Office of the Assistant Secretary for Community Planning and Development; NOFA for Technical Assistance for the John Heinz Neighborhood Development Program

SUMMARY: This NOFA announces the availability of $132,978 for technical

assistance funding under the John Heinz Neighborhood Development

Program. These funds are to be used to provide Technical Assistance to

eligible neighborhood development organizations.

In the body of this NOFA is information concerning:

(a) The purpose and background of the NOFA, and the funding level

provided through this NOFA;

(b) Eligible applicants and activities, factors for award and

statutory and cooperative agreement requirements; and

(c) The application requirements and steps involved in the

application process.

DATES: Completed applications must be submitted no later than 4:30 p.m.

Eastern Time on September 11, 1996. HUD reserves the right to extend

the deadline date through notification in the Federal Register. In the

interest of fairness to all competing applicants, an application will

be treated as ineligible for consideration if it is not physically

received by the deadline date and hour. Applicants should take this

requirement into account and make early submission of their materials

to avoid any risk of losing eligibility brought about by unanticipated

delays or other delivery related problems.

ADDRESSES: Completed applications (one original and two copies) should

be submitted to: Processing and Control Branch, Office of Community

Planning and Development, U.S. Department of Housing and Urban

Development, 451 Seventh Street, SW, Room 7251, Washington, DC 20410,

by mail or hand-delivery. When submitting your application, please

refer to FR-4011, and include your name, mailing address (including zip

code), and telephone number. HUD, however, will not accept faxed

applications.

FOR FURTHER INFORMATION CONTACT: Ophelia H. Wilson or Stella Hall,

Office of the Deputy Assistant Secretary for Grant Programs, Office of

Community Planning and Development, U.S. Department of Housing and

Urban Development, 451 Seventh Street, SW, Room 7220, Washington, DC

20410; telephone (202) 708-2186. (This is not a toll-free number.) For

hearing- and speech-impaired persons, this number may be accessed via

TTY (text telephone) by calling the Federal Information Relay Service

at 1-800-877-8339. However, written inquiries are preferred and may be

mailed or faxed to: (202) 708-3363.

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 a

temporary extension of the control number, in accordance with the

Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and 5 CFR

1320.13. A notice requesting public comment on this extension will be

published in the Federal Register. When assigned, the OMB control

number will be published by a separate notice in the Federal Register.

An agency may not conduct or sponsor, and a person is not required to

respond to, a collection of information unless the collection displays

a valid control number.

I. Background; Purpose; Authority; Amount Allocated

(A) Background

The purpose of the John Heinz Neighborhood Development Program

(NDP) is to support eligible neighborhood development activities using

cooperative efforts and monetary contributions from local sources. The

Federal funds are incentive funds to promote neighborhood development

initiatives and to encourage neighborhood organizations to become more

self-sufficient in their development activities. The objectives of the

program are: (1) To help neighborhood development organizations

increase their capacities to carry out larger or more complex

activities, in cooperation with private and public institutions; and

(2) to assist neighborhood development organizations to achieve long-

term financial support for their activities. The activities must

benefit low-income persons within the neighborhood.

This program is also designed to help neighborhood development

organizations address the needs of their neighborhood while furthering

the following HUD values:

--A Commitment to Community;

--A Commitment to Support Families;

--A Commitment to Economic Lift;

--A Commitment to Reciprocity and to Balancing Individual Rights and

Responsibilities; and

--A Commitment to Reducing the Separations by Race and Income in

American Life.

(B) Purpose

The purpose of this NOFA is to obtain contractor services to

provide technical assistance to nonprofit neighborhood-based

organizations to assist them in:

(1) Making better use of available resources by coordinating the

delivery of services and programs available;

(2) Developing strategic plans for the physical and economic

revitalization of local neighborhoods;

(3) Coordinating the delivery of social and human services to

bolster the physical and economic revitalization that is occurring, or

is proposed to occur, in local neighborhoods;

(4) Designing and implementing programs to maintain, rehabilitate

and construct affordable housing; create small business development

opportunities; work with employers to create job and job training

opportunities; create or support stay-in-school and youth mentoring

programs; and

(5) Plan, promote or finance neighborhood improvement efforts.

(C) Authority

Section 123 of the Housing and Urban-Rural Recovery Act of 1983 (42

U.S.C 5318 note) (Section 123) authorized the John Heinz Neighborhood

Development Program. The program is governed by regulations contained

in 24 CFR part 594.

(D) Amount Allocated

This NOFA announces the availability of $132,978 from the John

Heinz Neighborhood Development Program to provide technical assistance

(TA) to nonprofit neighborhood-based development organizations. A

Cooperative Agreement will be for a period of up to 12 months. However,

HUD reserves the right to terminate the award in accordance with

provisions contained in OMB Circulars A-102, A-110, and 24 CFR part 85

any time after 6 months.

In cases where an applicant selected for funding under this NOFA

currently is providing TA under an existing HUD Office of Community

Planning and Development (CPD) TA grant/cooperative agreement, HUD

reserves the right to adjust the start date of funding under this NOFA

to coincide

[[Page 41937]]

with the conclusion of the previous award, or to incorporate the

remaining activities from the previous award into the new agreement,

adjusting the funding levels as necessary.

(E) General Program Requirements

(1) Statutory Requirements. Applicants must comply with any

applicable statutory and regulatory requirements under the John Heinz

Neighborhood Development Program (42 U.S.C. 5138 note and 24 CFR part

594).

(2) Profit/Fee. No increment above cost and no fee or profit may be

paid to any recipient or subrecipient of an award under this NOFA.

(This is in accordance with paragraph 2.19(e) in HUD Handbook 2210.17

(Rev. 2, January 23, 1992).)

(3) Statement of Work. After selection for funding, but prior to

award, the applicant must ensure that any deletions, additions, or

enhancement to the Statement of Work submitted in the application are

incorporated into the approved grant, including details of how the

approved Statement of Work will be accomplished. Following a task-by-

task format, the approved Statement of Work must:

(a) Delineate the tasks and sub-tasks. Indicate the sequence in

which the tasks are to be performed, noting areas of work that must be

performed simultaneously.

(b) Identify specific numbers of quantifiable end products and

program improvements the TA provider aims to deliver by the end of the

cooperative agreement period.

(4) Certifications and Assurances. After selection for funding, but

prior to award, the applicant must submit signed copies of the

following Assurances and Certifications:

(a) Drug-Free Workplace Certification;

(b) Certification Regarding Lobbying; Applicant/Recipient

Disclosure Update Report;

(c) Certification and Disclosure Regarding Payments to Influence

Certain Federal Transactions (where applicable).

(5) Project Management and Staff Allocation Plan. After selection

for funding, but prior to award, the applicant must submit a Project

Management and Staff Allocation Plan for carrying out the activities

proposed in the Statement of Work. The Project Management and Staff

Allocation Plan submission should cover the proposed period of

performance.

(6) Financial Management and Audit Information. After selection for

funding, but prior to award, the applicant must submit a certification

from an Independent Public Accountant or the cognizant government

auditor, stating that the financial management system employed by the

applicant meets prescribed standards for fund control and

accountability required by OMB Circular A-110 for Institutions of

Higher Education and other Non-Profit Institutions, and OMB Circular A-

133 for other nonprofit organizations. The information should include

the name and telephone number of the independent auditor, cognizant

Federal auditor, or other audit agency as applicable.

(7) Demand/Response Delivery System. An awardee must operate within

the structure of the demand/response system described in this section

of the NOFA. The awardee must also coordinate its plan with the HUD

Headquarters Government Technical Representative (GTR) and each Field

Office within whose jurisdictions the awardee is operating, when

applicable.

Under the demand/response system, the TA provider will be required

to:

(a) Market the availability of their services to existing grantees

and other eligible participants.

(b) Obtain approval for the technical assistance delivery plan from

the HUD Headquarters Government Technical Representative with oversight

for the Cooperative Agreement.

(c) Work cooperatively with other TA providers to ensure that

clients are provided with the full range of TA services needed and

available. TA providers are expected to be knowledgeable about the

range of services available from other providers; make referrals and

arrange visits by other TA providers, when appropriate; and carry out

TA activities concurrently, when it is cost-effective and in the

interests of the client to do so. HUD may direct the TA provider to

conduct joint activities.

(d) When conducting training sessions as part of its TA activities,

the provider will be expected to:

(1) Make provision for professional videotaping of the workshops/

courses as directed by the GTR and ensure their production in a

professional and high-quality manner suitable for viewing by other CPD

clients; and

(2) Design the course materials as step-in packages, so that a

Field Office or other TA provider may separately give the course on its

own; and arrange for joint delivery of the training with Field Office

participation when so requested by the HUD Headquarters GTR or the

Field Office.

(e) Report to the HUD Headquarters GTR with oversight for the

Cooperative Agreement. At a minimum, this reporting shall be on a

quarterly basis, unless otherwise specified in the approved TA action

plan.

(f) When approved or requested by HUD Headquarters, HUD Field

Offices staff will serve as active participants in the delivery of

technical assistance by funded providers, serving in such roles as

Cooperative Agreement Officers, GTRs, Coordinators, etc., as needed.

II. Eligible Applicants

An eligible applicant must meet the criteria listed below:

All applicant organizations must have demonstrated experience in

providing technical assistance in a geographic area larger than a

single city or county and must propose to serve an area larger than a

single city or county.

A consortium of organizations may apply but HUD will require that

one organization be designated as the legal applicant, where legally

feasible. Where one organization cannot be so designated for all

proposed activities, HUD may execute more than one cooperative

agreement with the members of a consortium.

The TA provider may propose assistance using in-house staff,

consultants, subcontractors and subrecipients, and networks of private

consultants or local organizations with requisite experience and

capabilities. Whenever possible, applicants should make use of

technical assistance providers located in the Field Office

jurisdictions receiving services. This draws upon local expertise and

persons familiar with the opportunities and resources available in the

area to be served, while reducing travel and other costs associated

with delivering the proposed technical assistance services.

Eligible applicants may be:

(1) Public and private nonprofit or for-profit groups, including

educational institutions qualified to provide technical assistance on

the John Heinz Neighborhood Development Program; or

(2) Public and private nonprofit intermediary organizations that

provide services (in more than one community) to neighborhood

development organizations to support neighborhood development or social

or economic community revitalization efforts. An intermediary will be

considered as a primarily single-State technical assistance provider if

it can document that more than 50 percent of its past activities in

working with nonprofit and other organizations on neighborhood

revitalization efforts (production of housing, social service delivery,

job creation, or job training, or revitalization of deteriorating

neighborhoods), or delivery of technical assistance to these

[[Page 41938]]

groups, was confined to the geographic limits of a single State.

III. Eligible Activities

Funding under this NOFA is available to provide technical

assistance to eligible neighborhood development organizations to plan,

develop, administer, implement, and evaluate eligible activities (see

24 CFR 594.10), or to coordinate effectively eligible activities with

other federally, State-, locally, or privately funded community

development activities.

IV. Factors for Award

(A) Rating Factors. Applicants will be evaluated competitively and

ranked against all other applicants that have applied. The factors and

maximum points for each factor are provided below. The maximum number

of points is 100.

Rating of the ``applicant'' or the ``applicant's organization and

staff,'' unless otherwise specified, will include any subcontractors,

consultants, subrecipients, and members of consortia that are firmly

committed to the project.

1. Potential effectiveness of the application in meeting the needs

of nonprofit neighborhood-based development organizations (40 points).

In rating this factor, HUD will consider the extent to which the

proposal:

(a) Identifies high priority needs and issues to be addressed.

(b) Outlines a clear and effective plan for addressing those needs.

(c) Identifies creative and promising ways to assist organizations

in carrying out eligible program activities.

(d) Identifies specific numbers of quantifiable end-products and

services the TA provider aims to deliver by the end of the cooperative

agreement period to assist nonprofit neighborhood organizations build

capacity (e.g., number of organizations that will build capacity

through leveraging resources both outside of and within the community

and through the development of new partnerships with national

foundations, nonprofit corporations, public and private organizations,

and local or State governments, to find feasible ways to obtain

resources to support their neighborhood revitalization efforts), and

identifies the number of organizations that will be linked with a

national technical assistance provider to receive further technical

assistance.

2. Soundness of approach (20 points). In rating this factor, HUD

will consider the extent to which the proposal:

(a) Provides a cost-effective plan for designing, organizing, and

carrying out the proposed technical assistance within the established

budget and time frames.

(b) Demonstrates an effective and creative plan for working with

other TA providers in each Field Office jurisdiction in which the

applicant will operate.

3. Capacity of the applicant and relevant organizational experience

(30 points). In rating this factor, HUD will consider the extent to

which the proposal demonstrates:

(a) Recent, relevant, and successful experience of the applicant's

organization and staff in providing technical assistance to nonprofit

neighborhood-based (grassroots) organizations.

(b) The experience and competence of key personnel in managing

complex, multi-faceted or multi-disciplinary programs that required

coordination with other TA entities.

(c) The applicant has a working knowledge of, and established

relationships with, key public bodies and private organizations

involved in CPD programs nationally.

(d) The applicant has sufficient personnel or access to qualified

experts or professionals to deliver the proposed level of technical

assistance in a timely and effective fashion.

4. Transferability of results (10 points). In rating this factor,

HUD will consider the extent to which the applicant proposes a

feasible, creative plan that uses state of the art technology to

transfer models and lessons learned to clients in other HUD programs.

(B) Selection Process. Once scores are assigned, all applications

will be listed in rank order. Regardless of final scores, HUD may apply

the following criteria to select a provider and projects that would

best serve program objectives: geographic distribution; and diversity

of methods, approaches, or kinds of projects. HUD will select a

provider that brings expertise in one or more specialized activity

area, to strengthen or supplement the intermediary network in terms of

the location (service area), types, and scope of technical assistance

provided.

V. Application Process

All information and forms needed to complete and submit an

application under this NOFA are contained in the NOFA, except for

Standard Form SF 424 and SF 424B. These forms are available from HUD by

faxing a request to Ophelia H. Wilson or Stella Hall (fax: (202) 708-

3363; or see Section VI of this NOFA for instructions for obtaining the

SF 424 forms).

The address for submitting an application is: Processing and

Control Branch, Room 7251, Office of Community Planning and

Development, Department of Housing and Urban Development, 451 Seventh

Street, SW, Washington, DC 20410. In submitting your application,

please refer to FR-4011 and include your name, mailing address

(including zip code), and telephone number. The completed application

(one original and 2 copies) must be physically received by the

Processing and Control Branch, at the above address, no later than 4:30

p.m. Eastern Time on September 11, 1996. HUD reserves the right to

extend the deadline date through notification in the Federal Register.

HUD will not accept faxed applications. Applications not meeting the

format requirements identified in Section VI of this NOFA, Application

Submission Requirements, will not be considered for funding.

All applications should be sent to HUD's Washington, DC,

Headquarters Office. Only applications that are received on time will

receive funding consideration.

VI. Application Submission Requirements

All applicants must submit applications on 8 1/2'' by 11'' paper,

bound in looseleaf binders for easy photocopying. All pages and

attachments must be numbered consecutively, in arabic numbers. No tabs

or fold-out sheets will be permitted. Items not meeting these

specifications will not be reproduced and distributed for review.

Applications must use the following format and contain the following

items:

(1) Transmittal Letter.

(2) OMB Standard Form 424, Request for Federal Assistance and

Standard Form 424B, Non-Construction Assurances, signed by a person

legally authorized to enter into an agreement with the Department. Fax

requests for Standard Forms 424 and 424B to Ophelia Wilson or Stella

Hall at (202) 708-3363 (this is not a toll-free number).

(3) A Statement of Work that incorporates all activities to be

funded in the application and details how the proposed work will be

accomplished. Following a task-by-task format, the Statement of Work

must:

(a) Delineate the tasks and sub-tasks involved and how the tasks

meet the Factors for Award. Indicate the sequence in which the tasks

are to be performed, noting areas of work that must be performed

simultaneously.

(b) Identify specific numbers of quantifiable end-products and

program improvements the TA provider aims to

[[Page 41939]]

deliver by the end of the cooperative agreement period.

(4) Narrative statement addressing the Factors for Award in Section

IV of this NOFA. The narrative response should be numbered in

accordance with each factor for award identified under Section IV.

(5) Budget-by-task for which funds are requested.

(6) Summary Budget identifying costs by cost category, in

accordance with the following:

(i) Direct Labor by position or individual, indicating the

estimated hours per position, the rate per hour, estimated cost per

staff position, and the total estimated direct labor costs;

(ii) Fringe Benefits by staff position identifying the rate, the

salary base the rate was computed on, estimated cost per position, and

the total estimated fringe benefit cost;

(iii) Material Costs indicating the item, unit cost per item, the

number of items to be purchased, estimated cost per item, and the total

estimated material costs;

(iv) Transportation Costs. Where air transportation is proposed,

costs should identify each destination, number of trips per

destination, estimated air fare, and total estimated air transportation

costs. If other transportation costs are listed, the applicant should

identify the other method of transportation selected, the number of

trips to be made to each destination, the estimated cost, and the total

estimated costs for other transportation costs. In addition, applicants

should identify per diem or subsistence costs per travel day on the

number of travel days included, the estimated costs for per diem/

subsistence, and the total estimated transportation costs;

(v) Equipment Charges, if any. Equipment charges should identify

the type of equipment, quantity, unit costs, and total estimated

equipment costs;

(vi) Consultant Costs. Indicate the type, estimated number of

consultant days, rate per day, total estimated consultant costs per

consultant, and total estimated costs for all consultants;

(vii) Subcontract Costs. Indicate each individual subcontract and

amount. Each proposed subcontract should include a separate budget that

identifies costs by cost categories;

(viii) Other Direct Costs listed by item, quantity, unit cost,

total for each item listed, and the total direct costs for the award;

(ix) Indirect Costs, identifying the type of cost, approved

indirect cost rate, base to which the rate applies, and total indirect

costs.

These line items should total the amount requested. The submission

should include the rationale used to determine costs and validation of

fringe and indirect cost rates.

Corrections to Deficient Applications

Applicants will have 14 calendar days from the date HUD notifies

the applicant of any technical deficiency to submit the appropriate

information in writing to HUD. Notification of a technical deficiency

shall be made in writing. Technical deficiencies relate only to items

that would not improve the substantive quality of the application

relative to the ranking factors such as a failure to submit a required

certification.

VII. Other Matters

Environmental Review

A Finding of No Significant Impact with respect to the environment

has been made in accordance with HUD regulations in 24 CFR part 50 that

implement section 102(2)(C) of the National Environmental Policy Act of

1969 (42 U.S.C. 4332). The finding is available for public inspection

during regular business hours in the Office of the General Counsel,

Rules Docket Clerk, Room 10276, 451 Seventh Street, SW, Washington, DC

20410. This NOFA funds only technical assistance; therefore, awards

under this NOFA are categorically excluded from environmental

assessment under the National Environmental Policy Act and are not

subject to environmental review under related environmental laws and

authorities, in accordance with 24 CFR 50.20(b) and 50.19(g),

respectively, of the HUD regulations.

Federalism

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

of the Executive Order 12612, Federalism, has determined that the

policies contained in this notice will not have substantial direct

effects on States or their political subdivisions, or the relationship

between the Federal government and the States, or on the distribution

of power and responsibilities among the various levels of government.

As a result, the notice is not subject to review under the Order. The

notice merely announces funding for the provision of technical

assistance services to nonprofit neighborhood-based development

organizations.

Impact on the Family

The General Counsel, as the Designated Official under Executive

Order 12606, The Family, has determined that this notice will have a

beneficial, although indirect, impact on family formation, maintenance,

and general well-being. The technical assistance provided as a result

of an award under this NOFA will promote the ability of eligible

applicants to meet the requirements and program objectives of the

program. Accordingly, since the impact on the family is beneficial and

indirect, no further review is considered necessary.

Documentation and Public Access Requirements; Applicant/Recipient

Disclosures: HUD Reform Act

Documentation and public access requirements. Pursuant to Section

102 of the Department of Housing and Urban Development Reform Act of

1989 (42 U.S.C. 3537a) (HUD Reform Act), HUD will ensure that

documentation and other information regarding each application

submitted pursuant to this NOFA are sufficient to indicate the basis

upon which assistance was provided or denied. This material, including

any letters of support, will be made available for public inspection

for a 5-year period beginning not less than 30 days after the award of

the assistance. Materials will be made available in accordance with the

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

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

recipients of assistance pursuant to this NOFA in a Federal Register

notice of recipients of HUD assistance awarded on a competitive basis.

(See section 102 and 24 CFR part 4, subpart A, as published on April 1,

1996 (61 FR 14448).)

Disclosures. HUD will make available to the public for 5 years all

applicant disclosure reports (HUD Form 2880) submitted in connection

with this NOFA. Update reports (also Form 2880) will be made available

along with the applicant disclosure reports, but in no case for a

period less than 3 years. All reports--both applicant disclosures and

updates--will be made available in accordance with the Freedom of

Information Act (5 U.S.C. 552) and HUD's implementing regulations at 24

CFR part 15.

Prohibition Against Advance Information on Funding Decisions

HUD's regulation implementing section 103 of the Department of

Housing and Urban Development Reform Act of 1989 (42 U.S.C. 3537a)

(Reform Act), codified as 24 CFR part 4, applies to the funding

competition announced today. The requirements of the rule continue to

apply until the

[[Page 41940]]

announcement of the selection of successful applicants.

HUD employees involved in the review of applications and in the

making of funding decisions are restrained by part 4 from providing

advance information to any person (other than an authorized employee of

HUD) concerning funding decisions, or from otherwise giving any

applicant an unfair competitive advantage. Persons who apply for

assistance in this competition should confine their inquiries to the

subject areas permitted under 24 CFR part 4.

Applicants or employees who have ethics-related questions should

contact the HUD Office of Ethics (202) 708-3815 (TDD/Voice) (this is

not a toll-free number). Any HUD employee who has specific program

questions, such as whether particular subject matter can be discussed

with persons outside the Department, should contact the appropriate

Field Office Counsel or Headquarters counsel for the program to which

the question pertains.

Prohibition Against Lobbying Activities

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

disclosure requirements and prohibitions of section 319 of the

Department of Interior and Related Agencies Appropriations Act for

Fiscal Year 1990 (31 U.S.C. 1352) (the ``Byrd Amendment'') and the

implementing regulations at 24 CFR part 87. These authorities prohibit

recipients of Federal contracts, grants or loans from using

appropriated funds for lobbying the Executive or Legislative branches

of the federal government in connection with a specific contract, grant

or loan. The prohibition also covers the awarding of contracts, grants,

cooperative agreements, or loans unless the applicant has made an

acceptable certification regarding lobbying.

Under 24 CFR part 87, applicants, recipients, and subrecipients of

assistance exceeding $100,000 must certify that no federal funds have

been or will be spent on lobbying activities in connection with the

assistance.

The Catalog of Federal Domestic Assistance program number is

14.242.

Dated: July 31, 1996.

Andrew Cuomo,

Assistant Secretary for Community Planning and Development.

[FR Doc. 96-20534 Filed 8-7-96; 5:00 pm]

BILLING CODE 4210-29-P