Certification
(For Elderly RSDM Applicants Only) A Certification that at least
25% of the residents of the development(s) proposed for grant
activities are elderly and/or non elderly people with disabilities at
the time of application.
(2) Focus on Residents Affected by Welfare Reform (For Family RSDM
Only)
The RSDM application must demonstrate evidence from the PHA, Tribe
or TDHE that at least 51% or more of the public or Tribal housing
residents (including Section 8 tenants as applicable) to be included in
the proposed program are affected by the welfare reform legislation,
including Temporary Assistance for Needy Families (TANF) recipients,
legal immigrants, and disabled SSI recipients.
(3) Accessible Community Facility
The application must provide evidence (e.g. through an executed use
agreement if the facility is to be provided by an entity other than the
PHA, Tribe or TDHE that a majority of the proposed activities will be
administered at community facilities within easy transportation access
(i.e., walking or by direct (no transfers required), convenient,
inexpensive and reliable transport), of the property represented by the
PHA, Tribe or TDHE. The community facilities must also meet the
structural accessibility requirements of Section 504 of the
rehabilitation Act and the Americans With Disabilities Act.
(4) Match Requirement
(a) The applicant must supplement grant funds with an in-kind and/
or cash match of not less than 25% of the grant amount. This match does
not have to be a cash match. The match may include: the value of in-
kind services, contributions or administrative costs provided to the
applicant; funds from Federal sources (but not ROSS, TOP, EDSS, or SC
funds); funds from any State or local government sources; and funds
from private contributions.
(b) The application must demonstrate that the cash or in-kind
resources and services, which the applicant will use as match amounts
(including resources from the applicant's Comprehensive Grant, other
governmental units/agencies of any type, and/or private sources,
whether for-profit or not-for-profit), are firmly committed and will
support the proposed grant activities. ``Firmly committed'' means there
must be a written agreement to provide the resources and services
signed by an official legally able to make commitments on behalf of the
organization. The written agreement may be contingent upon an applicant
receiving a grant award.
(c) The following are guidelines for valuing certain types of in-
kind contributions:
(i) The value of volunteer time and services Shall be computed at a
rate of six dollars per hour except that the value of volunteer time
and services 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 RSDM activity is located.
(ii) The value of any donated material, equipment, building, or
lease shall be computed based on the fair market value at time of
donation. Such value shall be documented by bills of sales, advertised
prices, appraisals, or other information for comparable property
similarly situated not more than one-year old taken from the community
where the item or RSDM activity is located, as appropriate.
(5) Compliance With Current Programs
The applicant must provide certification in the format provided in
the application kit that it is not in default at the time of
application submission with respect to grants for the following
programs: the Family Investment Center Program; the Youth Development
Initiative under the Family Investment Center Program; the Youth
Apprenticeship Program; the Apprenticeship Demonstration in the
Construction Trades Program; the Urban Youth Corps Program; the HOPE 1
Program; the Public Housing Service Coordinator Program; the Public
Housing Drug Elimination Program; the Youth Sports Program; the Tenant
Opportunities Program; and the Economic Development and Supportive
Services Program.
(6) Contract Administrator
For applicants other than Tribes/TDHEs, unless HUD or an
Independent Public Accountant has determined that the applicant's
financial management system and procurement procedures fully comply
with 24 CFR part 84, the application must contain evidence that the
applicant will use the services of a Contract Administrator in
administering the grant. Applicants that are troubled PHAs are required
to provide evidence that a Contract Administrator has been retained for
the term of the grant.
(a) A Contract Administrator, if retained, must oversee the
financial activities and assist with the entire implementation of the
grant. A signed executed agreement must be included in the application.
This agreement may be contingent upon the applicant receiving a grant
award.
(b) The Contract Administrator may be: Local Housing Agencies
(except for troubled PHAs); community-based organizations such as
Community Development Corporations (CDC), churches; non-profits; State/
Regional associations and organizations. Troubled PHAs are not eligible
to be Contract Administrators.
(c) If a grantee is unable to obtain the services of a Contract
Administrator or accountant without charge, the cost for a Contract
Administrator and or accountant is eligible. The grantee is required to
maintain documentation on file showing what efforts it made to obtain
the services of a Contract Administrator cost-free.
(7) Applicant Non-Profit Status
Both RA and non-profit applicants only must submit evidence that
the applicant is registered with the State as a nonprofit corporation
at the time of application submission. Non-profits only must have
501(c) status with the United States Internal Revenue Service at the
time of application submission.
(8) Certification of Elections
Resident Organization applicants only must submit certification of
the RA board election as required by HUD, signed by the local PHA and/
or an independent third-party monitor and notarized.
(H) Application Selection Process
All applications are due no later than 90 days from the publication
date of this NOFA. Three types of reviews will be conducted: a
screening to determine if the application submission is complete and on
time; a threshold review to determine applicant eligibility; and a
technical review to rate the applications based on the rating factors
in section V.(I), below, of this NOFA. A minimum score of 55 is
required to be considered for funding. If the applicant is not a PHA,
where physical development activities are proposed, HUD will perform an
environmental review, to the extent required by 24 CFR part 50, prior
to award. The results of the environmental review may require that
proposed activities be modified or proposed sites rejected.
[[Page 43540]]
HUD will conduct the selection process as follows:
(1) For Applicants Other Than Tribes/TDHEs
HUD will first select the highest ranked application from each of
the ten federal regions for funding. After this ``round,'' HUD will
select the second highest ranked application in each of the ten federal
regions for funding (the second round). HUD will continue this process
with the third, fourth, and so on, highest ranked applications in each
federal region until the last complete round is selected for funding.
If available funds exist to fund some but not all eligible applications
in the next round, HUD will make awards to those remaining applications
in rank order regardless of region and will fully fund as many as
possible with remaining funds. In addition, if all funds are not
awarded in this funding category, funds are transferable to other
funding categories in this NOFA in the following order: first, service
coordinators under section VI. of this NOFA; second, Resident
Management and Business Development under section IV.(A) of this NOFA;
third, Resident Capacity Building and/or Conflict Resolution under
section IV.(B) of this NOFA. The selection process is designed to
achieve both geographic diversity and a more equitable distribution of
grant awards throughout the country.
(2) For Tribes/TDHEs
After rating and ranking, HUD will fund Tribes/TDHEs in rank order
until all funds allocated for Tribes/TDHEs have been awarded to the
extent that there are eligible applications. Any remaining funds will
be transferable to other funding categories in this NOFA in the
following order: first, to qualifying applications from Tribes/TDHEs
for Resident Management and Business Development grants under section
IV.(A) of this NOFA; second to qualifying applications from Tribes/
TDHEs for Resident Capacity Building and/or Conflict Resolution under
section IV.(B) of this NOFA; third, to qualifying applications for
Resident Service Delivery Model grants under this section V. from
applicants that are not Tribes/TDHEs.
(I) Factors for Award Used to Evaluate and Rate RSDM Applications
The factors for rating and ranking applicants and maximum points
for each factor are provided below. The maximum number of points
available for this program is 100. In addition, this NOFA also provides
for the award of two bonus points for eligible activities/projects that
are proposed to be located in federally designated Empowerment Zones
(EZs), Enterprise Communities (ECs), or Urban Enhanced Enterprise
Communities (EECs). The application kit contains a certification which
must be completed for the applicant to be considered for EZ/EC bonus
points and a listing of federally designated EZs, ECs, or Enhanced
EECs.
An RSDM application must receive a total of 55 points out of 100 to
be eligible for funding.
Rating Factor 1: Capacity of the Applicant and Relevant Organizational
Experience (20 Points)
This factor addresses the extent to which the applicant has the
organizational resources necessary to successfully implement the
proposed activities in a timely manner. In rating this factor HUD will
consider the extent to which the proposal demonstrates:
(1) Proposed Program Staffing (7 Points)
(a) Experience. (4 Points): The knowledge and experience of the
proposed project director and staff, including the day-to-day program
manager, sub-recipients and partners in planning and managing programs
for which funding is being requested. Experience will be judged in
terms of recent, relevant and successful experience of the applicant to
undertake eligible program activities.
(b) Sufficiency. (3 Points): The applicant, its sub-recipients, and
partners have sufficient personnel or will be able to quickly access
qualified experts or professionals, to deliver the proposed activities
in each proposed service area in a timely and effective fashion,
including the readiness and ability of the applicant to immediately
begin the proposed work program. To demonstrate sufficiency, the
applicant must submit the proposed number of staff years to be
allocated to the project by employees and experts, the titles and
relevant professional background and experience of each employee and
expert proposed to be assigned to the project, and the roles to be
performed by each identified employee and expert.
(2) Program Administration and Fiscal Management (7 Points)
(a) Program Administration. (4 Points): The soundness of the
proposed management of the proposed RSDM program. In order to receive a
high score, an applicant must provide a comprehensive description of
the project management structure. The narrative must provide a
description of how any co-applicants, sub-grantees, and other partner
agencies relate to the program administrator as well as the lines of
authority and accountability among all components of the proposed
program.
(b) Fiscal Management. (3 Points): The soundness of the applicant's
proposed fiscal management. In order to receive a high score an
applicant must provide a comprehensive description of the fiscal
management structure, including, but not limited to, budgeting, fiscal
controls, and accounting. The application must identify the staff
responsible for fiscal management, and the processes and timetable for
implementation during the proposed grant period.
(3) Applicant/Administrator Track Record (6 Points): In order to
receive a high score, the applicant must demonstrate its (or the
proposed Administrator's) program compliance and successful
implementation of any resident self-sufficiency, security or
independence oriented grants (including those listed below) awarded to
the applicant or overseen by the Administrator. Applicants or
Administrators with no prior experience in operating programs that
foster resident self-sufficiency, security or independence will receive
a score of 0 on this factor. The applicant's past experience may
include, but is not limited to, administering the following grants: the
Family Investment Center Program; the Youth Development Initiative
under the Family Investment Center Program; the Youth Apprenticeship
Program; the Apprenticeship Demonstration in the Construction Trades
Program; the Urban Youth Corps Program; the HOPE I Program; the Public
Housing Service Coordinator Program; the Public Housing Drug
Elimination Program; Tenant Opportunities Program; Economic Development
and Supportive Services; and the Youth Sports Program.
Rating Factor 2: Need/Extent of the Problem (20 Points)
This factor addresses the extent to which there is a need for
funding the proposed program activities to address a documented problem
in the target area. Applicants will be evaluated on the extent to which
they document a critical level of need in the development or the
proposed activities in the area where activities will be carried out.
In responding to this factor, applicants will be evaluated on:
(1) A Needs Assessment Document (18 Points): HUD will award up to
18 points based on the quality and comprehensiveness of the needs
assessment document.
(a) In order to obtain maximum points for Family RSDM applications,
this
[[Page 43541]]
document must contain statistical data which provides:
(i) A thorough socioeconomic profile of the eligible residents to
be served by the grant, in relationship to PHA-wide and national public
and assisted housing data on residents who are on TANF, SSI benefits,
or other fixed income arrangements; in job training, entrepreneurship,
or community service programs; and employed.
(ii) Specific information on training, contracting, and employment
through the PHA or Tribe.
(iii) 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;
(iv) A description of the goals, objectives, and program strategies
that will result in successful transition of residents from welfare-to-
work.
(b) In order to obtain maximum points for Elderly and Persons with
Disabilities RSDM applications, the needs assessment document should
contain statistical data that provide:
(i) The numbers of residents needing assistance for activities of
daily living.
(ii) 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.
(iii) A description of the goals, objectives, and program
strategies that will result in increased independence for proposed
program participants.
(2) Level of Priority in Consolidated Plan. (2 Points):
Documentation of the level of priority the locality's, or in the case
of small cities, the State's, Consolidated Plan has placed on
addressing the needs. Applicants may also address needs in terms of
fulfilling the requirements of court actions or other legal decisions
or which expand upon the Analysis of Impediments to Fair Housing Choice
(AI) to further fair housing. Applicants that address needs that are in
the community's Consolidated Plan, AI, or a court decision, or identify
and substantiate needs in addition to those in the AI, will receive a
greater number of points than applicants who do not relate their
proposed program to the approved Consolidated Plan or AI or court
action. There must be a clear relationship between the proposed
activities, community needs and the purpose of the program funding for
an applicant to receive points for this factor.
Rating Factor 3: Soundness of Approach (40 Points)
This factor addresses the quality and cost-effectiveness of the
applicant's proposed work plan. In rating this factor HUD will
consider: the viability and comprehensiveness of strategies to address
the needs of residents; budget appropriateness/efficient use of grant;
the speed at which the applicant can realistically accomplish the goals
of the proposed RSDM program; the soundness of the applicant's plan to
evaluate the success of its proposed RSDM program at completion and
during program implementation; and resident and other partnerships; and
policy priorities.
(1) Viability and comprehensiveness of the strategies to address
the needs of residents (21 Points): The score under this subfactor will
be based on the viability and comprehensiveness of strategies to
address the needs of residents. HUD will award up to 19 points based on
the following:
(a) Services (18 Points for Family RSDM applicants and 21 Points
for Elderly and Persons with Disabilities RSDM applicants. More points
are awarded in the Elderly and Persons with Disabilities RSDM
applications in order to balance other sections of the rating criteria
where points are not applicable to an Elderly and Persons with
Disabilities RSDM applicant) The score under this subfactor will be
based on the following:
(i) For Family RSDM applications, the extent to which an
applicant's plan provides services that specifically address the
successful transition from welfare to work of non-elderly families. To
receive a high score, the applicant's plan should include case
management/counseling, job training/development/placement (and/or
business training/development/startup), child care, and transportation
services. Also, in order to receive maximum points, the goals and
objectives of the proposed plan must represent significant achievements
related to welfare-to-work and other self-sufficiency/independence
goals. Specifically for those residents affected by welfare reform, the
number of residents employed or resident businesses started are
preferable to the number of residents receiving training.
(ii) For Elderly and Persons with Disabilities RSDM applications,
services in the applicant's plan should include case management, health
care, congregate services and transportation. To obtain maximum points,
the application must describe the goals, objectives, and program
strategies that will result in increased independence for proposed
program participants; the services must be located in a community
facility; and services must be available on a 12 hour basis or as
needed by the eligible residents.
(b) Resident Contracting and Employment (3 Points): The score in
this factor will be based on the extent to which residents will achieve
self-sufficiency through the applicant's contracts with resident-owned
businesses and through resident employment. A high score will be
awarded where there is documentation (a letter or resolution from the
applicant's governing body) describing the applicant's commitment to
hire or contract with at least 15% of residents and a narrative
describing the number of resident jobs or contracts involved, as well
as the training processes related to the comprehensive plan of your
application. Elderly and Persons with Disabilities RSDM applications
will not be scored on the criterion in this subcategory.
(2) Budget Appropriateness/Efficient Use of Grant (5 Points): The
score in this factor will be based on the following:
(a) Detailed Budget Break-Out. The extent to which the application
includes a detailed budget break-out for each budget category in the
SF-424A.
(b) Reasonable Administrative Costs. The extent to which the
application includes administrative costs at or below the 20%
administrative cost ceiling.
(c) Budget Efficiency. The extent to which the application requests
funds commensurate with the level of effort necessary to accomplish the
goals and objectives, and the extent to which the requested funding is
reasonable in relationship to the anticipated results.
(3) Reasonableness of the Timetable (2 Points for Family RSDM
applicants and 4 Points for Elderly and Persons with Disabilities RSDM
applicants. More points are awarded in Elderly and Persons with
Disabilities RSDM applications in order to balance other sections of
the rating criteria where points are not applicable to an Elderly and
Persons with Disabilities RSDM applicant):
The score in this factor will be based on the speed of response at
which the applicant can accomplish the goals of the proposed RSDM
program. To receive a high score, the applicant must demonstrate that
it will make substantial program implementation progress within the
first six months after grant execution, including putting staff in
place, finalizing partnership arrangements, completing the development
of requests for proposals, and achieving other milestones that are
[[Page 43542]]
prerequisites for implementation of the program. In addition, the
applicant must demonstrate that the proposed timetable for all
components of the proposed program is reasonable considering the size
of the grant and its activities and that it can accomplish its
objectives within the 24-month time limit.
(4) Program Assessment. (3 Points for Family RSDM and Elderly and
Persons with Disabilities RSDM): The score in this factor will be based
on the soundness of the applicant's plan to evaluate the success of its
proposed RSDM program both at the completion of the program and during
program implementation. At a minimum, the applicant must track the
goals and objectives of the proposed work plan program, which must
include, if applicable, a plan for monitoring the applicant's Contract
Administrator. HUD will rate more favorably applicants who can track
specific measurable achievements for the use of program funds, such as
number of residents employed, salary scales of jobs obtained, persons
removed from welfare roles 12 months or longer, number of elderly or
persons with disabilities residents receiving supportive services, and
number of persons receiving certificates for successful completion of
training in careers such as computer technology.
(5) Resident and Other Partnerships (9 Points for Family RSDM
applicants and 7 Points for Elderly and Persons with Disabilities RSDM
applicants)
(a) Resident Involvement in RSDM Activities (3 Points for Family
RSDM applicants and 4 Points for Elderly and Persons with Disabilities
RSDM applicants. More points are awarded in Elderly and Persons with
Disabilities RSDM applications in order to balance other sections of
the rating criteria where points are not applicable to an Elderly and
Persons with Disabilities RSDM applicant): The score in this factor
will be based on the extent of resident involvement in developing the
proposed RSDM program as well as the extent of proposed resident
involvement in implementing the proposed RSDM program. In order to
receive a high score on this factor, the applicant must describe the
involvement of residents in the planning phase for this program, and a
commitment to provide continued involvement in grant implementation.
For applicants to receive the maximum number of points, a Memorandum of
Understanding or other written agreement with the PHA, Tribe or TDHE
and the Resident Association involved, as appropriate, must be
included.
(b) Other Partnerships (3 Points): The score in this factor will be
based on the successful integration of partners into implementation of
the proposed RSDM program. In order to receive a high score, an
applicant must provide a signed Memorandum of Understanding (MOU) or
other equivalent signed documentation that delineates the roles and
responsibilities of each of the parties in the program and the benefits
they will receive. In assessing this subfactor, HUD will examine a
number of aspects of the proposed partnership, including:
(i) The division of responsibilities/management structure of the
proposed partnership relative to the expertise and resources of the
partners;
(ii) The extent to which the partnership as a whole addresses a
broader level of unmet resident needs; and
(iii) The extent to which the addition of the partners provides the
ability to meet needs that the applicant could not meet without the
partner(s).
(c) Overall Relationship/Coordination (3 Points for Family RSDM
only): For Family RSDM applicants, the score in this factor will be
based on the extent of coordination between the applicant's proposed
RSDM program and any existing or proposed programs within the
applicant's jurisdiction. In order to receive a high score, the
application must contain an MOU that describes collaboration between
the applicant and residents on all of the specific components related
to the work plan of the proposed RSDM program. To receive points, at a
minimum, there must be a narrative description of this collaboration.
Elderly and Persons with Disabilities RSDM applications will not be
scored on this criterion.
Rating Factor 4: Leveraging Resources (10 Points)
This factor addresses the ability of the applicant to secure
community resources (note: financing is a community resource) that can
be combined with HUD's program resources to achieve program purposes.
In evaluating this factor HUD will consider:
The extent to which the applicant has partnered with other entities
to secure additional resources to increase the effectiveness of the
proposed program activities. The budget, the work plan, and commitments
for additional resources and services, other than the grant, must show
that these resources are firmly committed, will support the proposed
grant activities and will, in combined amount (including in-kind
contributions of personnel, space and/or equipment, and monetary
contributions) equal at least 25% of the RSDM grant amount proposed in
this application. ``Firmly committed'' means there must be an written
agreement with the provider of resources, signed by an official legally
able to make commitments on behalf of the organization. The signed,
written agreement may be contingent upon an applicant receiving a grant
award. Other resources and services may include: the value of in-kind
services, contributions or administrative costs provided to the
applicant; funds from Federal sources (not including RSDM funds); funds
from any State or local government sources; and funds from private
contributions. Applicants may also partner with other program funding
recipients to coordinate the use of resources in the target area.
Applicants must provide evidence of leveraging/partnerships by
including in the application letters of firm commitments, memoranda of
understanding, or agreements to participate from those entities
identified as partners in the application. To be firmly committed there
must be a written agreement with the provider of resources signed by an
official legally able to make commitments on behalf of the
organization. This agreement may be contingent upon an applicant
receiving a grant award. Each letter of commitment, memorandum of
understanding, or agreement to participate should include the
organization's name, proposed level of commitment and responsibilities
as they relate to the proposed program.
Rating Factor 5: Comprehensiveness and Coordination (10 Points)
This factor addresses the extent to which the applicant's program
reflects a coordinated, community-based process of identifying needs
and building a system to address the needs by using available HUD
funding resources and other resources available to the community.
In evaluating this factor HUD will consider the extent to which the
application addresses:
(1) Coordination with the Consolidated Plan (2 Points for Family
RSDM applicants and 6 points for Elderly and Persons with Disabilities
RSDM applicants. More points are awarded for Elderly and Persons with
Disabilities RSDM applications in order to balance other sections of
the rating criteria where points are not applicable to an Elderly and
Persons with Disabilities RSDM applicant.) Demonstrates the applicant
has reviewed the community's Consolidated Plan and/or Analysis of
Impediments to Fair Housing Choice, and has proposed activities that
address the priorities,
[[Page 43543]]
needs, goals or objectives in those documents; or substantially
furthers fair housing choice in the community.
(2) For Family RSDM Applications, Coordination with the State or
Tribal Welfare Plan (4 Points): Provides evidence that the proposed
RSDM program has been coordinated with and supports the PHA's, Tribe's/
TDHE's efforts to increase resident self-sufficiency and is coordinated
and consistent with the State, Tribal or local Welfare Plan.
(3) Coordination with Other Activities (4 Points): Demonstrates
that the applicant, in carrying out program activities, will develop
linkages with: other HUD-funded program activities proposed or on-going
in the community; or other State, Tribal, Federal or locally funded
activities proposed or on-going in the community which, taken as a
whole, support and sustain a comprehensive system to address the needs.
(J) Grant Term
The grant term for Resident Service Delivery Models grants is
thirty-six months from the execution date of the grant agreement.
VI. Service Coordinators for Elderly and Persons With Disabilities
(A) Program Description
The Service Coordinator program for the elderly and persons with
disabilities provides funding for the employment and support of service
coordinators in public housing developments designated for the elderly
and persons with disabilities. These elderly and disabled service
coordinators help residents obtain supportive services that are needed
to enable independent living and aging in place.
(B) Amounts Allocated
A total of $15 million is available for awards to qualified
applicants for service coordinators to serve the elderly and persons
with disabilities. These funds may only be used as follows:
(1) Renewal of existing Service Coordinator (SC) grants from prior
years. This limitation is imposed in order to further the achievement
of the Congressional intent conferred with the passage of the FY 1998
EDSS appropriation to renew all service coordinator and congregate
services grants expiring in fiscal year 1998. No applications for new
Service Coordinator grants will be accepted under this funding
category.
(2) For the Elderly and Persons with Disabilities SC category,
award amounts cannot be higher than the applicant's highest funding and
staffing level for any one-year period that was approved for their last
funded Service Coordinator Grant. An increase of up to 2 percent over
this amount will be allowed if supported by a narrative justification.
(C) Eligible Applicants
(1) This funding category provides grants to PHAs with developments
designated for the elderly and persons with disabilities.
(2) A PHA may not apply for elderly and disabled service
coordinator funding if it has an expiring elderly Service Coordinator
or EDSS grants that has spent less than 75% of the prior grant by the
publication date of this NOFA.
(3) Joint Applications. Two or more PHAs may join together to share
a service coordinator and so submit joint applications. Joint
applications must designate a lead applicant. Funding for a joint
application may not exceed the stated maximum for this funding
category.
(D) Eligible Developments
To be eligible, a development must have elderly residents and/or
non-elderly resident with disabilities who together total at least 25
percent of the building's residents.
(E) Eligible Activities
Under this funding category, funds may be used for the following
activities:
(1) Service coordinator
Grant funds from this category may be used to pay for the salary,
fringe benefits, and related administrative costs for employing a
service coordinator. A service coordinator is a social service staff
person hired or contracted by the PHA. The coordinator is responsible
for assuring that elderly residents, especially those who are frail or
at risk, and those non-elderly residents with disabilities are linked
to the supportive services they need to continue living independently
in that development. The service coordinator, however, may not require
any elderly person or person with disabilities to accept the supportive
services. For the purposes of this program, a service coordinator is
any person who is responsible for one or more of the following
functions:
(a) Working with community service providers to coordinate the
provision of services and to tailor the services to the needs and
characteristics of eligible residents;
(b) Establishing a system to monitor and evaluate the delivery,
impact, effectiveness and outcomes of supportive services under this
program;
(c) Coordinating this program with other independent living or
self-sufficiency, education and employment programs;
(d) Performing other duties and functions to assist residents to
remain independent, and to prevent unnecessary institutionalization;
and
(e) Mobilizing other national and local public/private resources
and partnerships.
(2) Administrative Costs
May include, but are not limited to, purchase of furniture, office
equipment and supplies, training, quality assurance, travel, and
utilities. Administrative costs must not exceed 20% of the total grant
costs.
(F) Ineligible Costs
(1) Applicants may not use these monies to replace current funding
from other sources for a Service Coordinator or for some other staff
person who performs service coordinator functions.
(2) The cost of application preparation is not eligible.
(G) Application Submission Requirements
(1) Each application must be submitted in one original and two
copies. Applications may not be sent by facsimile (FAX).
(2) Required Certifications, Assurances and other Forms. All
applications for funding under this funding category must contain the
following documents and information:
(a) Transmittal letter and request using the designated format;
(b) Grant Certifications;
(c) Evidence of comparable salaries in local area;
(d) Applicant checklist;
(e) For PHAs with expiring elderly or disabled Service Coordinator
or Elderly or Disabled EDSS grants, evidence of grant expenditures that
total at least 75% of grant funds by the publication date of this NOFA.
(f) Lead Agency letter format (if appropriate);
(g) Certification of Non-Duplication of Funding Request;
(h) Each applicant must submit signed copies of the following
forms, assurances, and certifications:
(i) Standard Form (SF) 424, Standard Form for Application for
Federal Assistance;
(j) Standard Form (SF) 424-B, Assurances for Non-Construction
Programs.
(k) Drug-Free Workplace Certification (HUD-50070);
(l) Certification and Disclosure Form Regarding Lobbying Activities
(SF-LLL); and
[[Page 43544]]
(m) Applicant/Recipient Disclosure Update Report (HUD-2880).
(H) Threshold Requirements
(1) Elderly and/or Disabled Housing Development Certification
A Certification that at least 25% of the residents of the
development(s) proposed for grant activities are elderly and/or non-
elderly people with disabilities at the time of application.
(2) Accessible Community Facility
The application must provide evidence (e.g. through an executed use
agreement if the facility is to be provided by an entity other than the
PHA that a majority of the proposed activities will be administered at
community facilities within easy transportation access (i.e., walking
or by direct (no transfers required), convenient, inexpensive and
reliable transport), of the property represented by the PHA. The
community facilities must also meet the structural accessibility
requirements of Section 504 of the Rehabilitation Act and the Americans
With Disabilities Act.
(3) Match Requirement
(a) The applicant must supplement grant funds with an in-kind and/
or cash match of not less than 25% of the grant amount. This match does
not have to be a cash match. The match may include: the value of in-
kind services, contributions or administrative costs provided to the
applicant; funds from Federal sources (but not ROSS, EDSS, TOP, SC
funds); funds from any State or local government sources; and funds
from private contributions.
(b) The application must demonstrate that the cash or in-kind
resources and services, which the applicant will use as match amounts
(including resources from the applicant's Comprehensive Grant, other
governmental units/agencies of any type, and/or private sources,
whether for-profit or not-for-profit), are firmly committed and will
support the proposed grant activities. ``Firmly committed'' means there
must be a written agreement to provide the resources and services
signed by an official legally able to make commitments on behalf of the
organization. The written agreement may be contingent upon an applicant
receiving a grant award.
(c) The following are guidelines for valuing certain types of in-
kind contributions:
(i) The value of volunteer time and services shall be computed at a
rate of six dollars per hour except that the value of volunteer time
and services 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 activity is located.
(ii) The value of any donated material, equipment, building, or
lease shall be computed based on the fair market value at time of
donation. Such value shall be documented by bills of sales, advertised
prices, appraisals, or other information for comparable property
similarly situated not more than one year old taken from the community
where the item or activity is located, as appropriate.
(4) Compliance With Current Programs
The applicant must provide certification in the format provided in
the application kit that it is not in default at the time of
application submission with respect to grants for the following
programs: the Family Investment Center Program; the Youth Development
Initiative under the Family Investment Center Program; the Youth
Apprenticeship Program; the Apprenticeship Demonstration in the
Construction Trades Program; the Urban Youth Corps Program; the HOPE 1
Program; the Public Housing Service Coordinator Program; the Public
Housing Drug Elimination Program; the Youth Sports Program; the Tenant
Opportunities Program; and the Economic Development and Supportive
Services Program.
(I) Application Selection Process
Applicants for Elderly or Persons with Disabilities Service
Coordinator grants are required to address application submission
requirements, but are not required to address selection factors. To be
eligible for funding, an application must meet the threshold
requirements of sections VI.(H) and VII. of this NOFA, and submit all
information required under this NOFA. HUD will accept eligible
applications for funding on a first-come, first-serve basis for up to
30 days from the publication date of this NOFA or until funds are
exhausted. If all funds are not awarded in this funding category to
eligible applications, funds are transferable first to the Technical
Assistance/Training Support for Resident Organizations category, and
then to other funding categories in this NOFA in the following order:
first, Resident Management and Business Development under section
IV.(A) of this NOFA; second, Resident Capacity Building and/or Conflict
Resolution under section IV.(B) of this NOFA; third, Resident Service
Delivery Models under section V. of this NOFA.
(J) Grant Term
The grant term for Elderly or Persons with Disabilities Service
Coordinator grants is twelve months from the execution date of the
grant agreement.
VII. General Threshold Requirements
(A) Compliance With Fair Housing and Civil Rights Laws
All applicants and their subrecipients must comply with all Fair
Housing and civil rights laws, statutes, regulations and executive
orders as enumerated in 24 CFR 5.105(a).
If you, the applicant--
(1) Have been charged with a systemic violation of the Fair Housing
Act by the Secretary alleging ongoing discrimination;
(2) Are a defendant in a Fair Housing Act lawsuit filed by the
Department of Justice alleging an ongoing pattern or practice of
discrimination; or
(3) Have received a letter of noncompliance findings under Title
VI, Section 504, or Section 109,--
HUD will not rank and rate your application under this NOFA if the
charge, lawsuit, or letter of findings has not been resolved to the
satisfaction of the Department before the application deadline stated
in the individual program NOFA. HUD's decision regarding whether a
charge, lawsuit, or a letter of findings has been satisfactorily
resolved will be based upon whether appropriate actions have been taken
to address allegations of ongoing discrimination in the policies or
practices involved in the charge, lawsuit, or letter of findings.
(B) Additional Nondiscrimination Requirements
The applicant and any subrecipients, must comply with the Americans
with Disabilities Act, and Title IX of the Education Amendments Act of
1972.
(C) Affirmatively Furthering Fair Housing
The applicant must include in the application or work plan the
specific steps that the applicant will take to:
(1) Address the elimination of impediments to fair housing that
were identified in the jurisdiction's Analysis of Impediments (AI) to
Fair Housing Choice;
(2) Remedy discrimination in housing; or
(3) Promote fair housing rights and fair housing choice.
Further, the applicant has a duty to carry out the specific
activities provided in your responses to the NOFA rating factors that
address affirmatively furthering fair housing.
[[Page 43545]]
(D) Economic Opportunities for Low and Very Low-Income Persons (Section
3)
The ROSS Program requires recipients of assistance to comply with
section 3 of the Housing and Urban Development Act of 1968, 12 U.S.C.
1701u (Economic Opportunities for Low and Very Low-Income Persons in
Connection with assisted Projects) and the HUD regulations at 24 CFR
part 135, including the reporting requirements subpart E. Section 3
requires recipients to ensure that, to the greatest extent feasible,
training, employment and other economic opportunities will be directed
to (1) low and very low income persons, particularly those who are
recipients of government assistance for housing and (2) business
concerns which provide economic opportunities to low and very low
income persons.
(E) Relocation
Any person (including individuals, partnerships, corporations or
associations) who moves from real property or moves personal property
from real property directly (1) because of a written notice to acquire
real property in whole or in part, or (2) because of the acquisition of
the real property, in whole or in part, for a HUD-assisted activity is
covered by Federal relocation statute and regulations. Specifically,
this type of move is covered by the acquisition policies and procedures
and the relocation requirements of the Uniform Relocation Assistance
and Real Property Acquisition Policies Act of 1970, as amended (URA),
and the implementing government-wide regulation at 49 CFR part 24.
The relocation requirements of the URA and the government-wide
regulations cover any person who moves permanently from real property
or moves personal property from real property directly because of
rehabilitation or demolition for an activity undertaken with HUD
assistance.
(F) Forms, Certifications and Assurances
The applicant is required to submit signed copies of the standard
forms, certifications, and assurances listed in this NOFA. As part of
HUD's continuing efforts to improve the NOFA process, several of the
required standard forms have been simplified this year. The standard
forms, certifications, and assurances are as follows:
(1) Standard Form for Application for Federal Assistance (SF-424);
(2) Standard Form for Budget Information--Non-Construction Programs
(SF-424A) or Standard Form for Budget Information--Construction
Programs (SF-424C), as applicable;
(3) Standard Form for Assurances--Non-Construction Programs (SF-
424B) or Standard Form for Assurances--Construction Programs (SF-424D),
as applicable;
(4) Drug-Free Workplace Certification (HUD-50070);
(5) Certification and Disclosure Form Regarding Lobbying (SF-LLL).
(6) Applicant/Recipient Disclosure Update Report (HUD-2880);
(7) Certification that the applicant will comply with the
requirements of the Fair Housing Act, Title VI of the Civil Rights Act
of 1964, section 504 of the Rehabilitation Act of 1973, and the Age
Discrimination Act of 1975, and will affirmatively further fair
housing. CDBG recipients applying for funds under title I of the
Housing and Community Development Act of 1974 (42 U.S.C. 5301 et seq.)
also must certify to compliance with section 109 of the Housing and
Community Development Act.
(8) Certification required by 24 CFR 24.510. (The provisions of 24
CFR part 24 apply to the employment, engagement of services, awarding
of contracts, subgrants, or funding of any recipients, or contractors
or subcontractors, during any period of debarment, suspension, or
placement in ineligibility status, and a certification is required.)
(G) OMB Circulars
For the ROSS Program, the policies, guidance, and requirements of
OMB Circular No. A-87 (Cost Principles Applicable to Grants, Contracts
and Other Agreements with State and Local Governments), OMB Circular
No. A-122 (Cost Principles for Nonprofit Organizations), 24 CFR part 84
(Grants and Agreements with Institutions of Higher Education,
Hospitals, and other Non-Profit Organizations) and 24 CFR part 85
(Administrative Requirements for Grants and Cooperative Agreements to
State and Local governments) may apply to the award, acceptance and use
of assistance and to the remedies for noncompliance, except when
inconsistent with the provisions of the FY 1999 HUD Appropriations Act,
other Federal statutes. Copies of the OMB Circulars may be obtained
from EOP Publications, Room 2200, New Executive Office Building,
Washington, DC 10503, telephone (202) 395-7332 (this is not a toll free
number).
(H) Conflicts of Interest
If you are a consultant or expert who is assisting HUD in rating
and ranking applicants for funding under this NOFA, you are subject to
18 U.S.C. 208, the Federal criminal conflict of interest statute, and
the Standards of Ethical Conduct for Employees of the Executive Branch
regulation published at 5 CFR part 2635. As a result, if you have
assisted or plan to assist applicants with preparing applications for
this NOFA, you may not serve on a selection panel and you may not serve
as a technical advisor to HUD for this NOFA. All individuals involved
in rating and ranking this NOFA, including experts and consultants,
must avoid conflicts of interest or the appearance of conflicts.
Individuals involved in the rating and ranking of applications must
disclose to HUD's General Counsel or HUD's Ethic Law Division the
following information if applicable: the selection or non-selection of
any applicant under this NOFA will affect the individual's financial
interests, as provided in 18 U.S.C. 208; or the application process
involves a party with whom the individual has a covered relationship
under 5 CFR 2635.502. The individual must disclose this information
prior to participating in any matter regarding this NOFA. If you have
questions regarding these provisions or if you have questions
concerning a conflict of interest, you may call the Office of General
Counsel, Ethics Law Division, at 202-708-3815 and ask to speak to one
of HUD's attorneys in this division.
VIII. Program Requirements
Grantees must meet the following program requirements:
(A) Compliance With Civil Rights Requirements
In addition to compliance with the civil rights requirements at 24
CFR 5.105, each successful applicant must comply with the
nondiscrimination in employment requirements of Title VII of the Civil
Rights Act of 1964, 42 U.S.C. 2000e et seq.; the Equal Pay Act, 29
U.S.C. 206(d); the Age Discrimination in Employment Act of 1967, 29
U.S.C. 621 et seq., and Titles I and V of the Americans with
Disabilities Act, 42 U.S.C. 12101 et seq. Tribes/TDHEs must comply with
the Indian Civil Rights Act (Title II of the Civil Rights Act of 1968,
24 U.S.C. 1001-1303); the Age Discrimination Act of 1975 (42 U.S.C.
6101-6107); and, Section 504 of the Rehabilitation Act of 1973 (29
U.S.C. 794).
(B) Adhere to the Grant Agreement
After an application has been approved, HUD and the applicant shall
enter into a grant agreement (Form 1044 and attachments) incorporating
the
[[Page 43546]]
entire application except as modified by HUD and setting forth the
amount of the grant and its applicable terms, conditions, financial
controls, payment mechanism (which except under extraordinary
conditions will operate under HUD's Line of Credit Control System
(LOCCS) and special conditions, including requiring adherence to the
appropriate OMB circulars and other government wide requirements and
specifying sanctions for violation of the agreement. The grant
agreement will include additional information regarding Insurance/
Indemnification, Freedom of Information Act, grant staff personnel,
exclusion period, earning and benefits, reports, close-outs, and
treatment of income.
(C)
Within twelve months of HUD grant approval, successful applicants
who are site-based RAs must have applied for 501(c) status from the
United States Internal Revenue Service.
(D) Risk Management
Grantees and subgrantees are required to implement, administer and
monitor programs so as to minimize the risk of fraud, waste, abuse, and
liability for losses from adversarial legal action.
(E) ROSS Evaluation and Assessment
All applicants selected for award must be willing to participate in
the evaluation and assessment that HUD intends to conduct for the ROSS
Program. At grant award HUD will provide additional information on the
evaluation and assessment for applicants who receive awards.
(F) Applicant Internet Access
Prior to the initial draw down, all grantees shall have secured
online access to the Internet as a means to communicate with HUD on
grant matters.
(G) Definitions
City-Wide Resident Organization consists of members from Resident
Councils, Resident Management Corporations, and Resident Organizations
who reside in housing developments that are owned and operated by the
same PHA within a city.
Community Facility means 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) that may include but are not limited to:
(1) Child care;
(2) After-school activities for youth;
(3) Job training;
(4) Campus of Learner activities; and
(7) English as a Second Language (ESL) classes.
Contract Administrator means an overall administrator and/or a
financial management agent that oversees the financial aspects of a
grant and assists in the entire implementation of the grant. Examples
of qualified organizations that can serve as a Contract Administrator
are:
(1) Local housing agencies; and
(2) Community based organizations such as Community Development
Corporations (CDCs), community churches, and State/Regional
Associations/Organizations.
Development has the same meaning as the term ``Project'' below.
Firmly Committed means there must be a written agreement to provide
the resources. This written agreement may be contingent upon an
applicant receiving an award.
Elderly person means a person who is at least 62 years of age.
Jurisdiction-Wide Resident Organization means an incorporated
nonprofit organization or association that meets the following
requirements:
(1) Most of its activities are conducted within the jurisdiction of
a single housing agency;
(2) There are no incorporated Resident Councils or Resident
Management Corporations within the jurisdiction of the single housing
agency;
(3) It has experience in providing start-up and capacity-building
training to residents and resident organizations; and
(4) Public housing residents representing unincorporated Resident
Councils within the jurisdiction of the single housing agency must
comprise the majority of the board of directors.
Intermediary Resident Organizations means Jurisdiction-Wide
Resident Organizations, City-Wide Resident Organizations, State-Wide
Resident Organizations, Regional Resident Organizations, and National
Resident Organizations.
National Resident Organization (NRO) means an incorporated
nonprofit organization or association for public housing that meets
each of the following requirements:
(1) It is national (i.e., conducts activities or provides services
in at least two HUD Areas or two States);
(2) It has experience in providing start-up and capacity-building
training to residents and resident organizations; and
(3) Public housing residents representing different geographical
locations in the country must comprise the majority of the board of
directors.
Person with disabilities means an adult person who:
(1) Has a condition defined as a disability in section 223 of the
Social Security Act;
(2) Has a developmental disability as defined in section 102 of the
Developmental Disabilities Assistance Bill of Rights Act; or
(3) Is determined, pursuant to regulations issued by the Secretary,
to have a physical, mental, or emotional impairment which:
(a) Is expected to be of long-continued and indefinite duration;
(b) Substantially impedes his or her ability to live independently;
and
(c) Is of such a nature that such ability could be improved by more
suitable housing conditions.
The term ``person with disabilities'' does not exclude persons who
have the disease of acquired immunodeficiency syndrome or any
conditions arising from the etiologic agent for acquired
immunodeficiency syndrome. In addition, no individual shall be
considered a person with disabilities, for purposes of eligibility for
low-income housing, solely on the basis of any drug or alcohol
dependence.
The definition provided above for persons with disabilities is the
proper definition for determining program qualifications. However, the
definition of a person with disabilities contained in Section 504 of
the rehabilitation Act of 1973 and its implementing regulations must be
used for purposes of reasonable accommodations.
Program Coordinator is a person who is responsible for coordinating
various proposed RSDM activities to ensure that their accomplishment
will assist in achieving overall grant goals and objectives.
Project is the same as ``low-income housing project'' as defined in
section 3(b)(1) of the United States Housing Act of 1937 (42 U.S.C.
1437 et seq.) (1937 Act).
Resident Association (RA) means any or all of the forms of resident
organizations as they are defined elsewhere in this Definitions section
and includes Resident Councils (RC), Resident Management Corporations
(RMC), Regional Resident Organizations (RRO), Statewide Resident
Organizations (SRO), Jurisdiction-Wide Resident Organizations, and
National Resident Organizations (NRO).
Resident Council (RC) means (as provided in 24 CFR 964.115) an
incorporated or unincorporated nonprofit organization or association
that shall consist of persons residing in public housing and must meet
each of the following requirements in order to
[[Page 43547]]
receive official recognition from the PHA/HUD, and be eligible to
receive funds for RC activities and stipends for officers for their
related costs for volunteer work in public housing. (Although 24 CFR
part 964 defines an RC as an incorporated or unincorporated nonprofit
organization, HUD requires RC applicants for ROSS grants to be
registered with the State at the time of application submission):
(1) It must adopt written procedures such as by-laws, or a
constitution which provides for the election of residents to the
governing board by the voting membership of the public housing
residents. The elections must be held on a regular basis, but at least
once every 3 years. The written procedures must provide for the recall
of the resident board by the voting membership. These provisions shall
allow for a petition or other expression of the voting membership's
desire for a recall election, and set the percentage of voting
membership (``threshold'') which must be in agreement in order to hold
a recall election. This threshold shall not be less than 10 percent of
the voting membership.
(2) It must have a democratically elected governing board that is
elected by the voting membership. At a minimum, the governing board
should consist of five elected board members. The voting membership
must consist of heads of households (any age) and other residents at
least 18 years of age or older and whose name appear on a lease for the
unit in the public housing that the resident council represents.
(3) It may represent residents residing in:
(a) Scattered site buildings in areas of contiguous row houses;
(b) One or more contiguous buildings;
(c) A development; or
(d) A combination of the buildings or developments described above.
Regional Resident Organization (RRO) means an incorporated
nonprofit organization or association for public housing that meets
each of the following requirements:
(1) It is regional (i.e., not limited by HUD Areas);
(2) It has experience in providing start-up and capacity-building
training to residents and resident organizations; and
(3) Public housing residents representing different geographical
locations in the region must comprise the majority of the board of
directors.
Resident Management Corporation (RMC) (See 24 CFR 964.7, 964.120)
means an entity that consists of residents residing in public housing
and must have each of the following characteristics in order to receive
official recognition by the PHA and HUD:
(1) It shall be a nonprofit organization that is validly
incorporated under the laws of the State in which it is located;
(2) It may be established by more than one RC, so long as each such
council:
(a) Approves the establishment of the corporation; and
(b) Has representation on the Board of Directors of the
corporation.
(3) It shall have an elected Board of Directors, and elections must
be held at least once every 3 years;
(4) Its by-laws shall require the Board of Directors to include
resident representatives of each RC involved in establishing the
corporation; include qualifications to run for office, frequency of
elections, procedures for recall, and term limits if desired;
(5) Its voting members shall be heads of households (any age) and
other residents at least 18 years of age and whose name appear on the
lease of a unit in public housing represented by the RMC;
(6) Where an RC already exists for the development, or a portion of
the development, the RMC shall be approved by the RC board and a
majority of the residents. If there is no RC, a majority of the
residents of the public housing development it will represent must
approve the establishment of such a corporation for the purposes of
managing the project; and
(7) It may serve as both the RMC and the RC, so long as the
corporation meets the requirements of this part for an RC.
Secretary means the Secretary of Housing and Urban Development.
Site-Based Resident Associations means Resident Councils and
Resident Management Corporations.
Statewide Resident Organization (SRO) means a Site-Based
incorporated nonprofit organization or association for public housing
that meets the following requirements:
(1) It is Statewide;
(2) It has experience in providing start-up and capacity-building
training to residents and resident organizations; and
(3) Public housing residents representing different geographical
locations in the State must comprise the majority of the board of
directors.
Tribal housing means housing assisted under the Indian Housing
Block Grant Program at 24 CFR part 1000.
(H) Environmental Requirements
It is anticipated that most activities under this NOFA will be
categorically excluded under 24 CFR 50.19(b)(3), (b)(9), (b)(12), or
(b)(14). An applicant proposing physical development activities is
prohibited from rehabilitating, converting, leasing, repairing or
constructing property, or committing or expending HUD or non-HUD funds
for these types of program activities, until one of the following has
occurred:
(1) If the grantee is not a PHA, HUD has completed an environmental
review to the extent required by 24 CFR part 50, prior to grant awards.
(2) If the grantee is a PHA, HUD has approved the grantee's Request
for Release of Funds (HUD Form 7015.15) following a Responsible
Entity's completion of an environmental review under 24 CFR part 58,
where required, or if HUD has determined in accordance with Sec. 58.11
to perform the environmental review itself under part 50, HUD has
completed the environmental review.
IX. Application Submission Requirements
The applicant must submit the following, which are further
described in the application kit.
(A) Needs Assessment Report which includes statistical or survey
information on the needs of the recipient population; please use the
appropriate format provided in the application kit.
(B) A three-year work plan for implementing grant activities which
includes reasonably achievable, quantifiable goals, budget, timetable
and strategies, including any innovative approaches. In addition to a
narrative, please use the formats provided in the application kits to
chart the following:
(1) Activity plan summary;
(2) Activity breakout;
(3) Budget breakout;
(4) Summary budget;
(5) Program resources; and
(6) Program staffing;
(C) Information on the applicant and/or administrator track record
with comparable initiatives. Please provide the chart and/or
certification format provided in the application kit;
(D) Certifications and assurances referenced in this program.
Applicants who are IROs or non profits operating association and/or
networks operating programs that benefit public housing resident
organizations must also submit a list of site-based resident
associations they intend to be assisted.
(E) Memorandum of Understanding/Agreement; commitment letters; and
other required documentation of partnerships.
[[Page 43548]]
X. Correction to Deficient Applications
After the application due date, HUD may not, consistent with 24 CFR
part 4, subpart B, consider unsolicited information from an applicant.
HUD may contact an applicant, however, to clarify an item in the
application or to correct technical deficiencies.
Applicants should note, however, that HUD may not seek
clarification of items or responses that improve the substantive
quality of the applicant's response to any eligibility or selection
criterion. Examples of curable technical deficiencies include failure
to submit the proper certifications or failure to submit an application
containing an original signature by an authorized official. In each
case, HUD will notify the applicant in writing by describing the
clarification or technical deficiency. HUD will notify applicants by
facsimile or by return receipt requested.
Applicants must submit clarifications or corrections of technical
deficiencies in accordance with information provided by HUD within 14
calendar days of the date of receipt of the HUD notification. If the
deficiency is not corrected within this time period, HUD will reject
the application as incomplete.
XI. Findings and Certifications
(A) Paperwork Reduction Act Statement
The information collection requirements contained in this notice
were submitted to the Office of Management and Budget for review under
the provisions of the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-
3520) and have been assigned OMB control number 2577-0211. 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
A Finding of No Significant Impact with respect to the environment
has been made in accordance with HUD regulations at 24 CFR Part 50,
which implement Section 102(2)(C) of the National Environmental Policy
Act of 1969. This finding is available for public inspection between
7:30 a.m. and 5:30 p.m. weekdays in the Office of the Rules Docket
Clerk, Office of the General Counsel, Department of Housing and Urban
Development, Room 10276, 451 Seventh Street, SW., Washington, DC 20410.
(C) Federalism, Executive Order 12612
The General Counsel, as the Designated Official under section 6(a)
of Executive Order 12612, Federalism, has determined that the policies
contained in this NOFA will not have substantial direct effects on
States or their political subdivisions, or on the relationship between
the Federal Government and the States, or on the distribution of power
and responsibilities among the various levels of government.
Specifically, the NOFA solicits applicants to help eligible families
make the transition from welfare to work, and does not impinge upon the
relationships between the Federal government and State and local
governments. As a result, the NOFA is not subject to review under the
Order.
(D) Prohibition Against Lobbying Activities
You, the applicant, are subject to the provisions of section 319 of
the Department of Interior and Related Agencies Appropriation Act for
Fiscal Year 1991, 31 U.S.C. 1352 (the Byrd Amendment), which prohibits
recipients of Federal contracts, grants, or loans from using
appropriated funds for lobbying the executive or legislative branches
of the Federal Government in connection with a specific contract,
grant, or loan. You are required to certify, using the certification
found at Appendix A to 24 CFR part 87, that they will not, and have
not, used appropriated funds for any prohibited lobbying activities. In
addition, you must disclose, using Standard Form-LLL, ``Disclosure of
Lobbying Activities,'' any funds, other than Federally appropriated
funds, that will be or have been used to influence Federal employees,
members of Congress, and congressional staff regarding specific grants
or contracts.
(E) Section 102 of the HUD Reform Act; Documentation and Public
Access Requirements
Section 102 of the Department of Housing and Urban Development
Reform Act of 1989 (42 U.S.C. 3545) (HUD Reform Act) and the
regulations codified in 24 CFR part 4, subpart A, contain a number of
provisions that are designed to ensure greater accountability and
integrity in the provision of certain types of assistance administered
by HUD. On January 14, 1992 (57 FR 1942), HUD published a notice that
also provides information on the implementation of section 102. The
documentation, public access, and disclosure requirements of section
102 apply to assistance awarded under this NOFA as follows:
(1) Documentation and Public Access Requirements
HUD will ensure that documentation and other information regarding
each application submitted pursuant to this NOFA are sufficient to
indicate the basis upon which assistance was provided or denied. This
material, including any letters of support, will be made available for
public inspection for a 5-year period beginning not less than 30 days
after the award of the assistance. Material will be made available in
accordance with the Freedom of Information Act (5 U.S.C. 552) and HUD's
implementing regulations in 24 CFR part 15.
(2) Disclosures
HUD will make available to the public for 5 years all applicant
disclosure reports (Form HUD-2880) submitted in connection with this
NOFA. Update reports (also Form HUD-2880) will be made available along
with the applicant disclosure reports, but in no case for a period less
than 3 years. All reports--both applicant disclosures and updates--will
be made available in accordance with the Freedom of Information Act (5
U.S.C. 552) and HUD's implementing regulations at 24 CFR part 5.
(3) Publication of Recipients of HUD Funding
HUD's regulations at 24 CFR 4.7 provide that HUD will publish a
notice in the Federal Register on at least a quarterly basis to notify
the public of all decisions made by the Department to provide:
(i) Assistance subject to section 102(a) of the HUD Reform Act; or
(ii) Assistance that is provided through grants or cooperative
agreements on a discretionary (non-formula, non-demand) basis, but that
is not provided on the basis of a competition.
(F) Section 103 HUD Reform Act
HUD's regulations implementing section 103 of the Department of
Housing and Urban Development Reform Act of 1989 (42 U.S.C. 3537a),
codified in 24 CFR part 4, apply to this funding competition. The
regulations continue to apply until the announcement of the selection
of successful applicants. HUD employees involved in the review of
applications and in the making of funding decisions are limited by the
regulations from providing advance information to any person (other
than an authorized employee of HUD) concerning funding decisions, or
from otherwise giving any applicant an unfair competitive
[[Page 43549]]
advantage. Persons who apply for assistance in this competition should
confine their inquiries to the subject areas permitted under 24 CFR
part 4.
Applicants or employees who have ethics related questions should
contact the HUD Ethics Law Division at (202) 708-3815. (This is not a
toll-free number.) For HUD employees who have specific program
questions, the employee should contact the appropriate field office
counsel, or Headquarters counsel for the program to which the question
pertains.
(G) Catalog of Federal Domestic Assistance Numbers
The Catalog of Federal Domestic Assistance number for this program
is 14.870.
XIII. Authority.
The Departments of Veterans Affairs and Housing and Urban
Development, Independent Agencies Appropriation Act of 1999 (Pub. L.
105-276, 112 Stat. 2461, approved October 21, 1998), and the
Departments of Veterans Affairs and Housing and Urban Development and
Independent Agencies Appropriations Act, 1998 (Pub. L. 105-65, 111
Stat. 1344, approved October 27, 1997).
Dated: July 27, 1999.
Harold Lucas,
Assistant Secretary for Public and Indian Housing.
[FR Doc. 99-20429 Filed 8-4-99; 2:21 pm]
BILLING CODE 4210-33-P
