Office of the Assistant Secretary for Public and Indian Housing; Notice of Funding Availability (NOFA) for Family Self-Sufficiency (FSS) Program Coordinators for the Section 8 Rental Certificate and Rental Voucher Programs

SUMMARY: This NOFA announces the availability of up to $9.2 million for

administrative fees for Section 8 Family Self-Sufficiency (FSS) program

coordinators. Eligible applicants are only those public housing

agencies (PHAs) and Indian housing authorities (IHAs), herein referred

to as housing agencies (HAs), with obligations to enroll at least 25

families in the FSS program. Due to limited funding, HUD has decided to

limit the competition to the HAs with Section 8 programs of fewer than

1,000 rental vouchers and certificates and limit the funds available to

each HA to $42,500.

In recent years, HUD has provided funding for FSS program

coordinators to HAs with Section 8 programs of fewer than 600 units.

The funds for FY 94 and FY 95 were allocated to these HAs based on a

request for funding and all complete applications were funded. HUD is

allocating FY 1996 funds for FSS program coordinators through a

competitive NOFA as required by Congress.

DATES: The application deadline for the FSS Program Coordinators is

September 9, 1996, 3:00 p.m., local HUD Office time.

The above-stated application deadline is firm as to date and hour.

In the interest of fairness to all competing HAs, HUD will treat as

ineligible for consideration any application that is not received

before the application deadline. Applicants should take this practice

into account and make early submission of their materials to avoid any

risk of loss of eligibility brought about by unanticipated delays or

other delivery-related problems. HUD will not accept, at any time

during the NOFA competition, application materials sent via facsimile

(FAX) transmission.

ADDRESSES: The local HUD State or Area Office, Attention: Director,

Office of Public Housing, is the official place of receipt for all

applications, except applications from Indian Housing Authorities

(IHAs). The local HUD Office of Native American Programs Office,

Attention: Administrator, Office of Native American Programs, is the

place of official receipt for IHA applications. For ease of reference,

the term ``HUD Office'' will be used throughout this NOFA to mean the

HUD State Office, HUD Area Office, and the HUD Office of Native

American Programs Office. If a particular type of HUD Office needs to

be identified, e.g., the HUD Office of Native American Programs Office,

the appropriate office will be used.

FOR FURTHER INFORMATION CONTACT: Gerald J. Benoit, Director, Operations

Division, Office of Rental Assistance, Office of Public and Indian

Housing, Department of Housing and Urban Development, room 4220, 451

Seventh Street, SW, Washington, DC 20410-8000, telephone number (202)

708-0477. Hearing or speech impaired individuals may call HUD's TTY

number (202) 708-4594. (These numbers are not toll-free.)

SUPPLEMENTARY INFORMATION:

Paperwork Reduction Act Statement

The information collection requirements contained in this notice

have been 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). No person may be subjected to a penalty for failure to

comply with these information collection requirements until they have

been approved and assigned an OMB control number. The OMB control

number, when assigned, will be announced in the Federal Register.

I. Purpose and Substantive Description

The Omnibus Consolidated Rescissions and Appropriations Act of 1996

(Pub. L. 104-134, 110 Stat. 1321, approved April 26, 1996) allows HUD

to set-aside Community Development Block Grant funds for program

coordinators under the Section 8 FSS program. As a result, HUD

determined to make a sufficient amount available under this NOFA, to

enable the smaller HAs (i.e., those with programs of fewer than 1,000

total rental vouchers and certificates ) with required FSS programs of

at least 25 slots, to hire up to one FSS program coordinator for one

year at a reasonable cost, as determined by the HA and HUD, based on

salaries for similar positions in the locality. Each HA is limited to

an award of $42,500 under this NOFA.

(1) Eligible Activity

Funds are available under this NOFA to employ or otherwise retain

the services of up to one FSS program coordinator for one year. A part-

time FSS program coordinator may be retained where appropriate. Under

the FSS program, HAs are required to use Section 8 rental assistance

together with public and private resources to provide supportive

services to enable participating families to achieve economic

independence and self-sufficiency. Effective delivery of supportive

services is a critical element in a successful program.

(a) Program Coordinator Role

HAs administering the FSS program use program coordinating

committees (PCCs) to assist them to secure resources for and implement

the FSS program. The program coordinating committee is made up of

representatives of local government, job training and employment

agencies, local welfare agencies, educational institutions, child care

providers, nonprofit service providers, and businesses.

An FSS program coordinator works with the PCC, and with local

service providers to assure that program participants are linked to the

supportive services they need to achieve self-sufficiency. The FSS

program coordinator may ensure, through case management, that the

services included in participants' contracts of participation are

provided on a regular, ongoing and satisfactory basis, and that

participants are fulfilling their responsibilities under the contracts.

(b) Staffing Guidelines

Under normal circumstances, a full-time FSS program coordinator

should be able to serve approximately 50 FSS participants, depending on

the coordinator's case management functions.

(c) Eligibility of HAs

All HAs that currently administer a rental voucher and certificate

program of fewer than 1,000 total rental vouchers and certificates and

that received FY 1992 FSS incentive award funding, or FY 1993 and later

rental voucher or certificate funding (other than renewal funding), and

as a result are required to administer an FSS program of at least 25

FSS slots are eligible to apply. HAs with fewer than 1,000 total rental

vouchers and certificates and with FSS programs of fewer than 25 slots

may also apply, if they apply jointly with one or more

[[Page 39263]]

other eligible HAs so that between or among the HAs they administer at

least 25 FSS slots. If eligible applicants apply jointly, their

combined total program size may exceed 1,000 total rental vouchers and

certificates, but the $42,500 maximum amount that may be requested

still applies. Joint applicants must specify a lead coapplicant which

will receive and administer the FSS program coordinator funding. A

State or regional (i.e., multi-county jurisdiction) HA that administers

a program of more than 1,000 rental vouchers and certificates may apply

if it is required to administer an FSS program of fewer than 1,000 FSS

slots.

Since the $9.2 million available for FSS program coordinators is

insufficient to fund all HAs administering FSS programs, HUD is

limiting eligibility under this NOFA to HAs with fewer than 1,000 total

Section 8 rental vouchers and certificates and to state and multi-

county regional HAs that are required to administer FSS programs of at

least 25 but fewer than 1,000 FSS slots. HUD determined that HAs

administering large Section 8 programs are more likely than smaller HAs

to have access to other resources for FSS program administration. State

HAs indicated an interest in FY 1994 in submitting applications for

funding under the FSS Program Coordinators NOFA regardless of the 600

total program size limitation in FY 1994. In response, HUD has decided

in this FY 1996 NOFA to allow a state or multi-county regional HA that

administers an FSS program in more than one location to submit an

application if the state or multi-county regional HA is required to

administer an FSS program of at least 25 but fewer than 1,000 Section 8

units.

HUD is requiring that applicants under this NOFA administer FSS

programs of at least 25 FSS slots (based on FY 1992 FSS incentive award

funding or FY 1993 and later rental voucher and certificate funding

(other than renewal funding)) to ensure that the limited program

coordinator funds are used in a cost-effective manner. The Department

expects that FSS programs of fewer than 25 FSS slots can be managed

within HA resources.

(2) Eligible Applicants With HUD Approved Exceptions to Mandatory

Minimum Size

If HUD has approved either a full or partial exception to

implementing an FSS program of the mandatory minimum size for an

eligible applicant with fewer than 1,000 rental vouchers and

certificates, solely because of a lack of funds for reasonable

administrative costs, the approval of the exception is hereby

automatically rescinded, since funding for an FSS program coordinator

is now available under this NOFA.

II. FSS Program Coordinators Allocation Amounts

For FY 1996, $9.2 million is available for HA administrative fees

for Section 8 FSS Program Coordinators. This is the third fiscal year

of funding for FSS Program Coordinators. All HAs that received funding

for FSS Program Coordinators under the FY 1994 and FY 1995 NOFA must

re-apply under this NOFA and compete for funding under the terms of

this NOFA. There will be no automatic funding for previously funded

HAs.

An eligible HA may apply for a maximum of $42,500 to support up to

one FSS program coordinator for one year. An eligible state HA or

multi-county regional HA may apply for a maximum of $42,500. The HUD

Office may fund applications at fewer than the requested amount, based

on the HUD Office application review, if the HA requests more funds

than permitted under the NOFA for a full or part-time program

coordinator.

III. FSS Program Coordinators Application Submission Requirements

Each application for funding under this NOFA must contain the

following items to be considered for an award:

(1) Application for FSS Program Coordinator Funds

All applications must contain the following information stated in a

letter from the Executive Director of the HA to the Director of the

Office of Public Housing in the local HUD Office or to the

Administrator of the Office of Native American Programs (see sample

letter format, Attachment 1):

(a) The total number of units in the latest HUD approved HA budget

for the Section 8 rental voucher and certificate programs.

(b) The total number of required FSS slots (based on FY 1992

incentive award funding and FY 1993 and later rental voucher and

certificate funding).

(c) The total number of currently enrolled FSS families.

(d) The number of FSS families that are currently working at full

or part-time jobs.

(e) The annual salary proposed for the FSS program coordinator,

plus any fringe benefits. Do not include costs of training,

transportation, clerical support, equipment, supplies, or other

administrative costs or overhead. The Program coordinator salary should

be set as follows:

(i) Determine the salary level, taking into consideration salaries

for comparable jobs, modified by the hours worked.

(ii) Set the annual salary, including any fringe benefits that

pertain to the job.

(f) Evidence that demonstrates salary comparability with similar

positions in the local jurisdiction.

(g) Joint applicants must indicate which HA will be the lead

applicant and will receive and administer the FSS program coordinator

funding.

(2) Type and Quality of Proposed Services

Each HA must provide a brief description of the services provided

in its FSS program, including any innovative approaches to services

that increase the likelihood of success for FSS families and internal

goals established by the HA to determine the success of its FSS

program. A successful FSS program must offer a wide variety of services

to address the needs of FSS participants that can be integrated into

meaningful assistance for families. A key consideration is that the

services must be coordinated in their delivery and appropriate to the

needs of the families. For example, quality child-care, capable of

attending to a variety of age groups and operating a sufficient number

of hours per week to accommodate work, training, and/or counseling

schedules may be important. Another important service may be

transportation, which links the other services together. The HA shall

describe current FSS services or past services provided by others to

its Section 8 families.

(3) List of Firm Commitments for Services From Other Sources

Each HA must provide a summary cover letter of commitments for

services along with copies of commitment letter from service providers

with reasonable assurances that services will be provided. The HA may

include services currently being provided to FSS participants as long

as the services will continue to be provided.

(4) Funding Application

All HAs must complete Form HUD-52515, Section 8 Tenant-Based

Assistance, Rental Certificate Program and Rental Voucher Program

(dated January 1996). This form was recently revised to include all

necessary certifications for Fair Housing, Drug Free Workplace and

Lobbying activities; therefore, HAs can complete and sign the new form

HUD-52515 to meet the requirements of these certifications. All

[[Page 39264]]

parts of the application form must be completed, except parts B and C

which relate to funding of units. HAs should note that, unlike other

applications for funding, the provisions of Section 213 of the Housing

and Community Development Act of 1974 do not apply for the FSS program

coordinator funding and no solicitation of comments from the chief

executive officer of the unit of general local government need be made.

IV. Application Rating Process

(1) General. The HUD Office is responsible for rating the

applications for the criteria established in this NOFA, and HUD

Headquarters is responsible for selection of applications (including

applications rated by the Office of Native American Programs) that will

receive funding for FSS program coordinators. Each application, to be

eligible for funding, must receive a total score of 35 points after all

criteria are rated. The HUD Office will initially screen all

applications and determine any technical deficiencies based on the

application submission requirements.

(2) Rating Criteria.

(a) Rating Criterion 1: Percentage of FSS Families Currently

Enrolled Compared to the HA'S Obligation to Enroll Families.

(i) Description: This criterion assesses the success to date that

the HA has achieved in enrolling families in FSS in comparison with its

obligation to enroll families based on the new funding the HA has been

awarded in FY 1992 and subsequently.

(ii) Rating and Assessment: The HUD Office will assign point values

based on the number of families currently enrolled for FSS divided by

the total number of families that the HA is obligated to enroll. The

HUD Office must use the HAs' statement as to the number of enrolled

families and the number of families obligated to be enrolled unless the

HUD Office is aware of other more up-to-date data. The HUD Office will

assign point values based on the following:

20 Points--Assign 20 points if the HA has enrolled more

than 75 percent of the number of families it is obligated to enroll.

10 Points--Assign 10 points if the HA has enrolled between

50 and 75 percent of the number of families it is obligated to enroll.

Zero Points--Assign zero points if the HA has enrolled

fewer than 50 percent of the number of families it is obligated to

enroll.

(b) Rating Criterion 2: Number of Enrolled FSS Families That Are

Working.

(i) Description: This criterion assesses the success of the FSS

families in the HA's program to achieve results in job training and job

search activities.

(ii) Rating and Assessment: The HUD Office will assign point values

based on the following percentages for the number of FSS families who

are currently attending school or working in full or part-time jobs:

10 Points--Assign 10 points if the HA has more than 50

percent of its FSS families attending school full-time and/or working

either in full-time or part-time jobs.

5 Points--Assign 5 points if the HA has between 25 and 50

percent of its FSS families attending school full-time and/or working

either in full-time or part-time jobs.

Zero Points--Assign zero points if neither threshold

applies.

(c) Rating Criterion 3: Supportive Services for FSS Families.

(i) Description: This criterion assesses the variety of the

services provided to FSS families. The services proposed should match

the needs of the FSS families as described in the HA's application.

Services can include the following: child care, transportation, job

training and placement, counseling, education, money management,

parenting and rehabilitation services.

(ii) Rating and Assessment: The HUD Office will assign point values

for the following assessments based on the number of services provided

by the HA:

10 Points--Assign 10 points if FSS families have access to

at least five of the listed services:

5 Points--Assign 5 points if FSS families have access to

at least three of the listed services.

Zero Points--Assign zero points if FSS families have

access to fewer than three of the listed services.

(d) Rating Criterion 4: Type and Quality Funding of Supportive

Services for FSS Families.

(i) Description: This criterion assesses the quality of the

services provided to FSS families by determining whether child care and

transportation are provided in addition to other services such as

training, education and counseling.

(ii) Rating and Assessment: The HUD Office will assign point values

for the following assessments based on the availability of certain

services provided by the HA:

20 Points--Assign 20 points if FSS families have access to

child care and transportation in addition to other services such as

training, education, counseling, money management, parenting and

rehabilitation services;

10 Points--Assign 10 points if FSS families have access to

child care or transportation in addition to other services such as

training, education, counseling, money management, parenting and

rehabilitation services;

Zero Points--Assign zero points if FSS families are

without access to child care or transportation.

(e) Rating Criterion 5: Firm Commitments for Supportive Services

for FSS Families.

(i) Description: This criterion assesses the number of services

provided to FSS families with firm commitments for the next fiscal year

from third party providers.

(ii) Rating and Assessment: The HUD Office will assign point values

for the following assessments based on the number of services with firm

commitments for the next HA fiscal year:

10 Points--Assign 10 points if an HA has firm commitments

for four or more services;

5 Points--Assign 5 points if an HA has firm commitments

for two or three services;

Zero Points--Assign zero points if an HA has only one firm

commitment for services.

V. Corrections to Deficient Applications

(1) Acceptable Applications

To be eligible for processing, an application must be received by

the appropriate HUD Office no later than the date and time specified in

this NOFA. The HUD Office will initially screen all applications and

notify HAs of technical deficiencies by letter.

If an application has technical deficiencies, the HA will have 14

calendar days from the date of the issuance of the HUD notification

letter to submit the missing or corrected information to the HUD

Office. Curable technical deficiencies relate only to items that do not

improve the substantive quality of the application relative to the

rating factors.

All HAs must submit corrections within 14 calendar days from the

date of the HUD letter notifying the applicant of any such deficiency.

Information received after 3:00 p.m. local time (i.e., the time in the

appropriate HUD Office), of the 14th calendar day of the correction

period will not be accepted and the application will be rejected as

incomplete.

(2) Unacceptable Applications

(a) After the 14-calendar day technical deficiency correction

period, the HUD Office will disapprove HA applications that it

determines are not acceptable for

[[Page 39265]]

processing. The HUD Office disapproval letter must state the basis for

the decision.

(b) Applications that fall into any of the following categories

will not be processed:

(i) There is a pending civil rights suit against the HA instituted

by the Department of Justice or there is a pending administrative

action for civil rights violations instituted by HUD (including a

charge of discrimination under the Fair Housing Act).

(ii) There has been an adjudication of a civil rights violation in

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

the HA 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 areas of noncompliance.

(iii) There are outstanding findings of noncompliance with civil

rights statutes, Executive Orders, or regulations, as a result of

formal administrative proceedings, or the Secretary has issued a charge

against the applicant under the Fair Housing Act, unless the applicant

is operating under a conciliation or compliance agreement designed to

correct the areas of noncompliance.

(iv) HUD has denied application processing under Title VI of the

Civil Rights Act of 1964, the Attorney General's Guidelines (28 CFR

50.3), and the HUD Title VI regulations (24 CFR 1.8) and procedures

(HUD Handbook 8040.1), or under section 504 of the Rehabilitation Act

of 1973 and HUD regulations (24 CFR 8.57).

(v) The HA has serious unaddressed, outstanding Inspector General

audit findings, Fair Housing and Equal Opportunity monitoring review

findings, or HUD management review findings for its rental voucher or

rental certificate program.

(vi) A HA application that does not comply with the requirements of

24 CFR 982.102 and this NOFA, after the expiration of the 14-calendar

day technical deficiency correction period will be rejected from

processing.

(vii) A HA application submitted after the deadline date.

VI. FSS Program Coordinators Selection Process

After the HUD Office has screened HA applications and disapproved

any applications unacceptable for further processing (See Section IV(2)

of this NOFA), the HUD Office will review and rate all approvable

applications, utilizing the threshold criteria listed in this NOFA.

Each HUD Office will send to HUD Headquarters the information on each

application that receives a rating of at least 35 points, including the

name of the HA, the type of program to be funded, i.e., rental voucher

or certificate, the application score as determined by the HUD Office

under the rating process, the amount requested, and the size of the

HA's total Section 8 program.

HUD Headquarters will rank and select the HA applications based on

the scores provided by the HUD Offices with the highest scores being

funded first. In the case of tie scores, HUD will fund the smallest HAs

first. This process will continue until all available funds have been

awarded. HUD may not be able to fund all applications depending on the

amount of funds recommended by the HUD Office and the size of an

applicant's total Section 8 program.

VII. Other Matters

(a) Environmental Impact

A Finding of No Significant Impact with respect to the environment

has been made in accordance with HUD regulations at 24 CFR Part 50,

which implements section 102(2)(C) of the National Environmental Policy

Act of 1969. The Finding of No Significant Impact 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 General Counsel, Department

of Housing and Urban Development, room 10276, 451 Seventh Street, SW,

Washington, DC 20410.

(b) Executive Order 12612, Federalism

The General Counsel, as the Designated Official under section 6(a)

of Executive Order 12612, Federalism, has determined that the

provisions of this NOFA do not have ``federalism implications'' within

the meaning of the Order. The NOFA makes funds available for HAs to

employ or otherwise retain the services of up to one FSS program

coordinator for one year. As such, there are no direct implications on

the relationship between the national government and the states or on

the distribution of power and responsibilities among various levels of

government.

(c) Executive Order 12606, The Family

The General Counsel, as the Designated Official under Executive

Order 12606, The Family, has determined that the policies announced in

this Notice would not have a significant impact on the formation,

maintenance, and general well-being of families except indirectly to

the extent of the social and other benefits expected from this program

of assistance.

(d) Accountability in the Provision of HUD Assistance

Section 102 of the Department of Housing and Urban Development

Reform Act of 1989 (HUD Reform Act) and the final rule published on

April 1, 1996 (61 FR 1448) (to be codified at 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, disclosure

requirements of section 102 are applicable to assistance awarded under

this NOFA as follows:

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 five-year period beginning not less than 30 days after the award

of the assistance. Material will be made available in accordance with

the Freedom of Information Act (5 U.S.C. 552) and HUD's implementing

regulations at 24 CFR part 15. In addition, HUD will include the

recipients of assistance pursuant to this NOFA in its Federal Register

notice of all recipients of HUD assistance awarded on a competitive

basis.

(d) Documentation and Public Access Requirements: HUD Reform Act

HUD will include recipients that receive assistance pursuant to

this NOFA in its Federal Register notice of recipients of all HUD

assistance awarded on a competitive basis. (See 24 CFR 12.16(b), and

the notice published on January 16, 1992 (57 FR 1942), for further

information on these requirements.)

(e) Section 103 of the HUD Reform Act

HUD's regulations implementing section 103 of the Department of

Housing and Urban Development Reform Act of 1989, codified as 24 CFR

part 4, applies to this funding competition. The requirements in part 4

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 part 4 from providing

advance information to any person

[[Page 39266]]

(other than persons authorized to receive such information) concerning

funding decisions, or from otherwise giving any applicant an unfair

competitive advantage. Persons who apply for assistance in this

competition should confine their inquiries to the subject areas

permitted under 24 CFR part 4.

Applicants or employees who have ethics related questions should

contact the HUD Office of Ethic (202) 708-3815. (This is not a toll-

free number.) For HUD employees who have specific program questions,

such as whether particular subject matter can be discussed with persons

outside HUD, the employee should contact the appropriate Field Office

Counsel or Headquarters counsel for the program to which the questions

pertains.

(e) Prohibition Against Lobbying Activities

The use of funds awarded under this NOFA is subject to the

prohibitions of section 319 of the Department of Interior and Related

Agencies Appropriations Act for Fiscal Year 1990 (31 U.S.C. 1352) (the

``Byrd Amendment'') and the implementing regulations at 24 CFR part 87.

These authorities prohibit recipients of Federal contracts, grants, or

loans from using appropriated funds for lobbying the executive or

legislative branches of the Federal Government in connection with a

specific contract, grant, or loan. Indian Housing Authorities (IHAs)

established by an Indian tribe as a result of the exercise of the

tribe's sovereign power are excluded from coverage of the Byrd

Amendment, but IHAs established under State law are not excluded from

the statute's coverage.

Dated: July 22, 1996.

Kevin E. Marchman,

Acting Assistant Secretary, for Public and Indian Housing.

Attachment 1.--Request for FSS Program Coordinator Funds Sample Letter

Format

Dear Director, Office of Public Housing (or Administrator,

Native American Programs Office):

This is to request approval to hire a Family Self-Sufficiency

(FSS) program coordinator for one year, for the X housing agency

(HA) FSS program.

1. Total Number of Units in the HA's Section 8 rental voucher

and certificate programs as listed in the latest HUD approved

budget.

2. Total Number of Currently Enrolled FSS Families: ________.

3. Total Number of Required FSS Program Slots (based on units

approved under FY 1992 incentive award funding and under FY 1993 and

later rental voucher and certificate program funding): ________.

4. Total Number of families participating in the HA's Section 8

FSS program that are attending school or working: ________.

5. Program Coordinator Salary:

a. Salary level, based on salaries for comparable jobs (modified

by number of hours worked) ________.

b. Annual Salary plus Fringe Benefits:

________ Hours/Week;

________ $/Hour;

________ Fringe Rate (%);

Annual Salary ________.

6. The HA will contract out for a Program coordinator:

________ Yes

________ No

________ Unknown

7. Attachment: Evidence demonstrating salary comparability with

similar positions in the local jurisdiction.

8. Is this application submitted jointly with another HA?

----------------------------------------------------------------------

Yes

----------------------------------------------------------------------

No

----------------------------------------------------------------------

Name of Lead Agency

If there are any questions, please contact ______________at

______________.

Sincerely,

Executive Director

Attachment(s)

[FR Doc. 96-19134 Filed 7-24-96; 9:23 am]

BILLING CODE 4210-33-P