NOFA for Public and Indian Housing Family Investment Centers

Federal RegisterFeb 15, 1995

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SUMMARY: This NOFA announces a total of up to $60,000,000 in funding,

including the FY 1995 appropriation of $26,342,000 for Family

Investment Centers for families living in public and Indian housing.

Because some of the total FY 1995 funds are to be derived from sources

other than the appropriation (transfers, recaptures of prior

obligations, and carryover funds), the actual amount available may be

less. This program provides grants to public housing agencies and

Indian housing authorities (collectively ``HAs'') to provide families

living in public and Indian housing with better access to education and

job opportunities to achieve self-sufficiency and independence. The

supportive services funded under this grant shall be provided over a 3-

to 5-year period. The final rule on this program was published in the

Federal Register on August 24, 1994 (59 FR 43622; see part 964, subpart

D, and part 905, subpart O).

In the body of this document is information concerning the purpose

of the NOFA, eligible activities, eligibility, available amounts,

ranking factors, and application processing, including how to apply and

how selections will be made.

DATES: Application kits will be available beginning February 15, 1995.

The application deadline will be 3:00 p.m., local time, on June 15,

1995.

ADDRESSES: An application kit may be obtained from the local HUD State/

Area Office with delegated responsibilities over an applicant public/

Indian housing agency (See Appendix for listing), or by calling the HUD

Resident Initiatives Clearinghouse toll free number 1-800-955-2232.

Telephone requests must include your name, mailing address, or post

office address (including zip code), telephone number (including area

code), and should refer to document FR-3832-N-01. This NOFA cannot be

used as the application.

FOR FURTHER INFORMATION CONTACT: Marcia Y. Martin, Office of Community

Relations and Involvement (OCRI), Room 4106, or Charles V. Bell, Office

of Native American Programs (ONAP), Room P8204, Department of Housing

and Urban Development, 451 Seventh Street, SW., Washington, DC 20410;

telephone numbers: OCRI (202) 708-4214; and ONAP (202) 755-0032 (these

are not toll-free numbers). Hearing- or speech-impaired persons may use

the Telecommunications Devices for the Deaf (TDD) by contacting the

Federal Information Relay Service on 1-800-877-TDDY (1-800-877-8339) or

202-708-9300 (not a toll-free number) for information on the program.

SUPPLEMENTARY INFORMATION:

Paperwork Reduction Act Statement

The information collection requirements contained in this notice

have been submitted to the Office of Management and Budget (OMB) for

review under the Paperwork Reduction Act of 1980 (44 U.S.C. 3501-3520)

and have been assigned OMB control number 2577-0189.

I. Purpose and Substantive Description

A. Authority

Section 22 of the United States Housing Act of 1937 (42 U.S.C.

1437t) provides for the establishment of Family Investment Centers

(FIC). Implementing regulations for the program were published in the

Federal Register on August 24, 1994 (59 FR 43622), as subpart D of part

964 and subpart O of part 905.

B. Allocation Amounts

In the Departments of Veterans Affairs and Housing and Urban

Development, and Independent Agencies Appropriations Act, 1995 (Pub. L.

103-327, approved September 28, 1994), Congress appropriated

$26,342,000 for Family Investment Centers. This amount is being

combined with excess recaptured funds carried over from FY 1993 to make

an additional amount of up to $33,658,000 available for funding. These

funds may be adjusted pending Secretarial and congressional actions.

Of the $60 million total current funds, $44,529,629 is being made

available under this NOFA. The Department intends to use $10 million

for a Youth Development Initiative for the purposes of curbing crime

among youth, and for youth leadership and development programs that

will provide young individuals in public housing with better access to

comprehensive education, employment opportunities, and supportive

services to achieve self-sufficiency. (Indian Housing Authorities

(IHAs) are not eligible for the Youth Development Initiative; however,

additional IHAs may be funded through the regular FIC allocation under

this NOFA.) In FY 1994, the Department awarded $5 million of FIC funds

under this Initiative. A separate NOFA announcing these funds will be

published in the Federal Register.

The Department also intends to use up to $3.5 million for the

purpose of developing 4-H after-school programs for youth, ages 7 to

13, in public housing communities. The After-School Demonstration will

involve joint investment by the public and private sectors to provide

counseling, tutoring, mentoring, and other supportive services designed

to reduce gang-related activities and enhance lifestyle choices. HUD

expects that this funding will demonstrate the success of such public/

private partnerships and commitments in public housing communities that

address specific, long-term counseling needs. A separate notice

announcing these funds and soliciting public comment will be published

in the Federal Register.

To ensure that the Family Investment Centers Program is implemented

on a broad, nationwide basis, each applicant may submit only one

application under this NOFA. A public housing agency/Indian housing

authority (collectively, ``HAs'') may apply to establish one or more

Family Investment Centers for more than one public or Indian housing

development; however the maximum grant amount per applicant under this

NOFA is $1 million.

C. Overview and Policy

The stated purpose of Section 22 is:

[T]o provide families living in public housing with better

access to educational and employment opportunities to achieve self-

sufficiency and independence by: (a) Developing facilities in or

near public housing for training and support services; (b)

mobilizing public and private resources to expand and improve the

delivery of such services; (c) providing funding for such essential

training and support services that cannot otherwise be funded; and

(d) improving the capacity of management to assess the training and

service needs of families, coordinate the provision of training and

services that meet such needs, and ensure the long-term provision of

such training and services.

Although Section 22 is phrased in terms of families living in

public housing, the program is also available to Indian Housing

Authorities (IHAs), because of section 527 of the National Affordable

Housing Act (104 Stat. 4216; 42 U.S.C. 1437aa note) (NAHA). Section 527

extends the applicability of many NAHA provisions affecting Title I of

the 1937 Act (including section 515, which [[Page 8901]] added Section

22) to housing operated by an IHA.

FIC provides funding to HAs to access educational, housing, or

other social service programs to assist public and Indian housing

residents toward self-sufficiency. The Department envisions that FIC

will complement other self-sufficiency activities, such as the Family

Self-Sufficiency (FSS) Program and the requirements of Section 3 of the

Housing and Urban Development Act of 1968 (12 U.S.C. 1701u). As an

incentive to become self-sufficient, the earnings of public or Indian

Housing families participating in the FIC shall not be treated as

income for the purposes of any other program or provision of State or

Federal law, including rent assistance (see Section I.F(5) of this

NOFA). The FIC is administered by the Department's Office of Community

Relations and Involvement (OCRI) in the Office of Public and Indian

Housing, with assistance from a network of Community Relations

Involvement Specialists (CRIs) in HUD's Field Offices.

D. Definitions

Eligible residents means participating residents of a participating

HA. If the HA is combining FIC with the Family Self-Sufficiency (FSS)

program, the term also means Public Housing FSS and Section 8 families

participating in the FSS program.

Secretary means the Secretary of Housing and Urban Development.

Service coordinator means, for purposes of this NOFA, any person

who is responsible for:

(1) Determining the eligibility of families to be served by the

FIC;

(2) Assessing training and service needs of eligible residents;

(3) Working with service providers to coordinate the provision of

services on a HA-wide or less than HA-wide basis, and to tailor the

services to the needs and characteristics of eligible residents;

(4) Mobilizing public and private resources to ensure that the

supportive services identified can be funded over the 5-year period, at

least, following the initial receipt of funding under this NOFA;

(5) Monitoring and evaluating the delivery, impact, and

effectiveness of any supportive service funded with capital or

operating assistance under this program;

(6) Coordinating the development and implementation of the FIC

program with other self-sufficiency programs and other education and

employment programs; or

(7) Performing other duties and functions that are appropriate for

providing eligible residents with better access to educational and

employment opportunities.

Supportive services means new or significantly expanded services

essential to providing families in public and Indian housing with

better access to educational and employment opportunities to achieve

self-sufficiency and independence. (HAs applying for funds to provide

supportive services must demonstrate that the services will be provided

at a higher level than currently provided). Supportive services may

include:

(1) Child care, of a type that provides sufficient hours of

operation and serves appropriate ages as needed to facilitate parental

access to education and job opportunities;

(2) Employment training and counseling (e.g., job training,

preparation and counseling, job development and placement, and follow-

up assistance after job placement);

(3) Computer skills training;

(4) Entrepreneurship training;

(5) Education (e.g., remedial education, literacy training,

completion of secondary or post-secondary education, and assistance in

the attainment of certificates of high school equivalency);

(6) Transportation, as necessary to enable any participating family

member to receive available services or to commute to his or her place

of employment;

(7) Personal welfare (e.g., substance/alcohol abuse treatment and

counseling, self-development counseling, etc.);

(8) Supportive Health Care Services (e.g., outreach and referral

services); and

(9) Any other services and resources, including case management,

that are determined to be appropriate in assisting eligible residents.

Vacant unit means a dwelling unit that is not under an effective

lease to an eligible family. An effective lease is a lease under which

an eligible family has a right to possession of the unit and is being

charged rent, even if the amount of any utility allowance equals or

exceeds the amount of a total tenant payment that is based on income

and, as a result, the amount paid by the family to the HA is zero.

E. Eligibility

(1) Eligible Applicants. Funding for this program is limited to

public and Indian housing authorities. Housing Authorities with Section

8 oversight (only) are not eligible to apply for funds under this NOFA.

Facilities assisted shall be on or near the premises of public or

Indian housing. Two or more HAs may apply jointly if they demonstrate

that it is feasible to run the program together; however, only one

applicant may serve as the lead applicant and the maximum grant per

application under this NOFA is $1,000,000.

Although the program is intended to benefit public and Indian

housing residents, an applicant that is otherwise eligible and is

combining FIC activities with FSS activities may use FIC funds to serve

both HA residents and section 8 families who are participating in the

FSS Program. Some HAs will combine their FIC and FSS programs. Section

8 FSS Program participants are eligible to participate in the FIC

program when it is combined with FSS, but FIC income exclusions that

are provided to public and Indian housing residents participating in

employment training and supportive service programs do not apply to

Section 8 FSS families. If a family under FSS is currently putting

their funds in an escrow account, it cannot also be eligible for the

FIC income exclusion. For all other families using FIC services, costs

incurred are to be borne by other resources.

To be eligible under this NOFA, a HA cannot have serious

unaddressed, outstanding Inspector General audit findings or fair

housing and equal opportunity monitoring review findings or Field

Office management review findings. In addition, the HA must be in

compliance with civil rights laws and equal opportunity requirements. A

HA will be considered to be in compliance if:

(a) As a result of formal administrative proceedings, there are no

outstanding findings of noncompliance with civil rights laws unless the

HA is operating in compliance with a HUD-approved compliance agreement

designed to correct the area(s) of noncompliance;

(b) There is no adjudication of a civil rights violation in a civil

action brought against it by a private individual, unless the HA

demonstrates that it is operating in compliance with a court order, or

implementing a HUD-approved resident selection and assignment plan or

compliance agreement, designed to correct the area(s) of noncompliance;

violations;

(d) HUD has not deferred application processing by HUD under Title

VI of the Civil Rights Act of 1964, the Attorney General's Guidelines

(28 CFR 50.3) and HUD's Title VI regulations (24 CFR 1.8) and

procedures (HUD Handbook 8040.1) [PHAs only] or under Section 504 of

the Rehabilitation Act of 1973 and HUD [[Page 8902]] regulations (24

CFR 8.57) [PHAs and IHAs];

(e) There is no pending civil rights suit brought against the HA by

the Department of Justice; and

(f) There is no unresolved charge of discrimination against the HA

issued by the Secretary under Section 810(g) of the Fair Housing Act,

as implemented by 24 CFR 103.400.

(2) Eligible Activities. Program funds may be used for the

following activities:

(a) The renovation, conversion, or combination of vacant dwelling

units in a HA development to create common areas to accommodate the

provision of supportive services;

(b) The renovation of existing common areas in a HA development to

accommodate the provision of supportive services;

located near the premises of one or more HA developments to accommodate

the provision of supportive services;

(d) The provision of not more than 15 percent of the total cost of

supportive services (which may be provided directly to eligible

residents by the HA or by contract or lease through other appropriate

agencies or providers), but only if the HA demonstrates that:

(i) The supportive services are appropriate to improve the access

of eligible residents to employment and educational opportunities; and

(ii) The HA has made diligent efforts to use or obtain other

available resources to fund or provide such services; and

(e) The employment of service coordinators.

(3) Eligible Costs. Activities that may be funded and carried out

by an HA include, but are not limited to the following:

(a) Administrative costs. No cap. Costs that are reasonable and

include maintenance, utility costs (telephone, fax, light, gas),

Postage, Printing, Copier, Building leasing/rent costs, Service

Coordinator/Case Manager, Accounting Staff, initial equipment purchase

(i.e., desks, chairs, computer equipment, tools, etc.);

(b) Other program costs. Costs that include advertisement,

reimbursement for participant travel costs, travel stipends, vehicle

lease (to transport participants to FIC), insurance liability costs

(personal property/property off HA site) and Technical Assistance (T/A)

contractor fees, etc.;

total cost of supportive services. Direct service delivery includes the

costs of training programs, day care services, manpower, etc.; and

(d) Site Facility/Renovation/Conversion/Construction Costs. Costs

include renovation/conversion/construction, acquisition, architectural

and engineering (and related professional services required to prepare

architectural plans or drawings, write-ups, specifications or

inspections).

(4) Other Eligibility Related Requirements. (a) Grants used solely

for the renovation, conversion, construction, or acquisition activities

listed in paragraphs (a), (b), or (c) of Section I.E(2), ``Eligible

Activities,'' of this NOFA, shall be completed within 3 years of the

effective date of the grant. The provision of supportive services shall

commence upon completion of such activities and shall be provided for

over a 3- to 5-year period. Each applicant should submit a description

of the renovation or conversion to be conducted, along with a budget

and timetable for those activities. 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 3 years

following the completion of renovation/conversion/construction/

acquisition activities funded under this NOFA. Grants solely for

supportive services activities (only) shall be funded over a maximum 3-

to 5-year period.

(b) Each applicant must submit a budget, timetable, and list of

milestones outlining the supportive services proposed for the 3- to 5-

year period (following initial receipt of funding), at least, covered

by the applicant's description of supportive services. Milestones shall

include the number of families to be served, types of services, and

dollar amounts to be allocated over the 3- to 5-year period.

must demonstrate a firm commitment of assistance from one or more

sources ensuring that supportive services will be provided for not less

than 3 years following receipt of funds under this NOFA.

(d) When a grant application is approved, the HA must receive

approval from HUD to conduct renovation/conversion/construction/

acquisition. Approval must be provided prior to drawing down funds.

(e) If renovation/conversion/construction is done off-site, the HA

must provide documentation that it has control of the proposed property

for not less than 3 years and, preferably, for 5 years or more. Control

can be evidenced through a lease agreement, ownership documentation, or

other appropriate documentation (see Sections III.B(3) and III.C(18) of

this NOFA).

F. Other Program Requirements

(1) Resident Involvement. The Department has a longstanding policy

of encouraging HAs to promote resident involvement and to facilitate

cooperative partnerships to achieve specific and mutual goals.

Therefore, residents must be included in the planning and

implementation of this program. The HA shall develop a process that

assures that Resident Council/Resident Management Corporation/Resident

Organization representatives and residents are fully briefed and have

an opportunity to comment on the proposed content of the HA's

application in response to this NOFA. The HA shall give full

consideration to the comments and concerns of the residents. The

process shall include:

(a) Informing residents of the selected developments regarding the

preparation of the application, and providing for residents to assist

in the development of the application, as appropriate.

(b) Once a draft application has been prepared, the HA shall make a

copy available for reading in the management office; provide copies of

the draft to any resident organization representing the residents of

the development(s) involved; and provide adequate opportunity for

comment by the residents of the development and their representative

organizations prior to making the application final.

development a summary of the resident comments and its response to

them, and notify residents of the development(s) that this summary and

response are available for reading in the management office.

(d) After HUD approval of a grant, notify residents of the

development, and any representative organizations, of approval of the

grant; notify the residents of the availability of the HUD approved

implementation schedule in the management office for reading; and

develop a system to facilitate a regular resident role in all aspects

of program implementation.

(2) Training/Employment/Contracting of HA Residents.

(a) Section 3 of the Housing and Urban Development Act of 1968 (12

U.S.C. 1701u) (Section 3) requires that programs of direct financial

assistance administered by HUD provide, to the greatest extent

feasible, opportunities for job training and employment to lower income

residents in connection with projects in their neighborhoods.

[[Page 8903]] The requirements of Section 3 have been implemented in 24

CFR part 135 by an interim rule published on June 30, 1994 (59 FR

33866). For purposes of training and employment, the HA may offer

opportunities to Section 3 residents in the following priority: (i)

residents who reside within the service area as defined in 24 CFR 135.5

and who reside in developments managed by the HA that is expending the

assistance; (ii) participants in Youthbuild programs; (iii) where the

project is assisted under the Stewart B. McKinney Homeless Assistance

Act (42 U.S.C. 11301 et seq.), homeless persons residing in the service

area or neighborhood; and (iv) other Section 3 residents. Therefore, at

a minimum each HA and each of its contractors and subcontractors

receiving funds under this program shall make best efforts to provide

HA residents opportunities in connection with housing rehabilitation,

housing construction, or other public construction projects.

(b) For purposes of the requirements under Section 3, a best effort

means that the HA shall:

(1) Attempt to recruit HA residents from the appropriate areas

through local advertising media, signs placed at the proposed FIC

project site, and community organizations and public or private

institutions operating within the development area. The HA shall

include in its outreach and marketing efforts, procedures to attract

the least likely to apply for this program because it includes

construction/renovation/conversion/acquisition type of activities,

i.e., low-income households headed by women and persons with

disabilities; and

(2) Determine the qualifications of HA residents when they apply,

either on their own or on referral from any source, and employ HA

residents if their qualifications are satisfactory and the contractor

has openings. If the HA is unable to employ residents determined to be

qualified, those residents shall be listed for the first available

openings.

(3) Attempt to contract for services with HA resident-owned

businesses and other eligible businesses located in, or owned in

substantial part by persons residing in, the area.

shall comply with the procedures and requirements of part 135 to the

maximum extent consistent with, but not in derogation of, compliance

with section 7(b) of the Indian Self-Determination and Education

Assistance Act (25 U.S.C. 450e(b)). (See 24 CFR part 905.)

(3) Davis-Bacon Requirements. All laborers and mechanics employed

by contractors or the HA in renovation, construction, or conversion

(including combining of units) on the premises of the HA development to

accommodate the provision of supportive services under this program

shall be paid not less than the wages prevailing in the locality, as

predetermined by the Secretary of Labor pursuant to the Davis-Bacon Act

(40 U.S.C. 276a-276a-5). All architects, technical engineers,

draftsmen, and technicians employed with respect to such work shall be

paid not less than the wages prevailing in the locality as determined

by HUD. These requirements do not apply to volunteers under the

conditions set out in 24 CFR part 70.

(4) Resident Compensation. Residents employed to provide services

funded under this program or described in the application shall be paid

at a rate not less than the highest of:

(a) The minimum wage that would be applicable to the employees

under the Fair Labor Standards Act of 1938 (FLSA), if section 6(a)(1)

of the FLSA applied to the resident and if the resident were not exempt

under section 13 of the FLSA;

(b) The State or local minimum wage for the most nearly comparable

covered employment; or

public occupations by the same employer.

(5) Treatment of Income. (a) 1937 Act. As provided in section 22(i)

of the United States Housing Act of 1937 (1937 Act), no service

provided to a HA resident under this program may be treated as income

for the purpose of any other program or provision of State, Tribal, or

Federal law. Program participation shall begin on the first day the

resident enters training or begins to receive services. Furthermore,

the earnings of and benefits to any HA resident resulting from

participation in the FIC program shall not be considered as income in

computing the tenant's total annual income that is used to determine

the tenant rental payment during:

(i) The period that the resident participates in the program; and

(ii) The period that begins with the commencement of employment of

the resident in the first job acquired by the resident after completion

of the program that is not funded by assistance under the 1937 Act, and

ends on the earlier of:

(A) The date the resident ceases to continue employment without

good cause; or

(B) The expiration of the 18-month period beginning on the date of

commencement of employment in the first job not funded by assistance

under this program.

(6) Reports. Each HA receiving a grant shall submit to HUD an

annual progress report, participant evaluation and assessment data and

other information, as needed, regarding the effectiveness of FIC in

achieving self-sufficiency.

G. Ranking Factors

Each application for grant award will be evaluated if it is

submitted as required under Section II.B of this NOFA and meets the

eligibility requirements in Section I.E of this NOFA. Applications will

be placed in funding categories as follows. Applications submitted for

funds that include combination supportive services/renovation,

conversion, new construction, or acquisition will be competitively

selected based on the highest scores out of a possible 100 points.

Applications submitted for funds solely to implement supportive

services will be competitively selected based on the highest scores out

of a possible 100 points.

Initially, HUD will distribute funds geographically in order to

seek diversity through an appropriate mix of public and Indian housing

authorities. Grants will be awarded to the two highest ranked eligible

applicants in each funding category per HUD State Office. The actual

number of awards granted per State Office will be determined based on

funding available, and may be less than stated. In addition, grants

will be awarded to the two highest ranked eligible IHA applications in

each funding category on a nationwide basis. All of the remaining funds

will be awarded based on project size and geographical diversity. HUD

reserves the right to select lower rated applications, if necessary to

achieve geographic diversity or to meet the need for services. (For

example, the Department retains the authority to fund additional IHAs

in rank order, even though they scored less than PHAs that have not

been selected for funding.)

HUD will review and evaluate the application as follows, according

to whether the application seeks funds for supportive services only or

for combination renovation/conversion/construction/acquisition/

supportive services activities.

(1) Combination Renovation/Conversion/Construction/Acquisition/

Supportive Services Activities (Maximum 100 points).

Applications for funds for these activities will be scored on the

following factors:

(a) Evidence of Need [35 Points]

[[Page 8904]] Evidence of need for supportive services by eligible

residents.

(i) A high score (26-35 points) is achieved where the applicant:

Provides a detailed needs assessment of eligible

residents;

Clearly identifies specific target areas of concern;

Documents milestone results and benefits to be derived

from resident participation in FIC services.

(ii) A medium score (13-25 points) is achieved where the applicant:

Provides a general needs assessment of eligible residents;

Identifies target areas, but does not provide milestone

results to be derived from resident participation in FIC services.

(iii) A low score (1-12 points) is achieved where the

applicant merely mentions there is a need for services, but does not

clearly address specific areas of concern.

(b) Program Quality [20 Points]

The extent to which the HA and each service provider has evidenced

that supportive services and other resources will be provided for at

least 3 to 5 years following the receipt of funding for supportive

services under this NOFA or for 3 years following the completion of

renovation/conversion/ construction/acquisition activities. The extent

to which the HA has demonstrated that it will commit to its FIC part of

its formula allocation of Comprehensive Grant Program (CGP)/

Comprehensive Improvement Assistance Program funds for CGP/CIAP-

eligible activities that result in employment, training, and

contracting opportunities for eligible residents. The extent to which

the envisioned renovation/conversion/construction/acquisition and

combination activities are appropriate to facilitate the provision of

FIC supportive services.

(i) A high score (14-20 points) is received where the applicant:

Provides letters from the service provider(s) that contain

its strong commitment to providing support services and other resources

(i.e., direct financial staff, training/educational) over the grant

period;

Clearly documents its current use of CGP/CIAP funds and

its continued plans to utilize part of its CGP/CIAP funds toward

eligible FIC activities;

Provides a detailed and precise description of the

location of the FIC, the coordination of services proposed at the

facility, the area to be served by the FIC, and its accessibility to

residents, including distance and the transportation necessary to

receive services.

(ii) A medium score (7-13 points) is received where the applicant:

Provides letters or narrative language regarding the

commitment of service providers, but the commitment is limited to

providing services;

Does not currently have CGP/CIAP funding, but has made

clear its intention to use part of future CGP/CIAP funding toward

eligible FIC activities;

Provides a description of the facility location, however

the accessibility of the facility to residents is somewhat unclear.

(iii) A low score (1-6 points) is received where the applicant:

Merely mentions that services will be provided, but does

not provide letters or further explanation;

Does not make clear an intention to use part of its

current or future CGP/CIAP funding toward eligible FIC activities;

Mentions the location of the FIC facility, but does not

provide specific details regarding its accessibility or distance to

residents.

The capability of the HA or designated service provider to provide

the supportive services; and the extent to which the HA has

demonstrated success in modernization activities under the

Comprehensive Grant/Comprehensive Improvement Assistance (CIAP)

Programs (see 24 CFR part 968 and part 905, subpart I). The extent to

which the HA has a good record of maintaining and operating public

housing, as determined by the Public Housing Management Assessment

Program (PHMAP) (see 24 CFR part 901 and, for IHAs, 905.135), and has

utilized innovative and workable strategies to improve management

(e.g., LEAP, which uses highly skilled retired military personnel in

key management positions).

(i) A high score (14-20 points) is received where:

The applicant demonstrates success in providing similar

supportive services programs and has clearly detailed how the services

were coordinated and complemented with other programs;

The applicant's PHMAP score is in the ``high performer''

range;

For IHAs, the applicant is not a ``high risk'' IHA, as

defined in Sec. 905.135, or has developed innovative strategies to

improve management of its developments.

(ii) A medium score (7-13 points) is received where:

The applicant does not currently provide similar programs,

but demonstrates how the services will be coordinated and complemented

with other programs;

The applicant's PHMAP score is in the ``standard'' range

(less than 90) and the HA has clearly identified innovative strategies

to improve management of its developments;

The applicant's PHMAP score is in the ``troubled'' range,

but it is successfully implementing local, State, or Federal

partnerships in an effort to develop effective strategies to improve

its management capacity;

For IHAs, the applicant is a high risk IHA, but indicates

that it has specific plans for improving management of its

developments.

(iii) A low score (1-6 points) is received where:

It is unclear if the applicant or designated service

provider has experience in providing similar supportive services

programs;

The applicant's PHMAP score is in the ``troubled'' range,

and it does not have local, State, or Federal partnerships underway or

effective strategies to improve its management capacity;

For IHAs, the applicant is a high risk IHA and does not

indicate specific plans for improving management of its developments.

(d) Resident Involvement/Local Partnerships [25 Points]

The extent to which the HA has demonstrated that it has partnered

with residents in the planning phase for the FIC, will further include

the residents in the implementation phase (evidence of such a

partnership may be in the form of a resident council board resolution

or letter), and will contract with or employ residents to provide

services and conduct renovation/conversion/construction activities. In

addition, the HA shall include a certification that it is implementing

a FSS program (IHAs without FSS programs that have established

counseling programs, such as those found in Mutual Help (MH), may

provide similar certification) and shall provide evidence of the extent

to which the HA has coordinated with tribal, State, or local social

service agencies the implementation of the program, including in those

target areas, such as Weed and Seed, distressed (as defined by the

Housing Authority), etc. In assigning points for this factor, HUD will

consider the extent of the involvement of those agencies in the

development of the application and their commitment of assistance in

the implementation of the FIC. The commitment of these agencies may be

demonstrated through evidence of intent to provide direct financial

assistance or other resources, such as social services (i.e.,

counseling and [[Page 8905]] training), the use of public/Indian

housing funds available through existing State and local programs, or

other commitments.

(i) A high score (18-25 points) is received where the applicant

provides:

Evidence that it has a strong and cooperative partnership

with its residents and that residents were involved in the development

of the application;

Evidence that the residents will continue their

involvement throughout the implementation stages of the FIC, including

evidence that the applicant will seek resident input in identifying

resident needs;

Evidence that the applicant will contract with or employ

residents to provide services and conduct renovation/conversion/

construction activities;

Certification (in letter or resolution) that it is

currently implementing a FSS program (or similar Mutual Help Program),

and demonstrates success with previous partnerships in other similar

program efforts.

Evidence that the facility will be located in a target

area, such as Weed and Seed, distressed, etc.;

Evidence of strong and committed partnerships with

existing social service agencies and evidence of social service

agencies' intent to provide various resources to the FIC (identifying

source committed, availability of funds, etc.).

(ii) A medium score (9-17 points) is received where:

The applicant mentions its partnership with residents.

Where the residents were notified of the FIC, but were not involved in

the development of the application, the applicant ensures that the

residents' role will be increased during the implementation stages of

the FIC;

The applicant states its intent to provide services,

although the plan for hiring and contracting is not specific;

The applicant provides certification (in letter or

resolution) that it is currently implementing a similar program

(volunteer) utilizing partnerships with service agencies in its

locality;

The FIC facility will not be located in a target area,

such as Weed and Seed, distressed, etc.;

The applicant provides some evidence of partnerships with

existing social service agencies and some evidence of social service

agencies' intent to provide various resources to the FIC (identifying

source committed, availability of funds, etc.).

(iii) A low score (1-8 points) is received where the applicant:

Mentions a partnership with existing social service

agencies, but evidence of such support is not provided;

Does not currently implement a FSS program or a Federal or

local program similar to Mutual Help, but has indicated its intent to

implement such a program;

Mentions its efforts to coordinate the FIC facility in a

target area, but does not include evidence of commitments from existing

local, State, Federal sources.

(2) Supportive Services Only (Maximum 100 points). Applications for

funds for these activities will be scored on the following factors:

(a) Evidence of Need [35 Points]

Evidence of need for supportive services by eligible residents.

(i) A high score (26-35 points) is achieved where the applicant

provides a detailed needs assessment of eligible residents, clearly

identifies specific target areas of concern, and documents milestone

results and benefits to be derived from resident participation in FIC

services.

(ii) A medium score (13-25 points) is achieved where the applicant

provides a general needs assessment of eligible residents and

identifies target areas, but does not provide milestone results to be

derived from resident participation in FIC services.

(iii) A low score (1-12 points) is achieved where the applicant

merely mentions there is a need for services, but does not clearly

address specific areas of concern.

(b) Program Quality [20 Points]

The extent to which the HA and each service provider has evidenced

that supportive services and other resources will be provided for at

least 3 to 5 years following the receipt of funding for supportive

services under this NOFA. The extent to which the HA has demonstrated

that it will commit to its FIC part of its formula allocation of

Comprehensive Grant Program (CGP)/Comprehensive Improvement Assistance

Program funds for CGP/CIAP-eligible activities that result in

employment, training, and contracting opportunities for eligible

residents.

(i) A high score (14-20 points) is received where the applicant:

Provides letters from the service provider(s) that contain

the provider's strong commitment to provide support services and other

resources (i.e., direct financial staff, training/educational) over the

grant period;

Clearly documents its current use of CGP/CIAP funds and

its continued plans to utilize part of its CGP/CIAP funds toward

eligible FIC activities;

Provides a detailed and precise description of the

location of the FIC, the coordination of services proposed at the

facility, and the area to be served by the FIC;

Clearly indicates the accessibility of the FIC to

residents, including distance and the transportation necessary to reach

the facility.

(ii) A medium score (7-13 points) is received where the applicant:

Provides letters or narrative language regarding a limited

commitment of service providers to provide support services and other

resources;

Does not currently have CGP/CIAP funding, but has made

clear its intention to use part of future CGP/CIAP funding toward

eligible FIC activities;

Provides a description of the facility location, but the

accessibility of the facility to residents is limited or is somewhat

unclear.

(iii) A low score (1-6 points) is received where the applicant:

Merely mentions that providers will provide services, but

does not provide letters or language indicating a commitment by the

providers;

Does not make clear any intention to use part of its

current or future CGP/CIAP funding toward eligible FIC activities;

Mentions the location of the FIC facility, but does not

provide specific details regarding the accessibility or distance to

residents.

The capability of the HA or designated service provider to provide

the supportive services. The extent to which the HA has demonstrated

success in modernization activities under the Comprehensive Grant/

Comprehensive Improvement Assistance (CIAP) Programs (see 24 CFR part

968 and, for IHAs, part 905, subpart I). The extent to which the HA has

a good record of maintaining and operating public housing, as

determined by the Public Housing Management Assessment Program (PHMAP)

(see 24 CFR part 901 and, for IHAs, 905.135), and has utilized

innovative and workable strategies to improve management (e.g., LEAP,

which uses highly skilled retired military personnel in key management

positions).

(i) A high score (14-20 points) is received where the applicant:

Demonstrates success in providing similar supportive

services programs and has clearly detailed how the services were

coordinated and complemented with other programs; [[Page 8906]]

The applicant's PHMAP score is in the ``high performer''

range;

For IHAs, the applicant is not a ``high risk'' IHA, as

defined in 905.135, or has developed innovative strategies to improve

management of its developments.

(ii) A medium score (7-13 points) is received where the applicant:

Does not currently provide similar programs, but

demonstrates how the services will be coordinated and complemented with

other programs;

The applicant's PHMAP score is in the ``standard'' range

(less than 90) and the HA has clearly identified innovative strategies

to improve management of its development;

For IHAs, the applicant is a high risk IHA, but indicates

that it has specific plans for improving management of its

developments.

(iii) A low score (1-6 points) is received where:

It is unclear if the applicant or designated service

provider has experience in providing similar supportive services

programs;

The applicant's PHMAP score is in the ``troubled'' range,

but the applicant is currently implementing local, State, or Federal

partnerships in an effort to develop effective strategies to improve

its management capacity;

For IHAs, the applicant is a high risk IHA and does not

indicate specific plans for improving management of its developments.

(d) Resident Involvement/Local Partnerships [25 Points]

The extent to which the HA has demonstrated that it has partnered

with residents in the planning phase for the FIC and will further

include the residents in the implementation phase (evidence of such a

partnership may be in the form of a resident council board resolution

or letter). The extent to which the HA will contract with or employ

residents to provide services and conduct renovation/conversion/

construction activities. In addition, the HA shall include a

certification that it is implementing a FSS program (IHAs without FSS

programs that have established counseling programs, such as those found

in Mutual Help (MH), may provide similar certification) and shall

provide evidence of the extent to which the HA has coordinated with

tribal, State, or local social service agencies the implementation of

the program, including in those target areas, such as Weed and Seed,

distressed (as defined by the Housing Authority), etc. In assigning

points for this factor, HUD shall consider the extent of the

involvement of those agencies in the development of the application and

their commitment of assistance in the implementation of the FIC. The

commitment of these agencies may be demonstrated through evidence of

intent to provide direct financial assistance or other resources, such

as social services (i.e., counseling and training), the use of public/

Indian housing funds available through existing State and local

programs or other commitments.

(i) A high score (18-25 points) is received where the applicant

provides:

Evidence that it has a strong and cooperative partnership

with its residents and that residents were involved in the development

of the application;

Evidence that the residents will continue their

involvement throughout the implementation stages of the FIC, including

evidence that the applicant will seek resident input in identifying

resident needs;

Evidence that the applicant will contract with or employ

residents to provide services and conduct renovation/conversion/

construction activities;

Certification (in letter or resolution) that it is

currently implementing a FSS program (or similar Mutual Help Program),

and demonstrates success with previous partnerships in other similar

program efforts.

Evidence that the facility will be located in a target

area, such as Weed and Seed, distressed, etc.;

Evidence of strong and committed partnerships with

existing social service agencies and evidence of social service

agencies' intent to provide various resources to the FIC (identifying

source committed, availability of funds, etc.).

(ii) A medium score (9-17 points) is received where:

The applicant mentions its partnership with residents.

Where the residents were notified of the FIC, but were not involved in

the development of the application, the applicant ensures that the

residents' role will be increased during the implementation stages of

the FIC;

The applicant states its intent to provide services,

although the plan for hiring and contracting is not specific;

The applicant provides certification (in letter or

resolution) that it is currently implementing a similar program

(volunteer) utilizing partnerships with service agencies in its

locality;

The FIC facility will not be located in a target area,

such as Weed and Seed, distressed, etc.;

The applicant provides some evidence of partnerships with

existing social service agencies and some evidence of social service

agencies' intent to provide various resources to the FIC (identifying

source committed, availability of funds, etc.).

(iii) A low score (1-8 points) is received where the applicant:

Mentions a partnership with existing social service

agencies, but evidence of such support is not provided;

Does not currently implement a FSS program or a Federal or

local program similar to Mutual Help, but has indicated its intent to

implement such a program;

Mentions its efforts to coordinate the FIC facility in a

target area, but does not include evidence of commitments from existing

local, State, Federal sources.

H. Environmental Review

To ensure that site-specific environmental impacts will be

addressed before assistance is provided to the HA, HUD will conduct an

environmental review of those eligible activities in accordance with 24

CFR part 50. The environmental impact of FIC eligible activities, such

as renovation, construction, conversion, or acquisition will be local

in scope and will be addressed in the localized setting in which they

occur. The HA is expected to adhere to all assurances and requirements

of the environmental review.

II. Application Submissions Process

A. Application Kit

An application kit is required as the formal submission to apply

for funding. The kit includes information and guidance on preparation

of a Plan and Budget for activities proposed by the applicant. This

process facilitates the execution of the grant for those selected to

receive funding. An application may be obtained from the local HUD

State/Area Offices with delegated responsibilities over an applying HA

(See Appendix for listing), or by calling HUD's Resident Initiatives

Clearinghouse toll-free number 1-800-955-2232. Requests for application

kits must include your name, mailing address or P.O. Box (including zip

code), and telephone number (including area code), and should refer to

document FR-3832-N-01. Applications may be requested beginning February

15, 1995.

B. Application Submission

The original and two copies of the application must be submitted.

The Appendix lists addresses of HUD State/ [[Page 8907]] Area Offices

that will accept the completed application.

The application must be physically received by 3 p.m., local time,

on June 15, 1995. This application deadline is firm to date and hour.

In the interest of fairness to all competing applicants, the Department

will treat as ineligible for consideration any application that is

received after the deadline. Applicants should take this practice into

account and make early submission of their applications to avoid any

risk of loss of eligibility brought on by unanticipated delays or other

delivery-related problems. Facsimile and telegraphic applications are

not authorized and shall not be considered.

III. Checklist of Application Submission Requirements

The Application Kit will contain a checklist of all application

submission requirements to complete the application process.

A. Applications for Supportive Services Only must contain the

following information:

(1) Name and address (or P.O. Box) of the HA. Name and telephone

number of contact person (in the event further information or

clarification is needed during the application review process);

(2) SF-424A, Budget Information, Non-Construction Programs, and SF-

424B, Assurances, Non-Construction Programs;

(3) A description of the need for supportive services by eligible

residents;

(4) A description of the supportive services that are to be

provided over at least a 5-year period after the initial receipt of

funding under this NOFA, and how the supportive services will enhance

education and job opportunities for residents;

(5) Evidence of a firm commitment of assistance from one or more

sources ensuring that the supportive services will be provided for at

least 5 years following receipt of funding under this NOFA. Evidence

shall be in the form of a letter or resolution. A cost allocation plan

shall be submitted outlining the commitment;

(6) A description of public or private sources of assistance that

can reasonably be expected to fund or provide supportive services,

including evidence of any intention to provide assistance expressed by

State and local governments, private foundations, and other

organizations (including profit and nonprofit organizations);

(7) A description of the plan for continuing operation of the FIC,

and the provision of services to families for at least 5 years

following receipt of funding under this NOFA;

(8) A certification from an appropriate service agency (in the case

of FSS, the certification may be from the Coordinating Committee) that:

(a) The provision of supportive services is well designed to

provide families better access to educational and employment

opportunities; and

(b) There is a reasonable likelihood that such services will be

funded or provided for the entire 5-year period, at least, after the

initial receipt of funding under this NOFA;

(9) A description of assistance for which the HA is applying;

(10) A narrative on the location of the FIC facility. Provide the

precise location of the facility to be used for FIC, and indicate its

accessibility to residents, including distance from the development(s),

and transportation necessary to receive services;

(11) Evidence that the HA has control of the FIC site. If the

facility is off-site, the HA shall include copies of the negotiated

lease and the terms, including any option to lease, indicating that the

facility is available to the HA for use as a FIC for not less than 3

years, and preferably, for 5 years or more;

(12) A certification that the HA is implementing a FSS program, if

applicable. IHAs, without FSS programs, that have established

counseling programs such as those found in Mutual Help (MH) should

provide similar certification, if applicable;

(13) A certification that funds used to pay for a Service

Coordinator are not duplicate expenses from any other program,

including FSS;

(14) A description of the resident involvement in the planning and

implementation phases of this program;

(15) A description of the services that HA residents will be

employed to provide;

(16) Letters of commitment. The letters should identify all

commitments for additional resources to be made available to the

program from the applicant and other State, local, or private entities.

The description shall include, but is not limited to, the commitment

source, source committed, availability and use of funds, and other

conditions associated with the loan, grant, gift, donation,

contribution, etc. Commitments from State or local agencies may

include, but are not limited to, vocational, adult, and bilingual

education; Job Training Partnership Act (JTPA) and Family Support Act

of 1988 job training programs; child care; and social services

assistance, counseling or drug addiction services. Commitments may

include in-kind contributions, on-site journeymen or equivalent

instructors, transportation, or other resources for use by participants

of the FIC;

(17) Certification that efforts were made to use or obtain other

resources to fund or provide the services proposed;

(18) Certification of the extent to which the HA will commit to its

FIC part of its formula allocation of Comprehensive Grant/Comprehensive

Improvement Assistance (CGP/CIAP) Program funds for CGP/CIAP eligible

activities that result in employment, training, and contracting

opportunities for eligible residents;

(19) A project budget, timetable and narrative;

(20) Certification that FIC funding will not duplicate any other

HUD funding, including CGP funding;

(21) Equal Opportunity Requirements. The HA must certify that it

will carry out activities assisted under the program in compliance

with:

(a) The requirements of the Fair Housing Act (42 U.S.C. 3601-3619)

and implementing regulations at 24 CFR parts 100, 107, 109, 110, and

121; and Executive Order 11063 (Equal Opportunity Housing implementing

regulations at 24 CFR part 107; and Title VI of the Civil Rights Act of

1964 (42 U.S.C. 2000d) (Nondiscrimination in Federally Assisted

Programs) and implementing regulations issued at 24 CFR part 1;

(Note: Title VI of the Civil Rights Act of 1964 (42 U.S.C.

2000d- 2000d-4), which prohibits discrimination on the basis of

race, color or national origin in federally assisted programs, and

the Fair Housing Act (42 U.S.C. 3601-3620), which prohibits

discrimination based on race, color, religion, sex or national

origin in the sale or rental of housing, do not apply to Indian

housing authorities (IHAs) established by exercise of a Tribe's

powers of self-government. Title VI and the Fair Housing Act (24 CFR

parts 1 and 100) shall not be applicable to the development or

operation of projects by such IHAs.)

(b) The prohibitions against discrimination on the basis of age

under the Age Discrimination Act of 1975 (42 U.S.C. 6101-07) and

implementing regulations at 24 CFR part 146; the prohibition against

discrimination against individuals with a disability under section 504

of the Rehabilitation Act of 1973 (29 U.S.C. 794) and implementing

regulations at 24 CFR part 8; and the requirements of Executive Order

11246 and the implementing regulations issued at 41 CFR chapter 60;

Development Act of 1968, 12 U.S.C. 1701u, and implementing regulations

at 24 CFR part 135; and [[Page 8908]]

(d) The requirements of Executive Orders 11625, 12432, and 12138.

Consistent with HUD's responsibilities under these Orders, the grantee

must make efforts to encourage the use of minority and women's business

enterprises in connection with activities funded under this notice.

(22) Form HUD-2880, Applicant/Recipient Disclosure Update Report

must be completed in accordance with 24 CFR part 12, Accountability in

the Provision of HUD Assistance. A copy is provided in the application

kit.

(23) Drug-Free Workplace Certification. The Drug-Free Workplace Act

of 1988 (42 U.S.C. 701) requires grantees of federal agencies to

certify that they will provide drug-free workplaces. Each potential

recipient under this NOFA must certify that it will comply with drug-

free workplace requirements in accordance with the Act and with HUD's

rules at 24 CFR part 24, subpart F.

(24) Certification regarding Lobbying. Section 319 of the

Department of the Interior Appropriations Act, Public Law 101-121,

approved October 23, 1989 (31 U.S.C. 1352) (the ``Byrd Amendment''),

generally prohibits recipients of Federal contracts, grants, and loans

from using appropriated funds for lobbying the Executive or Legislative

Branches of the Federal Government in connection with a specific

contract, grant or loan. The Department's regulations on these

restrictions on lobbying are codified at 24 CFR part 87. To comply with

24 CFR 87.110, any HA submitting an application under this announcement

for more than $100,000 of budget authority must submit a certification

and, if applicable, a Disclosure of Lobbying Activities (SF-LLL form).

(25) A certification that:

(a) The HA will include in any contract for renovation, conversion,

or construction (including combining of units) on the premises of the

HA development to accommodate the provision of supportive services

under this program, a requirement that all laborers and mechanics

(other than volunteers under the conditions set out in 24 CFR part 70)

shall be paid not less than the wages prevailing in the locality, as

predetermined by the Secretary of Labor pursuant to the Davis-Bacon Act

(40 U.S.C. 276a-276a-5);

(b) The HA will include in such contracts a requirement that all

architects, technical engineers, draftsmen, and technicians (other than

volunteers) shall be paid not less than the wages prevailing in the

locality as determined by HUD; and

this work.

B. Applications for Renovation/Conversion/Construction/Acquisition

Activities Only must contain the following information:

(1) Name and address (or P.O. Box) of the HA. Name and telephone

number of contact person (in the event further information or

clarification is needed during the application review process);

(2) A narrative on the location of the off-site facility, if

applicable. Provide the precise location of the FIC facility (street

address) and indicate its accessibility to residents, including

distance from the development(s), and transportation necessary to

receive services;

(3) Evidence that the HA has control of the proposed off-site

premises. This shall include copies of the negotiated lease and the

terms, including any option to lease, indicating that the facility will

be available to the HA for use as a FIC for not less than 3 years, and

preferably, for 5 years or more.

(4) A description of services that the HA expects to be provided,

to the greatest extent practicable, by HA residents, as described in

Section I.F(2) of this NOFA. The description shall include the position

titles and numbers of residents expected to be employed for renovation/

conversion/construction and other eligible activities;

(5) Certification of the extent to which the HA will commit to its

FIC part of its formula allocation of Comprehensive Grant Program/

Comprehensive Improvement Assistance (CGP/CIAP) Program funds for CGP/

CIAP eligible activities that result in employment, training, and

contracting opportunities for eligible residents;

(6) A project budget, timetable, and narrative;

(7) Certification that FIC funding will not duplicate any other HUD

funding, including CGP funding.

(8) Equal Opportunity Requirements. The HA must certify that it

will carry out activities assisted under the program in compliance

with:

(a) The requirements of the Fair Housing Act (42 U.S.C. 3601-3619)

and implementing regulations at 24 CFR parts 100, 107, 109, 110, and

121; and Executive Order 11063 (Equal Opportunity Housing implementing

regulations at 24 CFR part 107; and Title VI of the Civil Rights Act of

1964 (42 U.S.C. 2000d) (Nondiscrimination in Federally Assisted

Programs) and implementing regulations issued at 24 CFR part 1;

(Note: Title VI of the Civil Rights Act of 1964 (42 U.S.C.

2000d--2000d-4), which prohibits discrimination on the basis of

race, color or national origin in federally assisted programs, and

the Fair Housing Act (42 U.S.C. 3601-3620), which prohibits

discrimination based on race, color, religion, sex or national

origin in the sale or rental of housing, do not apply to Indian

housing authorities (IHAs) established by exercise of a Tribe's

powers of self-government. Title VI and the Fair Housing Act (24 CFR

parts 1 and 100) shall not be applicable to the development or

operation of projects by such IHAs.)

(b) The prohibitions against discrimination on the basis of age

under the Age Discrimination Act of 1975 (42 U.S.C. 6101-07) and

implementing regulations at 24 CFR part 146; the prohibition against

discrimination against individuals with a disability under section 504

of the Rehabilitation Act of 1973 (29 U.S.C. 794) and implementing

regulations at 24 CFR part 8 and Title II or the Americans with

Disabilities Act of 1009 (42 U.S.C. 12131) and implementing regulation

at 28 CFR Part 35; and the requirements of Executive Order 11246 and

the implementing regulations issued at 41 CFR chapter 60;

Development Act of 1968, 12 U.S.C. 1701u, and implementing regulations

at 24 CFR part 135; and

(d) The requirements of Executive Orders 11625, 12432, and 12138.

Consistent with HUD's responsibilities under these Orders, the grantee

must make efforts to encourage the use of minority and women's business

enterprises in connection with activities funded under this notice.

(8) Evidence of a firm commitment of assistance from one or more

sources ensuring that the supportive services will be provided for not

less than 3 years following the completion of activities funded under

this NOFA. Evidence shall be in the form of a letter or resolution. A

cost allocation plan shall be submitted outlining the commitment;

(9) Form HUD-2880, Applicant/Recipient Disclosure Update Report

must be completed in accordance with 24 CFR part 12, Accountability in

the Provision of HUD Assistance. A copy is provided in the application

kit.

(10) Drug-Free Workplace Certification. The Drug-Free Workplace Act

of 1988 (42 U.S.C. 701) requires grantees of federal agencies to

certify that they will provide drug-free workplaces. Each potential

recipient under this NOFA must certify that it will comply with drug-

free workplace requirements in accordance with the Act and with HUD's

rules at 24 CFR part 24, subpart F. [[Page 8909]]

(11) Certification regarding Lobbying. Section 319 of the