Combined Notices of Funding Availability for FY 1997 for the Public and Indian Housing Economic Development and Supportive Services Program and the Tenant Opportunities Program

DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

[Docket No. FR-4196-N-01]

Combined Notices of Funding Availability for FY 1997 for the

Public and Indian Housing Economic Development and Supportive Services

Program and the Tenant Opportunities Program

AGENCY: Office of the Assistant Secretary for Public and Indian

Housing, HUD.

ACTION: Notices of Funding Availability (NOFAs) for Fiscal Year (FY)

1997.

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SUMMARY: Through this announcement HUD is making a total of $62.225

million in grant funds available for two programs: the Public and

Indian Housing Economic Development and Supportive Services Program

(ED/SS) and the Tenant Opportunities Program (TOP). Applicants will

continue to submit separate applications for either program. The

announcements have been combined to highlight HUD's parallel

restructuring of these complementary programs. The restructuring

represents a major HUD initiative to improve the targeting and

management of limited resources for public and Indian housing resident

self-sufficiency. The goal is to most effectively focus these resources

on ``welfare to work'' and on independent living for the elderly and

persons with disabilities.

DATES: Applications for funding under the TOP NOFA must be physically

received at the correct local HUD Field Office or Area Office of Native

American Programs (AONAP) as applicable on or before August 13, 1997,

at 3:00 pm, local time. This application deadline is firm as to date

and hour.

Applications for funding under the ED/SS NOFA must be physically

received at the correct local HUD Field Office or Area Office of Native

American Programs (AONAP) as applicable on or before August 18, 1997,

at 3:00 pm, local time. This application deadline is firm as to date

and hour.

In the interest of fairness to all competing applicants, HUD will

treat any application that is received after the respective program

deadlines as ineligible for consideration. Applicants should take this

practice into account and make early submission of their materials to

avoid any risk of loss of eligibility brought about by any

unanticipated or delivery-related problems. Delivery of applications by

Facsimile (FAX) is not acceptable.

FOR FURTHER INFORMATION CONTACT: For questions concerning either the

ED/SS or TOP programs contact: the local HUD Field Office, Director,

Office of Public Housing (Appendix ``A'' of this NOFA) or HUD's

Resident Initiative Clearinghouse, telephone 1-800-955-2232.

For questions concerning Native Americans programs contact: the

local HUD Field Office, AONAP Administrator (Appendix ``A'' of this

NOFA), or HUD's Resident Initiative Clearinghouse, telephone 1-800-955-

2232.

Hearing-or-speech impaired persons may access these numbers via TTY

by calling the Federal Information Relay Service at 1-800-877-8339.

(Except for the ``800'' numbers, these telephone numbers are not toll-

free.)

SUPPLEMENTARY INFORMATION:

I. Background

The recent passage of The Personal Responsibility and Work

Opportunity Reconciliation Act of 1996 (Pub. L. 104-193; 110 Stat.

2105; approved August 22, 1996), transformed the former Aid to Families

with Dependent Children (AFDC) program into the Temporary Assistance to

Needy Families (TANF) program. This change confronts the public housing

and Native American communities with a profound challenge and

opportunity. Approximately forty percent (40%) of families residing in

public housing list AFDC as their primary source of income.

The rewards of moving this substantial segment of public and Indian

housing residents from welfare dependency to work and self-sufficiency

are clear. The potential consequences of failure are equally clear and

threaten not only the economic well being of individual families, but

of entire public housing and Native American communities that could

experience significant losses of rental income as residents become

ineligible for further welfare assistance. HUD believes that it is

imperative that housing authorities and residents work together to meet

the challenge of welfare reform.

These combined NOFAs announce the availability of a total of

$62.225 million for two programs: The Public and Indian Housing

Economic Development and Supportive Services Program (ED/SS) and the

Tenant Opportunities Program (TOP). With these revised NOFAs, HUD has

restructured both of these programs to: (1) Maximize their

effectiveness in helping the public housing and Native American

communities meet the challenge of welfare reform; and (2) direct

funding to public housing and Native American communities that have the

best prospects for success.

In order for housing authorities to succeed in moving a substantial

number of welfare dependent families to work and self-sufficiency, they

must have a sound ED/SS implementation plan that is based on meeting

valid community needs. The plan must be based on an examination of the

public and Native American housing community's needs and resources. It

must include a Section 3 component and in the case of Indian Housing

Authorities (IHAs), Indian preference requirements as stated in

950.175, must be implemented . The plan must also include measurable

goals that can be achieved within 24 months. It is important to

emphasize two additional components of the plan that are critical to

success.

First, although housing authorities need to direct a meaningful

portion of their internal resources to increase the self-sufficiency of

residents, HUD recognizes that housing authorities will have to utilize

resources outside of public and Indian housing in the local community

in order to succeed. HUD is requiring that housing authorities secure

partnerships in advance of applying for an ED/SS grant as well as a one

for one (100%) match of grant funds. Secondly, HUD also maintains that

services for residents must be anchored in the local community to be

effective. HUD is therefore requiring that a majority of resident

services to be provided under the ED/SS implementation plan must be

based in a community facility that is accessible to the resident

recipients of the services. The community facility can be provided by

the housing authority (HA) (many already exist in public and Indian

housing communities) or provided by another organization, as long as it

is easily accessible to the residents to be assisted.

Just as HUD has revised the ED/SS program to improve its

effectiveness, HUD has made similar revisions to the TOP program. In

order to apply for TOP, applicants (Resident Associations (RAs)-

includes RCs, RMCs, ROs, etc. see definitions in Section IV of this

Announcement) will have to include an implementation plan with specific

measurable goals that can be achieved within 24 months. HUD is

requiring that TOP applicants have a signed partnership agreement

(Memorandum of Understanding or Agreement) with the HA prior to

submitting their application. A provision in the partnership agreement

must give TOP applicants access to a community facility to anchor the

residents' activities. In the conference report for HUD's 1997

appropriations bill, the

[[Page 31273]]

Congress specifically required that HUD improve program effectiveness

prior to awarding further funding (See H.R. Conf. Rep. No. 812, 104th

Cong., 2d Sess. 54 (1996)). HUD examined the TOP program and concluded

its major weaknesses were: (1) A lack of partnership between the TOP

grantees and their HAs; (2) a need for enhanced financial management

controls; (3) a need to expedite grantee program implementation; (4) a

lack of a clear focus on performance objectives; and (5) a failure to

target TOP grants toward the basic self-sufficiency needs of residents.

HUD believes that the measures it is putting in place to address

these problems would also benefit the ED/SS program and would address

the need to restructure the programs to promote self-sufficiency.

Therefore, this NOFA adds the following additional threshold

requirements for both programs:

1. Applicants in either program now must certify that grants

previously received under one of HUD's Community Relations and

Involvement grants (such as Public Housing Drug Elimination, ED/SS,

TOP, Family Investment Center, Elderly Service Coordinator, etc.) are

not in default.

2. All ED/SS applicants that are designated as ``troubled'' are now

required to provide for a qualified contract administrator. All TOP

applicants except those whose financial management system and

procurement procedures have been determined to comply (by HUD or an

independant accountant) with 24 CFR Part 84 are required to provide for

a qualified contract administrator.

3. Applications must include a sound assessment of resident needs

and resources to meet the needs.

4. Applications (other than Elderly and Disabled Supportive

Services Category ED/SS applications) must also include an ED/SS

implementation plan for the two year period after which many residents

will lose benefits if they fail to find work. The implementation plan

must be coordinated with the state welfare plan.

5. Programs proposed in applications (other than Elderly and

Disabled Supportive Services Category ED/SS applications) must aim

primarily at residents directly affected by potential loss of benefits.

In addition to modifying application threshold requirements, the

NOFA contains restructured selection factors designed to emphasize

performance capability. Applicants must specifically describe the

following elements to obtain the maximum number of points: (1)

Staffing; (2) budget; (3) timetable; (4) project management structure;

(5) fiscal management structure; and (6) program assessment provisions.

Reviewers will also assess the previous experience of applicants in

carrying out previously awarded public housing grants that support

resident services and (for ED/SS) will consider the applicant's Public

Housing Management Assessment Program (PHMAP) score in the case of

housing authority applicants in the ED/SS program.

It should also be noted that HUD has taken steps to improve the

implementation of current TOP grants. HUD has placed 64 grantees in

default for failing to comply with program requirements. Grantees

currently in default are not eligible for funding under this

announcement.

HUD believes that the steps outlined above will increase the

effectiveness of both of these grant programs. HUD also believes that

the two programs can complement one another in many instances. To

encourage grantees to coordinate the activities of these programs, HUD

is allocating a portion of the points in the selection factors for ED/

SS grantees and TOP grantees that agree to work together (see selection

factor at Section VI(h)(3)(i)(A)). While there is no guarantee that

applicants that have agreed to coordinate their grant activities will

both be funded, HUD believes that both TOP and ED/SS applicants will

have a higher chance of success in implementing their programs if they

enter into such an arrangement. Such a sharing of resources should

benefit both the housing authority ED/SS applicant and the Resident

Association TOP applicant.

Promoting Comprehensive Approaches to Housing and Community Development

HUD is interested in promoting comprehensive, coordinated

approaches to housing and community development. Economic development,

community development, public housing revitalization, homeownership,

assisted housing for special needs populations, supportive services,

and welfare-to-work initiatives can work better if linked at the local

level. Toward this end, HUD in recent years has developed the

Consolidated Planning process designed to help communities undertake

such approaches.

In this spirit, it may be helpful for applicants under this NOFA to

be aware of other related HUD NOFAs that have recently been published

or are expected to be published in the near future. By reviewing these

NOFAs with respect to their program purposes and the eligibility of

applicants and activities, applicants may be able to relate the

activities proposed for funding under this NOFA to the recent and

upcoming NOFAs and to the community's Consolidated Plan.

With respect to community and economic development, the following

related NOFAs have been published: (1) The NOFA for the HUD-

Administered Small Cities Community Development Block Grant Program--

Development Grants for Fiscal Year 1997 and the Section 108 Loan

Guarantee Program for Small Communities in New York State (December 3,

1996, at 61 FR 64196); (2) the NOFA for the Community Outreach

Partnership Centers (March 20, 1997, at 62 FR 13506); (3) the NOFA for

the Youthbuild Program (April 23, 1997, at 62 FR 19860); and (4) the

NOFA for Historically Black Colleges (May 12, 1997, at 62 FR 26180).

The NOFA for the Joint HUD/HHS/ED Community Partnership will be

published in the near future. To foster comprehensive, coordinated

approaches by communities, HUD intends for the remainder of FY 1997 to

continue to alert applicants to upcoming and recent NOFAs as each NOFA

is published. In addition, a complete schedule of NOFAs to be published

during the fiscal year and those already published appears under the

HUD Homepage on the Internet, which can be accessed at http://

www.hud.gov/nofas.html. Additional steps on NOFA coordination may be

considered for FY 1998.

For help in obtaining a copy of your community's Consolidated Plan,

please contact the community development office of your municipal

government.

II. Funding Amounts

(a) FY 1997 Appropriations. HUD is making a total of $62.225

million in grant funds available for two programs: ED/SS funded at

$42.25 million and TOP funded at $19.975 million. Under the Departments

of Veterans Affairs and Housing and Urban Development, and Independent

Agencies Appropriations Act, 1997 (Pub. L. 104-204, 110 Stat. 2874;

approved September 26, 1996) (FY 1997 Appropriations) sixty ($60)

million was set aside for the ED/SS program.

(b) TOP Funding. Five ($5) million of the sixty ($60) million

available under the ED/SS set-aside was further allocated to fund the

TOP program for FY 1997. HUD has carried over fifteen ($15) million

appropriated in FY 1996 for the TOP program pursuant to the Omnibus

Consolidated Rescissions and Appropriations Act of 1996 (Pub. L. 104-

134, 110 Stat. 1321; approved April 26, 1996). HUD has allocated

$25,000 from the fifteen million carried over to

[[Page 31274]]

fund an applicant which, due to a technical error, was not awarded a

grant pursuant to a previous TOP NOFA. HUD is adding the remaining

$14,975,000 carried over from FY 1996 to the five ($5) million

available under the FY 1997 Appropriations to make a total of $19.975

million available under this NOFA for TOP.

Of the total amount available for TOP, $5 million will be

competitively awarded to National Resident Organizations (NROs),

Regional Resident Organizations (RROs) and Statewide Resident

Organizations (SROs) to provide training and technical assistance, and

coordinate linkages to appropriate supportive services for public and

Indian housing resident organizations who have not been awarded RM/TOP

funds. The remainder of the funds ($14,975,000) is being made available

on a competitive basis under this NOFA to applicants other than

National Resident Organizations (NROs), Regional Resident Organizations

(RROs) and Statewide Resident Organizations (SROs) that submit timely

applications and are selected for funding. This financial assistance

may not exceed $100,000 with respect to any public and Indian housing

project.

HUD encourages housing authorities to notify their RAs of this

funding opportunity. It is important for residents to be advised that,

even in the absence of a RA, the opportunity exists to establish a RA

before applying for funding. If no RA exists for any of the

developments, HUD encourages every HA to post this NOFA in a prominent

location within the HA's main office, as well as in each development's

office.

(c) ED/SS funding. Of the remaining fifty five ($55) million

available for the ED/SS program, the following has been set aside:

(1) Five ($5) million for the Moving to Work Demonstration;

(2) $250,000 to the community of St. Petersburg, Florida for a

self-sufficiency program for public housing residents (part of a

package of assistance in response to the civil disturbances in St.

Petersburg); and

(3) $2.5 million to be used in conjunction with funding from the

Department of Health and Human Services for a Resident Uplift and

Economic Development Program.

(4) $5 million for service coordinators, which will be administered

by the Office of Housing and that will be made available separately.

(5) HUD is making the remaining $42.25 million available under this

NOFA.

III. Application Submission Requirements

Applicants must apply using application kits that HUD has provided.

Application kits for either the ED/SS or TOP programs may be obtained,

and assistance provided from: (1) The local HUD Field Office with

delegated public housing responsibilities over an applying public

housing agency or RA; (2) The Area Offices of Native American Programs

(AONAPs) having jurisdiction over an Indian housing authority, Resident

Organization or Native American Resident Management Corporation making

an application; (3) By calling HUD's Resident Initiatives

Clearinghouse, telephone (800) 955-2232; or (4) by consulting the

Funding cross reference under HUD's Business and Community Partner

HomePage on the Internet's World Wide Web (http://www.hud.gov/

bushome.html): look under Funding then under Public Housing and then

under the reference for either ED/SS or TOP. The application kit

contains information on all exhibits and certifications required under

this NOFA as well as additional guidance.

For the ED/SS program, an HA may submit one application under the

Family Economic Development and Supportive Services grant category and/

or one application under the Elderly and Disabled Supportive Services

grant category to assist the Elderly and/or Persons with Disabilities.

The maximum number of applications that an HA may submit is two. If the

HA submits two applications, the total amount requested must not exceed

the maximum permitted for the Family Economic Development and

Supportive Services category.

Joint applications ARE NOT PERMITTED under the ED/SS program with

the following EXCEPTION: HAs under a single administration (such as HAs

managing another HA under contract or HAs sharing a common executive

director) may submit a single application, even though each HA has its

own operating budget. For TOP, only one Basic or Additional Grant

application will be considered for funding from an individual project

(See Section VII(d) of this Announcement for explanation of types of

grants). If two such applications are received from a project, only the

application from the duly elected RA will be considered. In addition,

for all funding years, the sum total of TOP and Resident Management

Program financial assistance for any single public or Indian housing

project, including all project-based Basic and Additional Grants and

any portion of an Intermediary Grant which benefits the project, may

not exceed $100,000 (See Section VII(d) of this Announcement for

explanation of types of grants).

With respect to both the ED/SS and TOP programs, an original

application and two identical copies of the original application must

be received by the deadline at the local HUD Field Office with

responsibilities over the applying HA or RA (exclusive of Resident

Organizations and Native American Resident Management Corporations),

and addressed Attention: Director, Office of Public Housing or (in the

case of Indian housing authorities, Resident Organizations or Native

American Resident Management Corporations) to the local HUD AONAP,

Attention: Administrator, AONAPs with jurisdiction over the applying

Indian housing authorities, Resident Organization or Native American

Resident Management Corporations, as appropriate. A complete listing of

these offices is provided in Appendix ``A'' of this NOFA.

It is not sufficient for an application to bear a postage date

within the submission time period. APPLICATIONS RECEIVED AFTER THE

DEADLINE DATES/TIMES LISTED ABOVE, WILL NOT BE CONSIDERED. Applications

submitted by facsimile (FAX) are not acceptable.

IV. Common Definitions

Community Facility means a non-dwelling structure that provides

space for multiple supportive services for the benefit of public and

Indian housing residents (as well as others eligible for the services

provided) that may include but are not limited to:

(1) Child care;

(2) After-school activities for youth;

(3) Job training;

(4) Campus of Learner activities; and

(7) English as a Second Language (ESL) classes.

Contract Administrator means an overall administrator and/or a

financial management agent that oversees the financial aspects of a

grant and assists in the entire implementation of the grant. Examples

of qualified organizations that can serve as a Contract Administrator

are:

(1) Local housing authorities; and

(2) Community based organizations such as Community Development

Corporations (CDCs), community churches, and State/Regional

Associations/Organizations.

Development has the same meaning as the term ``Project'' below.

Elderly person means a person who is at least 62 years of age.

[[Page 31275]]

Jurisdiction-Wide Resident Organization means an incorporated

nonprofit organization or association that meets the following

requirements:

(1) Most of its activities are conducted within the jurisdiction of

a single housing authority;

(2) There are no incorporated Resident Councils, Resident

Management Corporations, Resident Organizations or Native American

Resident Management Corporations within the jurisdiction of the single

housing authority;

(3) It has experience in providing start-up and capacity-building

training to residents and resident organizations; and

(4) Public or Indian housing residents representing unincorporated

Resident Councils within the jurisdiction of the single housing

authority must comprise the majority of the board of directors.

Intermediary Resident Organizations means Jurisdiction-Wide

Resident Organizations, State-wide Resident Organizations, Regional

Resident Organizations and National Resident Organizations.

National Resident Organization (NRO) means an incorporated

nonprofit organization or association for public and Indian housing

that meets each of the following requirements:

(1) It is national (i.e., conducts activities or provides services

in at least two HUD Areas or two States);

(2) It has experience in providing start-up and capacity-building

training to residents and resident organizations; and

(3) Public or Indian housing residents representing different

geographical locations in the country must comprise the majority of the

board of directors.

Native American Resident Management Corporation (RMC) (as defined

in 24 CFR 950.962) means an entity that proposes to enter into, or

enters into, a contract to manage IHA property. The corporation shall

have each of the following characteristics:

(1) It shall be a nonprofit organization that is incorporated under

the laws of the State or Indian tribe in which it is located;

(2) It may be established by more than one resident organization,

so long as each such organization both approves the establishment of

the corporation and has representation on the Board of Directors of the

corporation;

(3) It shall have an elected Board of Directors;

(4) Its by-laws shall require the Board of Directors to include

representatives of each resident organization involved in establishing

the corporation;

(5) Its voting members are required to be residents of the project

or projects it manages; and

(6) It shall be approved by the resident organization. If there is

no organization, a majority of the households of the project or

projects shall approve the establishment of such an organization.

Person with disabilities means an adult person who:

(1) Has a condition defined as a disability in section 223 of the

Social Security Act;

(2) Has a developmental disability as defined in section 102 of the

Developmental Disabilities Assistance Bill of Rights Act. Such a term

shall not exclude persons who have the disease of acquired

immunodeficiency syndrome (AIDs) or any conditions arising from the

etiologic agent for acquired immunodeficiency syndrome; or

(3) Is determined, pursuant to regulations issued by the Secretary,

to have a physical, mental, or emotional impairment which:

(i) Is expected to be of long-continued and indefinite duration;

(ii) Substantially impedes his or her ability to live

independently; and

(iii) Is of such a nature that such ability could be improved by

more suitable housing conditions.

Project is the same as ``low-income housing project'' as defined in

section 3(b)(1) of the United States Housing Act of 1937 (42 U.S.C.

1437 et. seq.) (1937 Act).

Resident Association (RA) means any or all of the forms of resident

organizations as they are defined elsewhere in this Definitions section

and includes Resident Councils (RC), Resident Management Corporations

(RMC), Resident Organizations (RO), Native American Resident Management

Corporations, Regional Resident Organizations (RRO), Statewide Resident

Organizations (SRO), and National Resident Organizations (NRO).

Resident Council (RC) means (as provided in 24 CFR 964.115) an

incorporated or unincorporated nonprofit organization or association

that shall consist of persons residing in public housing and must meet

each of the following requirements in order to receive official

recognition from the HA/HUD, and be eligible to receive funds for RC

activities and stipends for officers for their related costs for

volunteer work in public housing. (Although 24 CFR part 964 defines an

RC as an incorporated or unincorporated nonprofit organization, HUD

requires the RC to be registered with the State at the time of

application submission.)

(1) It must adopt written procedures such as by-laws, or a

constitution which provides for the election of residents to the

governing board by the voting membership of the public housing

residents. The elections must be held on a regular basis, but at least

once every 3 years. The written procedures must provide for the recall

of the resident board by the voting membership. These provisions shall

allow for a petition or other expression of the voting membership's

desire for a recall election, and set the percentage of voting

membership (``threshold'') which must be in agreement in order to hold

a recall election. This threshold shall not be less than 10 percent of

the voting membership.

(2) It must have a democratically elected governing board that is

elected by the voting membership. At a minimum, the governing board

should consist of five elected board members. The voting membership

must consist of heads of households (any age) and other residents at

least 18 years of age or older and whose names appear on a lease for

the unit in the public housing that the resident council represents.

(3) It may represent residents residing in:

(i) Scattered site buildings in areas of contiguous row houses;

(ii) One or more contiguous buildings;

(iii) A development; or

(iv) A combination of the buildings or developments described

above.

Regional Resident Organization (RRO) means an incorporated

nonprofit organization or association for public or Indian housing that

meets each of the following requirements:

(1) It is regional (i.e., not limited by HUD Areas, including

Tribal Areas);

(2) It has experience in providing start-up and capacity-building

training to residents and resident organizations; and

(3) Public or Indian housing residents representing different

geographical locations in the region must comprise the majority of the

board of directors.

Resident Organization (RO) means an RC for an Indian housing

authority (24 CFR 950.962).

Resident Management Corporation (RMC) (See 24 CFR 964.7, 964.120)

means an entity that consists of residents residing in public housing

and must have each of the following characteristics in order to receive

official recognition by the HA and HUD:

(1) It shall be a nonprofit organization that is validly

incorporated under the laws of the State in which it is located;

(2) It may be established by more than one RC, so long as each such

council:

[[Page 31276]]

(i) Approves the establishment of the corporation; and

(ii) Has representation on the Board of Directors of the

corporation.

(3) It shall have an elected Board of Directors, and elections must

be held at least once every 3 years;

(4) Its by-laws shall require the Board of Directors to include

resident representatives of each RC involved in establishing the

corporation; include qualifications to run for office, frequency of

elections, procedures for recall, and term limits if desired;

(5) Its voting members shall be heads of households (any age) and

other residents at least 18 years of age and whose names appear on the

lease of a unit in public housing represented by the RMC;

(6) Where an RC already exists for the development, or a portion of

the development, the RMC shall be approved by the RC board and a

majority of the residents. If there is no RC, a majority of the

residents of the public housing development it will represent must

approve the establishment of such a corporation for the purposes of

managing the project; and

(7) It may serve as both the RMC and the RC, so long as the

corporation meets the requirements of this part for an RC.

Secretary means the Secretary of Housing and Urban Development.

Statewide Resident Organization (SRO) means an incorporated

nonprofit organization or association for public or Indian housing that

meets the following requirements:

(1) It is Statewide or Tribe-wide;

(2) It has experience in providing start-up and capacity-building

training to residents and resident organizations; and

(3) Public or Indian housing residents representing different

geographical locations in the State or Tribe must comprise the majority

of the board of directors.

V. Common Requirements

(a) Selection Processing. (1) Corrections to Deficient

Applications. After the submission deadline date, HUD will screen each

application to determine whether it is complete, consistent, and

contains correct computations.

(i) HUD will notify an applicant, in writing, of any curable

technical deficiencies in the application. The applicant must submit

corrections in accordance with the information specified in HUD's

letter within 14 calendar days from the date of HUD's letter notifying

the applicant of any such deficiency.

(ii) Curable technical deficiencies relate to items that are not

necessary for HUD review under selection factors and would not improve

the quality of the applicant's program proposal.

(iii) An example of a curable technical deficiency would be the

failure of an applicant to submit a required assurance, budget

narrative, certification, applicant data form, summaries of written

resident comments, incomplete forms such as the SF-424 or lack of

required signatures, appendixes and documentation referenced in the

application or a computational error based on the use of an incorrect

number(s) such as incorrect unit counts. These items are discussed in

the application kit and samples, as appropriate, are provided.

(iv) An example of a non-curable defect or deficiency would be a

missing SF-424A (Budget Information).

(2) Scoring. HUD will review each application that it determines

meets the requirements of these NOFAs and evaluate it by assigning

points in accordance with the selection factors for the program for

which the applicant applied. (HUD may utilize non-HUD staff reviewers

to assist in scoring applications.) The number of points that an

application receives will depend on the extent to which the application

is responsive to the information requested in the selection factors. An

application must receive a score of at least 75 points (or in the case

of Elderly and Disabled Supportive Service Category applications in the

ED/SS program--60 points) out of the maximum of 100 points that may be

awarded under either of these NOFAs to be eligible for funding.

After applications have been scored, Headquarters will rank the

applications in accordance with the ranking procedures for each

program. Awards will be made in ranked order until all funds are

expended. HUD will select the highest ranking applications that can be

fully funded. In the event that two eligible applications receive the

same score, and both cannot be funded because of insufficient funds,

the application with the highest score in Selection Factor 3 will be

selected. If Selection Factor 3 is scored identically for both

applications, the scores in Selection Factors 1, 2, and 4 (for TOP)

will be compared in this order, one at a time, until one application

scores higher in one of the factors and is selected. If the

applications score identically in all factors, the application that

requests less funding will be selected. In the event that the remaining

applications contain equal funding, selections will be made among the

remaining applications by lottery.

(b) Post Selection Administration Funding--Reduction of Requested

Grant Amounts and Special Conditions. All awards will be made to fund

fully an application, except as follows. HUD may approve an application

for an amount lower than the amount requested, withhold funds after

approval, adjust line items in the proposed grant budget within the

amount requested and/or the grantee will be required to comply with

special conditions added to the grant agreement, in accordance with 24

CFR 85.12 (public housing agencies), and 24 CFR 950.135 (Indian housing

authorities) as applicable, and the requirements of this NOFA, or

where:

(1) HUD determines the amount requested for one or more eligible

activities is not supported in the application, and/or is unreasonable

or unnecessary;

(2) The application does not otherwise meet applicable cost

limitations established for the program;

(3) The applicant has requested an ineligible activity; An activity

proposed for funding does not qualify as an eligible activity and can

be separated from the budget;

(4) Insufficient amounts remain in that funding round to fund the

full amount requested in the application and HUD determines that

partial funding is a viable option; or

(5) For any other reason where good cause exists.

(c) General Grant Requirements. In addition to the requirements set

forth in this NOFA, grantees are responsible for ensuring that grant

funds are administered in accordance with all applicable laws and

regulations, OMB circulars, HUD fiscal and audit controls, grant

agreements, grant special conditions, the grantee's approved budget (SF

424A), and supporting budget narrative, plan and activity timetable.

Applicable Federal laws include but are not limited to those related to

fair housing and equal opportunity and the following:

(1) Grant Administration. The policies, guidelines, and

requirements of the following apply to this NOFA:

(i) For HAs and any governmental subgrantees: 24 CFR part 85, OMB

Circular A-87 and 24 CFR part 44;

(ii) For private non-profit grantees or subgrantees: 24 CFR part

84, OMB Circulars A-122 or A-21, as applicable, and 24 CFR part 45; and

(iii) For for-profit participants using Federal funds: 24 CFR part

84 and Federal Acquisition Requirements (FAR).

[[Page 31277]]

(2) Cost Principles. The cost principles of OMB Circulars A-87, A-

21, or A-122, as applicable to the specific entity incurring the cost,

apply to grantees and subgrantees funded under this NOFA.

(3) Ineligible Contractors. The provisions of 24 CFR part 24 apply

and relate to the employment, engagement of services, awarding of

contracts, or funding of any contractors or subcontractors during any

period of debarment, suspension, or placement in ineligibility status.

(4) Freedom of Information Act. Applications submitted in response

to this NOFA are subject to disclosure under the Freedom of Information

Act (FOIA).

(5) Grant Staff Personnel. All persons or entities compensated by

grants for services provided under an ED/SS or TOP grant must meet all

applicable personnel or procurement requirements and shall be required,

as a condition of employment, to meet relevant State, local and Tribal

government, insurance, training, licensing, civil rights or other

similar standards and requirements.

(6) Grant Agreement. After an application has been approved, HUD

and the applicant shall enter into a grant agreement (Form 1044)

setting forth the amount of the grant and its applicable terms,

conditions, financial controls, payment mechanism (which except under

extraordinary conditions will operate under HUD's Line of Credit

Control System (LOCCS)) and special conditions, including sanctions for

violation of the agreement. Except as otherwise specified in the Grant

Agreement, the applicant's entire application, including but not

limited to the budget, timetable, and narrative will be incorporated in

the Grant Agreement.

(7) Duplication of Funds. Under OMB Cost Circulars (A-87, A-21, and

A-122), grantees may not duplicate funding from (i.e., charge the same

costs to) the ED/SS or TOP grant and any other funding sources,

although the costs of budget line items may be shared between the grant

and other funding sources in accordance with allocation criteria in the

applicable OMB Cost circular. Adequate financial controls must be in

place to assure compliance with these requirements.

(8) Risk Management. Grantees and subgrantees are required to

implement, administer and monitor programs so as to minimize the risk

of fraud, waste, abuse, and liability for losses from adversarial legal

action. The following requirements address these concerns:

(i) Insurance/Indemnification. Each grantee shall obtain adequate

insurance coverage to protect itself against any potential liability

arising out of the eligible activities under this part. Subgrantees

shall obtain their own liability insurance. For the TOP program,

section 20(b)(3) of the 1937 Act states that bonding and insurance, or

its equivalent, shall be available to protect the Secretary and the

Public Housing Agency against loss, theft, embezzlement or fraudulent

acts on or behalf of the RMC or its grantees.

(ii) Failure to implement program(s). If the grant plan, approved

budget, and timetable, as described in the approved application, are

not operational within 90 days of the grant agreement date, the grantee

must report by letter to the local HUD Field Office or the local AONAPs

the steps being taken to initiate the plan and timetable, the reason

for the delay, and the expected starting date. Any timetable revisions

that resulted from the delay must be included. The local HUD Field

Office or AONAPs will determine if the delay is acceptable, approve/

disapprove the revised plan and timetable, and take any additional

appropriate action.

(iii) Default. HUD may impose sanctions, subject to HUD notice and

Grantee opportunity to respond/correct as described in the program

grant agreement if the grantee:

(A) Is not complying with the requirements of this part or of other

applicable Federal laws or requirements;

(B) Fails to make satisfactory progress toward its program goals,

as specified in its plan and as reflected in its performance, financial

status reports or through other information available to HUD;

(C) Does not establish procedures that will minimize the time

elapsing between drawdowns and disbursements;

(D) Does not adhere to grant agreement requirements or special

conditions;

(E) Proposes substantial plan changes to the extent that, if

originally submitted, the applications would not have been selected for

funding;

(F) Engages in the improper award or administration of grant

subcontracts;

(G) Does not submit reports; or

(H) Files a false certification.

(iv) Sanctions. The sanctions that HUD may impose include but are

not limited to:

(A) Temporarily withhold cash payments pending correction of the

deficiency by the grantee or subgrantee;

(B) Disallow all or part of the cost of the activity or action not

in compliance;

(C) Wholly or partly suspend or terminate the current award for the

grantee's or subgrantee's program;

(D) Require that some or all of the grant amounts be remitted to

HUD;

(E) Condition a future grant and elect not to provide future grant

funds to the grantee until appropriate actions are taken to ensure

compliance;

(F) Withhold further awards for the program; or

(G) Take other remedies that may be legally available.

(10) Treatment of Income. For public housing only, annual Income

does not include the earnings and benefits to any family member

resulting from the participation in a program providing employment

training and supportive services in accordance with the Family Support

Act of 1988, section 22 of the 1937 Act (See 24 CFR part 5), or any

comparable Federal, State, or local authority during the exclusion

period. For purposes of this paragraph, the following definitions

apply:

(i) Comparable Federal, State, local or tribal law means a program

providing employment training and supportive services that:

(A) Is authorized by a Federal, State, local or tribal law;

(B) Is funded by the Federal, State, local or tribal government;

(C) Is operated or administered by a public agency;

(D) Has as its objective to assist participants in acquiring

employment skills.

(ii) Exclusion period means the period during which the resident

participates in a program described in this NOFA, plus 18 months from

the date the resident begins the first job acquired by the resident

after completion of such program that is not funded by public housing

assistance under the 1937 Act. If the resident is terminated from

employment based on good cause, the exclusion shall end.

(iii) Earnings and benefits means the incremental earnings and

benefits resulting from a qualifying employment program or subsequent

job.

(11) Reports and Closeout (i) Semiannual reports. Each applicant

receiving a grant shall submit to HUD a semi-annual progress report in

a format prescribed by HUD that indicates program expenditures and

measures performance in achieving program milestones and goals. No

grant payments will be approved for grantees with overdue progress

reports.

(ii) Final reports and closeout. As part of a grant closeout

process, each applicant receiving a grant shall submit to HUD a final

report in a format prescribed by HUD that reports final program

expenditures and measures performance in achieving program goals.

[[Page 31278]]

(iii) Audits and closeouts. HUD will make maximum use of audits

required under 24 CFR parts 44 and 45 as applicable in conducting grant

closeout. At grant closeout, grantees shall make the latest audit

available to HUD along with the final report. TOP Grantees shall time

their final audit to reflect grant completion and to be available at

closeout.

(12) LOCCS/VRS All grantees will access the grant funds through the

LOCCS/VRS.

VI. Public Housing Economic Development and Supportive Services Program

(ED/SS) NOFA

(a) Purpose and Description. (1) Authority. The ED/SS program is

authorized pursuant to the 1997 Appropriations Act.

(2) Funding Available. The Department is making a total of $42.25

million available for award pursuant to this NOFA. The Department is

setting aside 10% of this amount to fund applications from IHAs with

the remainder (90%) available to fund applications from PHAs. Both the

amount for IHAs and the amount for PHAs will be allocated as follows:

80% will be allocated to Family Economic Development and Supportive

Services category grants; and the remaining 20% will be allocated to

Elderly and Disabled Supportive Services category grants.

(3) Program Description. The ED/SS program provides grants to HAs

to enable them to establish and implement programs that increase

resident self-sufficiency and support continued independent living for

elderly and disabled residents.

(b) Eligible Applicants (1) Primary Applicants. Public and Indian

Housing Authorities that have not received a previous ED/SS grant are

eligible primary applicants. Public and Indian Housing Authorities are

required to establish partnerships with eligible co-applicants as

described below.

(2) Co-Applicants. Eligible Co-Applicants are:

(i) Corporations (including non-profit and for profit corporations)

are eligible co-applicants; and

(ii) Public bodies, including an agency or instrumentality thereof,

are eligible co-applicants.

(3) Co-Applicant Roles and Requirements. (i) Co-Applicants

capabilities will be considered in reviewing applications.

(ii) Co-Applicants are considered an integral part of the

application and cannot be changed once applications are submitted and

under review without disqualifying an application. If an applicant HA

is awarded a grant, it must obtain HUD approval prior to dissolving a

partnership with a Co-Applicant or significantly changing its role.

(iii) Co-Applicants can be designated subgrantees if appropriate,

but in such an instance become subject to Federal requirements

applicable to subgrantees.

(c) Eligible Participants. (1) Residents of conventional public or

Indian housing are eligible to participate in and/or receive the

benefits of a Family ED/SS category grant. A grantee may designate that

up to twenty five percent (25%) of the total number of persons eligible

to participate in and/or receive the benefits of a Family ED/SS

category grant may be recipients of assistance under the Section 8

Program rather than residents of conventional public housing.

(2) A grantee may designate that up to twenty five percent (25%) of

the total number of persons eligible to participate in and/or receive

the benefits of a Disabled Supportive Services category grant may be

recipients of assistance under the Section 8 Program rather than

residents of conventional public housing.

(3) A grantee may plan for assistance for elderly persons or

persons with disabilities on a waiting list for either public housing

or Section 8 assistance in advance of their becoming public housing

residents or securing Section 8 assistance.

(d) Maximum Grant Amounts. The maximum grant awards are limited as

follows:

(1) For Family Economic Development and Supportive Services

category--no more than $250 per unit up to the below listed maximums:

(i) For HAs with 1 to 780 units, the maximum grant award is

$150,000.

(ii) For HAs with 781 to 7,300 units the maximum grant award is

$500,000.

(iii) For HAs with 7,301 or more units, the maximum grant award is

$1,000,000.

(2) For Elderly or Disabled Supportive Services category--no more

than $100 per unit up to the below listed maximums:

(i) For HAs with 1 to 217 units occupied by Elderly residents or

persons with disabilities, the maximum grant award is $100,000.

(ii) For HAs with 218 to 1,155 units occupied by Elderly residents

or persons with disabilities, the maximum grant award is $200,000.

(iii) For HAs with 1,156 or more units occupied by Elderly

residents or persons with disabilities, the maximum grant award is

$300,000.

(3) An HA may submit one application under the Family Economic

Development and Supportive Services grant category and/or one

application under the Elderly or Disabled Supportive Services grant.

The maximum number of applications that an HA may submit is two. If an

HA submits two applications, the total amount requested must not exceed

the maximum grant amount available for its size under the Family

Economic Development and Supportive Services category (as listed

above).

(e) Eligible activities. Program funds may be used for the

following:

(1) Family Economic Development and Supportive Services category.

(i) Economic Development activities. Activities essential to

facilitate economic uplift and provide access to the skills and

resources needed for self-development and business development.

Economic development activities may include:

(A) Entrepreneurship Training (literacy training, computer skills

training, business development planning).

(B) Entrepreneurship Development (entrepreneurship training

curriculum, entrepreneurship courses).

(C) Micro/Loan Fund. Developing a strategy for establishing a

revolving micro/loan fund and/or capitalizing a loan fund. A loan fund

(from non-grant funds and/or grant funds) must be included as part of a

comprehensive entrepreneurship training program if applicable.

(D) Developing credit unions. Developing a strategy to establish

and/or creating on-site credit union(s) to provide financial and

economic development initiatives to HA residents. (ED/SS grant funds

cannot be used to capitalize a credit union.) The credit union could

support the normal financial management needs of the community (i.e.,

check cashing, savings, consumer loans, micro-businesses and other

revolving loans).

(E) Employment training and counseling (e.g., job training (such as

Step-Up programs), preparation and counseling, job search assistance,

job development and placement, and continued follow-up assistance).

(F) Employer linkage and job placement.

(ii) Supportive Services. The provision of services to assist

eligible residents to become economically self-sufficient, particularly

families with children where the head of household would benefit from

the receipt of supportive services and is working, seeking work, or is

preparing for work by participating in job-training or educational

programs. Supportive services may include:

[[Page 31279]]

(A) 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.

(B) Computer based educational opportunities, skills training, and

entrepreneurial activities.

(C) Homeownership training and counseling, development of

feasibility studies and preparation of homeownership plans/proposals.

(D) Education including but not limited to:

(1) Remedial education;

(2) Literacy training;

(3) Assistance in the attainment of certificates of high school

equivalency;

(4) Two-year college tuition assistance;

(5) Trade school assistance;

(6) Youth leadership skills and related activities (activities may

include peer leadership roles training for youth counselors, peer

pressure reversal, life skills, goal planning).

(E) Youth mentoring of a type that mobilizes a potential pool of

role models to serve as mentors to public or Indian housing youth.

Mentor activities may include after-school tutoring, drug abuse

treatment, job counseling or mental health counseling.

(F) Transportation costs, as necessary to enable any participating

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

training or supportive services activities or place of employment.

(G) Personal welfare (e.g., family/parental development counseling,

parenting skills training for adult and teenage parents, substance/

alcohol abuse treatment and counseling, and self-development

counseling, etc.).

(H) Supportive health care services (e.g., outreach and referral

services).

(I) The employment of case managers.

(2) Elderly or Disabled Supportive Services Category. Supportive

Services for the elderly and for persons with disabilities include:

(i) Meal service adequate to meet nutritional need;

(ii) Personal assistance (which may include, but is not limited to,

aid given to eligible residents in grooming, dressing, and other

activities which maintain personal appearance and hygiene);

(iii) Housekeeping aid;

(iv) Transportation services;

(v) Wellness programs, preventive health education, referral to

community resources;

(vi) Personal emergency response; and

(vii) Congregate services--includes supportive services that are

provided in a congregate setting at a conventional HA development.

(3) For both Family Economic Development and Supportive Services

category and Elderly or Disabled Supportive Services category grants:

(i) The employment of service coordinators. For the purposes of

this NOFA, a service coordinator is any person who is responsible for

one or more of the following functions:

(A) Assessing the training and supportive service needs of eligible

residents (for Family Economic Development and Supportive Service

category grants);

(B) Working with community service providers to coordinate the

provision of services and to tailor the services to the needs and

characteristics of eligible residents;

(C) Establishing a system to monitor and evaluate the delivery,

impact, effectiveness and outcomes of supportive services under this

program;

(D) Coordinating this program with other independent living or

self-sufficiency, education and employment programs;

(E) Performing other duties and functions that are appropriate to

assist eligible public and Indian housing residents to become

economically self-sufficient;

(F) Performing other duties and functions to assist residents to

remain independent, and to prevent unnecessary institutionalization;

and

(G) Mobilizing other national and local public/private resources

and partnerships.

(ii) Any other services and resources, proposed by the applicant

and approved by HUD and authorized by the 1997 Appropriations Act that

are determined to be appropriate in assisting eligible residents.

(4) Administrative costs not to exceed 15% of the grant amount.

(f) Term of Grant. All funds must be expended within 36 months

after the effective date of grant agreement. Grant implementation

progress must be evident and documented within the first six months of

grant award. Grantees must have completed all but grant closeout

activities within 30 months after the effective date of the grant

agreement. Grant terms may not be extended without substantial good

cause (circumstances reasonably unforeseen and reasonably beyond the

grantee's control) and subject to HUD approval.

(g) Program Requirements--Threshold Criteria. The following

threshold requirements are considered essential for an application to

be complete and acceptable for rating and ranking:

(1) General Submission Requirements. A complete application as

prescribed in the Application Kit must be submitted to the appropriate

field office by the deadline as specified in this NOFA.

(2) Needs Assessment Report. The applicant must provide a needs

assessment report dealing with the proposed recipient population that

contains, at minimum, sections containing statistical or survey

information on the needs of the recipient population that addresses the

needs of different projects to be served relative to the needs of the

overall housing authority and an identification of resources to meet

the needs.

(3) Grant Implementation Plan. (i) The applicant must provide a

grant implementation plan, in a format prescribed by the application

kit, that reduces the level of needs identified in the needs assessment

report.

(ii) This plan must, at minimum, list specific measurable

objectives to be achieved as a result of grant activities (such as an

objective of 100 residents becoming employed, 10 resident businesses

starting, or 150 residents completing GED requirements) and list major

milestones necessary to accomplish the goals. Milestones shall include

the number of participants to be served, types of services, outcomes,

and dollar amounts to be allocated over the two year period.

(iii) The plan must also include a detailed budget, activities and

timetable.

(iv) In addition, the plan must describe how resources and/or

services firmly committed by partners/co-applicants are effectively

directed to support the residents' self-sufficiency efforts. To be

considered ``firmly committed'' there must be a written agreement to

provide the resources. The written agreement may be contingent upon an

applicant receiving a grant award. These resources must be provided for

a period two years.

(4) For Family Economic Development and Supportive Service

Applications. The applicant must provide evidence that the proposed

grant implementation plan is consistent with the State or Tribal

Welfare Plan. Applicants must, however, comply with the restrictions of

the ED/SS program if its requirements conflict with those of the State

or Tribal Welfare Plan. For example the State or Tribal plan may give

TANF recipients five years to leave public assistance; but, the ED/SS

program is to be completed within two and a half years regardless. In

order to be consistent with the State or Tribal Welfare Plan, the

implementation plan must have a performance objective that would result

in a majority of the participants becoming self sufficient by the

deadline for termination of TANF assistance set

[[Page 31280]]

by the State. In addition, the applicant's plan must be guided by the

goals, milestones and schedules set by the State TANF plan both overall

and to the extent that such goals, milestones and schedules are set for

individual families.

(5) Focus on Residents Affected by Welfare Reform. The application

must contain written evidence from the HA that at least 75% or more of

the public or Indian housing residents to be included in the proposed

program and served by ED/SS grant funds are affected by the welfare

reform legislation, including TANF recipients, legal immigrants, and

disabled SSI recipients. This requirement is not applicable to

applications dealing with elderly persons and/or persons with

disabilities.

(6) Accessible Community Facility. The application must provide

evidence (e.g. through an executed use agreement) that a preponderance

of the proposed activities will be administered at community facilities

in or within easy access of the specific public or Indian housing

development(s). These facilities and these programs must be accessible

to persons with disabilities. These facilities may include deprogrammed

units, existing community space or off-site facilities. If units have

to be converted from dwelling use into a community facility or the

facility is to be constructed, the applicant must submit a plan for the

conversion or construction that provides for adequate resourcing and a

time schedule. If the proposed community facility is to be provided by

an entity other than the applicant, the application must include an

agreement with the proper authority (owner or operator of the site) for

use of the proposed facility. The community facilities must be

operational within nine (9) months of the grant awards. In the case of

applications for programs to be implemented for the primary benefit of

residents in housing that is dispersed in a rural setting, the

applicant must provide evidence that participants will have access to

transportation to the community facility that is convenient. This

community facility requirement also shall not apply to reverse

community activities that provide transportation to jobs that are

distant from the dwellings of participants.

(7) Leveraging Other Resources (Matching Requirement). The budget,

the narrative described in paragraph (3) above, and commitments from

resources and services other than the grant for which the applicant is

applying to support the grant (including Comprehensive Grant, and other

grants or assistance from governmental units/agencies of any type and/

or private sources, whether for-profit or not-for-profit) must clearly

evidence that these resources are firmly committed, will support the

proposed grant activities and will, in combined amount (including in-

kind contributions of personnel, space and/or equipment) equal the ED/

SS grant amount proposed in this application. At least half of the

match amount must consist of a monetary contribution of funds rather

than in-kind or other types of contributions. Salaries paid for with

ED/SS funds do not qualify as funds from sources outside HUD. The

following are guidelines for valuing certain types of contributions:

(i) The value of volunteer time and services shall be computed at a

rate of five dollars per hour except that the value of volunteer time

and service involving professional and other special skills shall be

computed on the basis of the usual and customary hourly rate paid for

the service in the community where the ED/SS activity is located.

(ii) The value of any donated material, equipment, building, or

lease shall be computed based on the fair market value at time of

donation. Such value shall be documented by bills of sales, advertised

prices, appraisals, or other information for comparable property

similarly situated not more than one year old taken from the community

where the item or ED/SS activity is located, as appropriate.

(8) Compliance with Current Programs. The applicant must provide

certification in the format provided in the Application Kit that it is

not in default at the time of application submission with respect to

grants for the programs listed below:

(i) The Family Investment Center Program;

(ii) The Youth Development Initiative under the Family Investment

Center Program;

(iii) The Youth Apprenticeship Program;

(iv) The Apprenticeship Demonstration in the Construction Trades

Program;

(v) The Urban Youth Corps Program;

(vi) The HOPE 1 Program;

(vii) The Public Housing Service Coordinator Program;

(viii) The Public Housing Drug Elimination Program; and

(ix) The Youth Sports Program.

(x) In the case of an HA that is designated as ``troubled'' as a

result of its PHMAP score or ``High Risk'' IHAs, the HA must provide

certification that a Contract Administrator (or equivalent qualified

organization) will be deployed in the administration of this proposed

grant.

(9) Automated Capability. The application must provide

certification that the applicant will secure access to on-line

computer/INTERNET capability as a means of communication with HUD on

grant matters.

(10) Audit Findings and Equal Opportunity Requirements. An

applicant cannot have unresolved, outstanding Inspector General audit

findings or fair housing and equal opportunity monitoring and

compliance review findings or Field Office management review findings

relating to discriminatory housing practices. In addition, the

applicant must be in compliance with civil rights laws and equal

opportunity requirements. An applicant will be considered to be in

compliance if:

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

outstanding findings of noncompliance with civil rights laws or the

applicant is operating in compliance with a HUD-approved compliance

agreement designed to correct the area(s) of noncompliance.

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

civil action brought against it by a private individual, or the

applicant demonstrates that it is operating in compliance with a court

order, or implementing a HUD-approved tenant selection and assignment

plan or compliance agreement, designed to correct the area(s) of

noncompliance.

(iii) There is no deferral of Federal funding based upon civil

rights violations;

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

VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d-1) (Title VI), the

Attorney General's Guidelines (28 CFR 50.3) and HUD's Title VI

regulations (24 CFR 1.8) and procedures (HUD Handbook 8040.1) [PHAs

only] or under Section 504 of the Rehabilitation Act of 1973 (29 U.S.C.

794) (Section 504) and HUD's implementing regulations (24 CFR 8.57)

[PHAs and IHAs];

(v) There is no pending civil rights suit brought against the

applicant by the Department of Justice; and

(vi) There is no unresolved charge of discrimination against the

applicant issued by the Secretary under section 810(g) of the Fair

Housing Act (42 U.S.C. 3601-3619), as implemented at 24 CFR 103.400.

(11) PHMAP Score. An applicant cannot have a PHMAP score of less

than a C for either Indicator #6,component (1), Financial Management/

Cash Reserves, or Indicator #7, Resident Services and Community

Building, on its most recent PHMAP. If an applicant's most recent PHMAP

score is derived from the predecessor PHMAP regulation

[[Page 31281]]

(24 CFR Part 901, published December 30, 1996), the applicant cannot

have a PHMAP score of less than a C for either Indicator 9, Operating

Reserves, or Indicator 11, Resident Initiatives.

(h) Selection Factors. Each application for a grant award that is

submitted in a timely manner, as specified in the Application Kit, to

the local HUD field office or AONAP as applicable and that otherwise

meets the threshold and other requirements of this NOFA will be

evaluated competitively using a point scale.

The number of points that an application receives will depend on

how well it addresses the selection factors described below. An

application must receive a score of at least 75 points (or in the case

of Elderly and Disabled Supportive Service Category applications in the

ED/SS program--60 points) out of the maximum of 100 points that may be

awarded under this competition to be eligible for funding. Applications

for both Family Economic Development and Supportive Services and

Elderly and Disabled Supportive Services Grants will be scored on the

following factors.

(1) Quality of Planning for Self-sufficiency (for Family Economic

Development and Supportive Services Category applications) and

Independence for the Elderly and Persons with Disabilities (for Elderly

and Disabled Supportive Services Category applications). (Maximum

Points: 40) In assessing this factor, HUD will consider the following:

(i) Needs Assessment (Maximum Points: 10): HUD will award up to 10

points based on the quality and comprehensiveness of the needs

assessment document.

(A) In order to obtain maximum points for Family Economic

Development and Supportive Services Category applications, this

document must contain statistical data which provides:

(1) A thorough socioeconomic profile of the eligible residents in

relationship to HA-wide and national public and Indian housing data on

residents:

(a) Who are on TANF, SSI benefits, or other fixed income

arrangements;

(b) In job training, entrepreneurship, or community service

programs; and

(c) Who are employed.

(d) Specific information should be provided on training,

contracting and employment through the HA.

(5) An assessment of the current service delivery system as it

relates to the needs of the target population, including the number and

type of services, the location of services, and community facilities

currently in use.

(B) In order to obtain maximum points for Elderly and Disabled

Supportive Services Category applications, this document must contain

statistical data which provides:

(1) the numbers of elderly, disabled and Supplemental Security

Income recipient residents that are residing in the targeted

development(s).

(2) An assessment of the current service delivery system as it

relates to the needs of the target population, including the number and

type of services, the location of services, and community facilities

currently in use,

(3) A description of the goals, objectives, and program strategies

that will result in increased independence for proposed program

participants.

(ii) Viability and comprehensiveness of the strategies to address

the needs of residents (Maximum Points: 20): The score in this factor

will be based on the viability and comprehensiveness of strategies to

address the needs of residents. HUD will award up to 20 points based on

the following:

(A) Services (Maximum Points: 10): The score in this factor will be

based on the extent and comprehensiveness of the services that will be

provided.

(1) For Family Economic Development and Supportive Services

Category applications a high score is received if there is a

comprehensive description of how the applicant's plan provides services

that specifically address the successful transition from welfare to

work of non-elderly families. To receive a high score, the applicant

must commit to a whole family approach, whereby children and adult

members of the same household are provided with comprehensive services,

along with case management that tracks the provision of those services

: services would include counseling, job training/development/placement

(and/or business training/development/start-up), child care and

transportation.

(2) For Elderly and Disabled Supportive Services Category

applications, a high score is received if the applicant includes case

management, health and personal care, congregate services and

transportation. To obtain maximum points the services must be located

in a community facility and be available on a 12 hour basis or as

needed by the eligible residents.

(B) Resident Contracting and Employment (Maximum Points: 5): The

score in this factor will be based on the extent to which residents

will achieve self-sufficiency through the applicant contracting with

resident owned businesses and through resident employment. A high score

will be awarded where there is documentation (letter or resolution)

describing the HA's commitment to hire a substantial number of

residents or contract with a substantial number of resident owned

businesses and a narrative describing the reasonable number of jobs or

contracts, as well as the training processes related to the

comprehensive plan. Elderly and Disabled Supportive Services Category

applications will not be scored on this criterion.

(C) Rent Reform and Occupancy Incentives (Maximum Points: 5): The

score in this factor will be based on the degree to which the applicant

has implemented, proposes to implement or collaborates with a public

welfare department to implement incentives designed to promote resident

self-sufficiency including but not limited to: ceiling rents, rent

exclusions, rent escrows, occupancy preferences for applicants who work

or who are in a self-sufficiency program, stipends, or income

disregards. A high score is received if the applicant can show how the

incentives complement other aspects of the applicant's implementation

plan. Elderly and Disabled Supportive Services Category applications

will not be scored on this criterion.

(iii) Budget appropriateness/efficient use of grant (Maximum

Points: 5): Up to 5 points based on the extent to which the proposed

ED/SS program will result in a lower total ED/SS program cost per

dwelling unit to be served in the program in comparison to other

applications under ED/SS. For the purposes of this selection factor,

applicants may only count dwelling units currently under an annual

contributions contract at the time of application submission. The

procedure for determining the score is outlined below.

(A) HUD will combine all of the per-unit amounts, rounded to the

nearest whole dollar, into a single nationwide list in order from the

lowest cost per unit to the highest cost per unit. HUD will take the

total number of grant applications that have met the prerequisites to

be scored and divide them by the score for this factor (i.e. 5) to

establish a scoring increment.

(B) HUD will start at the lowest per-unit amount and count one

scoring increment into the list (i.e. 1/5th of the way into the list).

The per-unit amount at that location will constitute a breakpoint. HUD

will count the next scoring increment into the list and establish

another breakpoint. The process will be repeated to establish 5

segments of per-unit costs. In the event that multiple applications

share the same per-unit cost at a breakpoint, the

[[Page 31282]]

breakpoint will be adjusted by $1 higher or lower than that of the

initial breakpoint to achieve as close as possible a 1/5th segment.

(C) Once all of the breakpoints have been established as outlined,

HUD will enter the score. All applications with a cost per unit below

that of the first breakpoint will receive a score of 5; those with a

cost per unit above the first breakpoint but lower than the second

breakpoint will receive a score of 4; etc.

(iv) Reasonableness of the Timetable (Maximum Points: 5): The score

in this factor will be based on the speed at which the applicant can

realistically accomplish the goals of the proposed ED/SS program. To

receive a high score, the applicant must demonstrate that it will make

substantial progress within the first six months after grant execution

including putting staff in place, finalizing partnership arrangements,

completing the development of requests for proposals and achieving

other milestones that are prerequisites for implementation of the

program. In addition the applicant must demonstrate that the proposed

timetable for all components of the proposed program is reasonable

considering the size of the grant and its activities and that it can

accomplish its objectives within the first 30 months of the grant term.

(2) Applicant Capability/Organizational Structure for Administering

Grant Activities (Maximum Points: 30): In assessing this factor, HUD

will consider the following:

(i) Proposed program staffing (Maximum Points: 5): The score in

this factor will be based on the extent to which the applicant's

proposed staffing in support of the program is suited to accomplishing

the program's objectives in terms of the appropriateness of staff

skills, assignments and levels. In order to receive a high score an

applicant must provide a comprehensive description of who will provide

the services and how the services identified will be delivered. This

should include an organizational chart, proposed staff/other resources/

consultants proposed, and a discussion of coordination among various

services providers.

(ii) Program Administration (Maximum Points: 5): The score in this

factor will be based on the soundness of the proposed management of the

proposed ED/SS program. In order to receive a high score an applicant

must provide a comprehensive description of the project management

structure, including the use of a contract administrator, if

applicable. The narrative must provide a description of how any co-

applicants, subgrantees and other partner agencies relate to the

program administrator as well as the lines of authority and

accountability among all components of the proposed program.

(iii) Fiscal Management (Maximum Points: 5): The score in this

factor will be based on the soundness of the applicant's proposed

fiscal management. In order to receive a high score an applicant must

provide a comprehensive description of the fiscal management structure,

including but not limited to budgeting, fiscal controls and accounting.

The application must describe the staff responsible for fiscal

management, and the processes and timetable for implementation during

the proposed grant period.

(iv) Program Evaluation (Maximum Points: 5): The score in this

factor will be based on the soundness of the applicant's plan to

evaluate the success of its proposed ED/SS program both at the

completion of the program and during program implementation. In order

to receive a high score the application must contain a comprehensive

description of the program evaluation system (including staff

designated for the program quality controls), performance measures

(including use of automated systems for collecting the program data),

and the timetable for undertaking this activity. The NOFA Application

Kit will contain guidance on the preparation of performance measures.

The performance measures must be related to the goals and objectives of

the proposed program and could include but not be limited to the

following based on the grant category for which the applicant is

applying:

(A) The number of residents starting jobs or entrepreneurship

training programs;

(B) The number of residents successfully completing job training or

starting businesses;

(C) The number of residents receiving supportive services

(specified by type of service);

(D) The number of community facilities used for welfare to work and

other self-sufficiency/independence efforts; and

(E) The number of community partnerships executed in support of

self-sufficiency for residents.

(v) Applicant/Administrator Track Record (Maximum Points: 10): The

score in this factor will be based on the applicant's or if a Contract

Administrator is proposed the Administrator's prior performance in

successfully carrying out grant programs designed to assist residents

in increasing their self-sufficiency, security or independence. In

order to receive a high score the applicant must demonstrate its (or

the proposed Administrator's) program compliance and successful

implementation of any of resident self-sufficiency, security or

independence oriented grants (including those listed below) awarded to

the applicant or overseen by the Administrator. Applicants or

Administrators with no prior experience in operating programs that

foster resident self-sufficiency, security or independence will receive

a score of 0 on this factor. The applicant's past experience may

include but is not limited to administering the following grants:

(A) The Family Investment Center Program;

(B) The Youth Development Initiative under the Family Investment

Center Program;

(C) The Youth Apprenticeship Program;

(D) The Apprenticeship Demonstration in the Construction Trades

Program;

(E) The Urban Youth Corps Program;

(F) The HOPE 1 Program;

(G) The Public Housing Service Coordinator Program;

(H) The Public Housing Drug Elimination Program; and

(I) The Youth Sports Program.

(3) Resident and Other Partnerships (Maximum Points: 30).

In assessing this factor, HUD will consider the following:

(i) Applicant Partnership with Residents (Maximum Points: 15): The

score in this factor will be based on the following:

(A) Overall Relationship/TOP Coordination (Maximum Points: 5): For

Family Economic Development and Supportive Services Category

applications, the score in this factor will be based on the extent of

coordination between the applicant's proposed ED/SS program and any/all

existing or proposed TOP programs sponsored by RAs within the

applicant's jurisdiction. In order to receive a high score the

application must contain a Memorandum(s) of Understanding (MOU) that

describes collaboration between HA staff and residents on all of the

specific components related to the implementation plans of both the

proposed or current TOP and ED/SS Programs. If there are no existing

and no proposed TOP grants within the jurisdiction of the applicant,

the score for this factor will be 0. Elderly and Disabled Supportive

Services Category applications will not be scored on this criterion. In

addition, if all of the resident groups eligible to apply for

[[Page 31283]]

TOP within the applicant's jurisdiction have already received TOP

grants and will have completed their activities, the applicant will not

be scored on this criterion.

(B) Resident Involvement in ED/SS Activities (Maximum Points: 10):

The score in this factor will be based on the extent of resident

involvement in developing the proposed ED/SS program as well as the

extent of proposed resident involvement in implementing the proposed

ED/SS program. In order to receive a high score on this factor the

applicant must provide documentation that describes the involvement of

residents in the planning phase for this program, and a commitment to

provide continued involvement in grant implementation. In order to

receive maximum points a memorandum of understanding or other written

agreement between the applicant and the appropriate Resident

Associations must be included.

(ii) Other Partnerships (Maximum Points: 15): The score in this

factor will be based on the successful integration of partners into

implementation of the proposed ED/SS program. In order to receive a

high score an applicant must provide a signed Memorandum of

Understanding (MOU) (or other equivalent signed documentation provided

that it delineates the roles and responsibilities of each of the

parties and the benefits they will receive) that delineates specific

partnerships related to the components in the comprehensive plan. In

assessing this factor HUD will examine a number of aspects of the

proposed partnership including:

(1) The appropriateness of the level of expertise of the partners

related to activities proposed in the application;

(2) The soundness of the division of responsibilities/management

structure of the proposed partnership relative to the expertise and

resources of the partners;

(3) The extent of commitment of the partners (time, resources,

funds, etc.); and

(4) The extent to which the partnership as a whole addresses a

broader level of unmet resident needs: the extent to which the addition

of the partners provides the ability to meet needs more cost

effectively or efficiently than the applicant or its partners could

achieve individually without forming the partnership.

(5) If located in, or serving the population of a federally

designated Empowerment Zone or Enterprise community, the extent to

which the program has been coordinated with the Empowerment Zone or

Enterprise Community Strategic Plan.

(4) Bonus Points (Maximum Points: 10): Selection as a Job Plus

Demonstration Site--The applicant will receive 10 bonus points if it

has been selected as a participant in the Department's Jobs Plus

demonstration program.

(i) Ranking Procedures: HUD will divide the applicants that have

complied with the threshold requirements and possess a score greater

than or equal to the minimum score listed in Section V(a)(2) of this

announcement into two lists: one list for PHA applicants and one list

for IHA applicants. The applicants on these two lists will further be

ranked in two lists based upon the category of grant requested.

Headquarters shall fund the applications on each of the four lists in

rank order pursuant to the procedure outlined in Section V(a)(2) of

this announcement utilizing the funding allocated to PHAs and IHAs

respectively and to each category of grant (Family Economic Development

and Supportive Services category and Elderly and Disabled Supportive

Services category) in Section VI(a)(2) of this announcement. If there

are insufficient applications to exhaust the funding for a category,

the remaining funds will be reallocated to the other category within

the separate PHA or IHA allocation. After any such reallocation, if

there are insufficient applications to exhaust the funding for the PHA

or the IHA allocation, the remaining funds will be reallocated to the

other type of applicant (PHA or IHA) list. If such a reallocation

occurs, the reallocated amount is subject to the category allocations

until there are insufficient applications to exhaust the funding in

which case the funds can be reallocated to the other category.

(j) General Program Requirements. (1) Persons participating in an

Elderly or Disabled Supportive Services category grant program shall

not be required to provide more information than is necessary to

participate in the specific services that are requested. Any and all

information provided to a service coordinator or service provider must

be kept confidential. Housing Authority staff are prohibited from

examining participant medical records or requesting/obtaining

information on the extent or nature of a participant's disability. This

provision shall not prohibit grantees, service coordinators and service

providers from collecting information reasonably necessary to maintain

complete records of and report on program activities including: the

demographic characteristics of people served, the kinds of services

provided and the results/outcomes of services provided.

(2) Grantees are required to attend HUD sponsored training

specifically designated for grantees under this program. The Department

intends to offer a three to four day training session within six months

of awarding grants.

VII. Tenant Opportunity Program (TOP) NOFA

(a) Purpose and Description. (1) Authority. TOP is authorized under

section 20 of the 1937 Act. Section 20(a) states that ``[t]he purpose

of this section [section 20] is to encourage increased resident

management of public housing projects * * * [and the provision of

funding] * * * to promote formation and development of resident

management entities.'' Further, section 20(f)(1) of the 1937 Act

provides that:

[T]he Secretary shall provide financial assistance to resident

management corporations or resident councils that obtain, by

contract or otherwise, technical assistance for the development of

resident management entities, including the formation of such

entities, the development of the management capability of newly

formed or existing entities, the identification of the social

support needs of residents of public housing projects, and the

securing of such support.

Section 20(f)(2) designates that financial assistance may not

exceed $100,000 with respect to any public or Indian housing project.

HUD has implemented section 20 at 24 CFR part 950, subpart O (for

Indian housing), and part 964 (for public housing).

(2) Funding Available. This NOFA makes $12,975,000 available for

awards to public housing Resident Associations, $2 million for awards

to Resident Organizations and Native American Resident Management

Corporations and $5 million for awards to intermediary Resident

Organizations to provide technical assistance and training activities

under the TOP program. (3) Program Description. (i) The TOP program

helps meet the need in many communities for economic development and

supportive services. The program enables resident entities to establish

priorities, based on the efforts in their public and Indian housing

communities, that are aimed at furthering economic lift and

independence.

(ii) Technical assistance grants are provided by the Secretary to

resident grantees and NROs/RROs/SROs (referred to as Intermediary

Resident Organizations) to assist residents to improve their

educational, professional, and economic levels, by obtaining skills

which will make them more employable in the local community. TOP

technical

[[Page 31284]]

assistance grants are available for the development of resident

management entities, including the formation of such entities, the

development of the management capability of newly formed or existing

entities, the identification of the social support needs of residents

of public and Indian housing projects and the securing of such support.

(b) Eligible applicants. (1) Basic and Additional Grants. Funding

for Basic and Additional Grants under this program is limited to the

following Resident Associations (RAs) with duly elected boards:

Resident Councils (RCs), Resident Management Corporations (RMCs),

Resident Organizations (ROs), and Native American Resident Management

Corporations. This year, the following restrictions have been placed on

applicant eligibility which differ from previous years:

(i) HUD no longer allows for the submission of city-wide/

jurisdiction-wide or multiple RA applications except for Jurisdiction-

Wide Resident Organizations. Subject to the previous exception for

Jurisdiction-Wide Resident Organizations only applications which

represent a single development may apply. Joint applications of any

sort will not be considered for grant awards.

(ii) HUD no longer allows for the formation of Partnership Paradigm

Technical Assistance (PPTA) organizations or Technical Assistance

Organizations (TAOs). Therefore, no PPTA or TAO applications will be

considered for grant awards.

(iii) Applicants must be registered as non-profit corporations with

501(c) status or have applied for such status.

(2) Intermediary Grants. Funding for Intermediary Grants under this

program is limited to the following Intermediary Resident Organizations

which must be registered as non-profit corporations with 501(c) status:

Jurisdiction-Wide Resident Organizations, Statewide Resident

Organizations (SROs), Regional Resident Organizations (RROs) and

National Resident Organizations (NROs).

(c) Eligible Participants. Residents of conventional public or

Indian housing are eligible to participate in and/or receive the

benefits of TOP grant activities.

(d) Eligible Grant Amounts. (1) Basic Grants. Eligible Applicant

RAs that have not previously received direct TOP funding or assistance

from an Intermediary Resident Organization can receive up to $100,000

in grant funds. The $100,000 maximum grant amount of Eligible

Applicants that have received assistance from an Intermediary Resident

Organizations must be reduced by the value of the assistance that they

received from the Intermediary Resident Organization. Intermediary

Resident Organizations that provide assistance to RAs must provide the

value of the assistance to the RA upon request.

(2) Additional Grants. Any eligible RA selected for a Resident

Management (RM) or a TOP grant in FYs 1988-1995 (including a mini grant

for start-up activities) that received less than a total of $100,000

may apply for an Additional Grant, provided that total cumulative RM/

TOP funding for a project site, including Citywide or Intermediary

Grant funds benefiting the project, does not exceed (including previous

grants) the total statutory maximum of $100,000.

(3) Housing Authority Jurisdiction Maximum. The amount of funding

available for all applicants that are not Intermediary Resident

Organizations, Resident Organizations or Native American Resident

Management Organizations and that are located within the jurisdiction

of a single housing authority is limited to the following amounts based

on the size of the housing authority.

For Housing Authorities with one to 780 units the maximum funding

amount is $700,000.

For Housing Authorities with 781 to 7,300 units the maximum funding

amount is $1,400,000.

For Housing Authorities with more than 7,301 units the maximum

funding amount is $2,100,000.

(4) Intermediary Grants. Eligible Intermediary Resident

Organizations may apply for up to $250,000 except for Jurisdiction-Wide

Resident Organizations that may only apply for up to $100,000.

Intermediary Resident Organizations must list in their application the

name of the RAs that will receive training or technical assistance, and

submit letters of support from each entity identified in the

application. The intermediary cannot list RAs that have already

received RM/TOP grants totaling $100,000 and cannot propose to provide

assistance to a given project that would result in the project

exceeding its statutory maximum for RM/TOP funding.

(5) Grant Limits. (i) For all years combined, a public or Indian

housing development (a ``project'') may receive a maximum of $100,000

in TOP funds and/or TOP funded assistance by Intermediary Resident

Organizations.

(ii) If an applicant was awarded a TOP grant jointly with other RAs

in a previous year, HUD will prorate the total grant awarded, and the

applicants can apply for the remaining balances not to exceed the

maximum of $100,000 per public or Indian housing project.

(e) Eligible and Ineligible Activities. (1) Eligible Activities.

Activities for which funding under this NOFA may be provided to an

eligible RA or Intermediary include any combination of, but are not

limited to, the following:

(i) Social Support Needs (such as Self-Sufficiency and Youth

Initiatives) including:

(A) Feasibility studies to determine training and social services

needs;

(B) Training in management-related trade skills, computer skills,

etc.;

(C) Management-related employment training and counseling including

job search assistance, job development assistance, job placement

assistance and follow up assistance;

(D) Coordination of support services including:

(1) child care services,

(2) educational services including remedial education, literacy

training, assistance in attaining a GED,

(3) vocational training including computer training,

(4) health care outreach and referral services,

(5) meal services for the elderly or persons with disabilities,

(6) personal assistance to maintain hygiene/appearance for the

elderly or persons with disabilities,

(7) housekeeping assistance for the elderly or persons with

disabilities,

(8) transportation services,

(9) congregate services for the elderly or persons with

disabilities, and

(10) case management;

(E) Training for programs such as child care, early childhood

development, parent involvement, volunteer services, parenting skills,

before and after school programs;

(F) Training programs on health, nutrition, safety and substance

abuse;

(G) Workshops for youth services including: child abuse and neglect

prevention, tutorial services, youth leadership skills, youth

mentoring, peer pressure reversal, life skills, and goal planning. The

workshops could be held in partnership with community-based

organizations such as local Boys and Girls Clubs, YMCA/YWCA, Boy/Girl

Scouts, Campfire and Big Brother/Big Sisters, etc.

(H) Training in the development of strategies to successfully

implement a youth program. For example, assessing the needs and

problems of the youth, improving youth initiatives that are currently

active, and training youth, housing authority staff, resident

management corporations and resident councils on youth initiatives and

program activities; and

[[Page 31285]]

(ii) Resident Management Business Development including:

(A) Training related to resident-owned business development and

technical assistance for job training and placement in RMC

developments;

(B) Technical assistance and training in resident managed business

development through:

(1) Feasibility and market studies;

(2) Development of business plans;

(3) Outreach activities; and

(4) Innovative financing methods including revolving loan funds and

the development of credit unions; and

(C) Legal advice in establishing a resident managed business

entity.

(iii) Resident Management:

(A) Training residents, as potential employees of an RMC, in skills

directly related to the operation, management, maintenance and

financial systems of a project;

(B) Training residents with respect to fair housing requirements;

and

(C) Gaining assistance in negotiating management contracts, and

designing a long-range planning system.

(iv) Homeownership Opportunity. Determining feasibility for

homeownership by residents, including assessing the feasibility of

other housing (including HUD owned or held single or multifamily)

affordable for purchase by residents.

(v) Resident Capacity Building:

(A) Training Board members in community organizing, Board

development, and leadership training;

(B) Determining the feasibility of resident management enablement

for a specific project or projects; and

(C) Assisting in the actual creation of an RMC, such as consulting

and legal assistance to incorporate, preparing by-laws and drafting a

corporate charter.

(vi) General:

(A) Required training on HUD regulations and policies governing the

operation of low-income public housing including contracting/

procurement regulations, financial management, capacity building to

develop the necessary skills to assume management responsibilities at

the project and property management;

(B) Purchasing hardware, i.e. computers and software, office

furnishings and supplies, in connection with business development.

Every effort must be made to acquire donated or discounted hardware;

(C) Training in accessing other funding sources; and

(D) Hiring trainers or other experts. By law, resident grantees

must ensure that all training is provided by a qualified public or

Indian housing management specialist (Consultant/Trainer), HUD

Headquarters or Field/Area ONAP staff or the local HA. To ensure the

successful implementation of the TOP Work Plan activities, the RAs are

required to determine the need to contract for outside consulting/

training services. The RA and the HA must jointly select and approve

the consultant/trainer. Each RA should make maximum use of its HA,

nonprofits, or other Federal, State, local or Tribal government

resources for technical assistance and training needs. The amount

allowed for hiring an individual consultant for this purpose shall not

exceed 30 percent of the total grant award or $30,000, whichever is

less. The amount available for all individual consultants (not

including training firms) and contracts shall not exceed 50% of the

grant or $50,000 whichever is less. HUD Field Offices or AONAPs will

monitor this process to ensure compliance with program and OMB

requirements.

(E) Rental or lease of a car, van, or bus by resident grantees to

attend training;

(F) Stipends, as provided in this paragraph. Trainees and TOP

program participants of a RA may only receive stipends for

participating in or receiving training under the TOP to cover the

reasonable costs related to participation in training and other

activities in the TOP program, subject to the availability of funds.

The stipends should be used for additional costs incurred during the

training programs, such as child care and transportation costs. The

cost of stipends may not exceed $200 per month per trainee without

written HUD authorization.

(G) Reimbursement of reasonable expenses incurred by Officers and

Board members in the performance of their fiduciary duties and/or

training related to the performance of their official duties.

(H) Travel directly related to the successful completion of the

required TOP Work Plan. All grantees must adhere to the travel policy

established by HUD. The policy sets travel costs at a maximum amount of

$5,000 per RA (not applicable to intermediaries) without special HUD

approval.

(I) Child care expenses for individual staff and board members, in

cases where staff or board members who need child care are involved in

training-related activities associated with grant activities including

welfare-to-work and economic development and other self-sufficiency

initiatives.

(vii) Administrative costs necessary for the implementation of

grant activities. Administrative costs are not to exceed 25% of the

grant unless the grantee is unable to obtain the services of a Contract

Administrator without cost in which case administrative costs are not

to exceed 30% of the grant. (Costs associated with the functions of a

Contract Administrator are considered Administrative costs subject to

the cost limitations of this paragraph.) Appropriate administrative

costs include, but are not limited to, the following items or

activities:

(A) Telephone, computer, printing, copying, and sundry non-dwelling

equipment (such as office supplies, software, and furniture). A grantee

must justify the need for this equipment in relationship to

implementing its approved grant activities.

(B) Grant contract and financial management, audit. If a grantee is

unable to obtain the services of a Contract Administrator or accountant

without charge, the cost for a Contract Administrator or accountant is

eligible. The cost for an independent audit should be budgeted

separately from this item.

(viii) Technical assistance regarding any other service and/or

resource, including case management that is proposed by applicants and

approved by HUD.

(2) For Intermediary Grants only. (i) The purpose of this grant is

to provide training, technical assistance and coordinate linkages to

appropriate supportive services for public and Indian housing residents

who have not been awarded RM/TOP funds or have received awards less

than $100,000.

(ii) All Intermediaries must be knowledgeable and adhere to all

policies that relate to the RA.

(3) Ineligible Activities. Ineligible items or activities include,

but are not limited to, the following:

(i) Entertainment, including associated costs such as food and

beverages, except normal per diem for meals related to travel performed

in connection with implementing the TOP Work Plan. (See TOP Travel

Notice for more specific guidance.)

(ii) Purchase or rental of land or buildings (including the

community facility) or any improvements to land or buildings.

(iii) Activities not directly related to the welfare-to-work

initiatives (e.g., lead-based paint testing and abatement and operating

capital for economic development activities).

(iv) Purchase of any vehicle (car, van, bus, etc.) or any other

property, other than as described under section VII(e)(1) (Eligible

Activities) of this NOFA, unless approved by HUD Headquarters or the

local HUD Field Office or AONAPs.

(v) Architectural and engineering fees.

[[Page 31286]]

(vi) Payment of salaries for routine project operations, such as

security and maintenance, or for RA staff, except that a reasonable

amount of grant funds may be used to hire a person to coordinate the

TOP grant activities or coordinate on-site social services.

(vii) Payment of fees for lobbying services.

(viii) Any expenditures that are fraudulent, wasteful or otherwise

incurred contrary to HUD or OMB directives.

(ix) Any cost otherwise eligible under this NOFA for which funds

are being provided from any other source.

(x) Legal fees and/or expenses of any sort except for expenses

directly related to establishing an RA as a 501(c) non-profit

corporation or legal advice directly related to establishing resident

management or business entities.

(xi) Entertainment equipment such as televisions, radios, stereos,

and VCRs. A waiver of this item may be granted by the HUD Field Office

or AONAP if funding is being utilized specifically and explicitly for

the purposes of establishing a business directly related to radio,

television or film or some other form of technical communication, and

equipment is being utilized for training of residents or RAs. All such

waivers must be authorized in writing by the HUD Field Office or AONAP

before purchases may be made.

(4) For Intermediaries Only. In addition to the other ineligible

activities listed in this NOFA, intermediaries cannot provide training

and technical assistance to RAs that have received TOP funds of

$100,000 or that would result in exceeding the statutory ceiling by

providing more than $100,000 of training or technical assistance to a

given project site.

(f) Term of Grant. All funds must be expended within 36 months

after effective date of grant agreement. Grant implementation progress

must be evident and documented within the first six months of grant

award. Grantees must have completed all but grant closeout activities

within 30 months after the effective date of the grant agreement. Grant

terms may not be extended without substantial good cause (circumstances

reasonably unforeseen and reasonably beyond the grantee's control) and

subject to HUD approval. All extensions or waivers to this time frame

must be authorized by the HUD Field Office or AONAP in writing. Funds

not utilized during this time frame are subject to cancellation and

recapture.

(g) Program Requirements--Threshold Criteria. The following

threshold requirements are considered essential for an application to

be complete and acceptable for rating and ranking:

(1) General Submission Requirements. (i) A complete application as

prescribed in the Application Kit must be submitted to the appropriate

field office by the deadline as specified in this NOFA.

(ii) Needs Assessment Report. A Needs Assessment Report dealing

with the proposed recipient population that contains, at minimum,

sections containing statistical or survey information on the needs of

the recipient population and an identification of resources to meet the

needs.

(iii) Two Year Workplan. A Two Year Work Plan Linked to a Resident

Self-Sufficiency or Independent Living Strategy: These plans must, at

minimum, include the following:

(A) Sections discussing TOP specific program goals, objectives,

strategies, performance measures, staffing, timetable, and budget. The

timetable must show that the plan can be implemented within 24 months.

(B) Sections describing how activities and performance standards

are targeted to meet needs which are identified in the needs

assessment, and advance a resident self-sufficiency and/or independent

living strategy, as appropriate for resident composition.

(C) Evidence that the proposed TOP program has been coordinated

with and supports the housing authority's efforts to increase resident

self-sufficiency and is coordinated and consistent with the State or

Tribal Welfare Plan.

(2) Focus on Residents Affected by Welfare Reform. The application

must contain written evidence provided by the HA to the RA that at

least 75% or more of the public or Indian housing residents to be

included in the proposed program are affected by the welfare reform

legislation, including TANF recipients, legal immigrants, and disabled

SSI recipients.

(3) Partnership between the Resident Association and the Housing

Authority. (i) The application must contain a signed MOU between the RA

and the HA which describes the specific roles, responsibilities and

activities to be undertaken between the two entities.

(ii) The MOU, at a minimum, must identity the principal parties

(i.e. the name of the HA and RA), the terms of the agreement

(expectations or terms for each party), and an indication that the

agreement pertains to the support of the RA TOP grant application. This

document is the basis for foundation of the relationship between the RA

and HA. It must be precise and outline the specific duties and

objectives to be accomplished under the grant. All MOUs must be

finalized, dated and signed by duly authorized officials of both the RA

and HA upon submission of the application. A sample MOU will be

provided in the Application Kit.

(iii) This threshold requirement is not applicable to Intermediary

Resident Organization applicants.

(4) Accessible Community Facility. The applicant must provide

evidence (e.g., through an executed use agreement and/or in the MOU

with the HA) that a preponderance of the proposed activities will be

administered at community facilities in or within easy access of the

property represented by the RA within nine months of the grant award.

If units have to be converted from dwelling use into a community

facility or the facility is to be constructed, the applicant must

submit a plan for the conversion or construction that provides for

adequate resourcing and a time schedule. If the proposed community

facility is to be provided by an entity other than the applicant, the

application must include an agreement with the proper authority (owner

or operator of the site) for use of the proposed facility. These

facilities and these programs must be accessible to persons with

disabilities. The center must also offer other types of services such

as education, employment readiness/placement, child care, health and

other appropriate social services to prepare and support the

participating residents' efforts. In the case of applications for

programs to be implemented for the primary benefit of residents in

housing that is dispersed in a rural setting, the applicant must

provide evidence that participants will have access to transportation

to the community facility that is convenient. This community facility

requirement also shall not apply to reverse community activities that

provide transportation to jobs that are distant from the dwellings of

participants.

(5) Contract Administrator. Unless HUD or an Independent Public

Accountant has determined that the applicant's financial management

system and procurement procedures comply with 24 CFR part 84, the

application must contain evidence that the RA will use the services of

a Contract Administrator in administering the grant. Troubled HAs are

not eligible to be Contract Administrators. In the event that an

applicant is unable to obtain the services of a Contract Administrator

without having to pay for the services the Contract Administrator would

provide, the applicant may enter into an agreement with a capable

entity (e.g., subrecipient) to serve the function

[[Page 31287]]

of a Contract Administrator. If an applicant selects such an option,

the applicant would either have to follow the competitive procurement

procedures established in 24 CFR part 84 or alternatively select a

proposed Contract Administrator subject to the following terms and

conditions without being subject to the competitive procurement

requirements of 24 CFR part 84. First the applicant must enter into a

written agreement with the proposed Contract Administrator that would

not obligate the applicant to pay the proposed Contract Administrator

any compensation for expenses incurred in advance of the applicant

entering into a grant agreement with HUD. In cases where the Contract

Administrator is the HA, the contract administration responsibilities

can be incorporated into the MOU discussed in paragraph (g)(3) above.

This requirement does not apply to Intermediary Resident Organization

applicants.

(6) Applicant Non-Profit Status and Democratic Board Elections. The

applicant must provide:

(i) Evidence that the applicant is registered as a nonprofit

corporation with 501(c) or (for RAs other than Intermediary Resident

Organizations) has applied for 501(c) status; and

(ii) For RAs other than Intermediary Resident Organizations.

Certification of the RA board election as required by HUD, notarized by

the local HA and/or an independent third-party monitor.

(7) Compliance with Current Programs. The applicant must provide

certification on the format provided in the Application Kit that it is

not in default at the time of application submission with respect to

any previous HUD funded grant programs the applicant has received.

(8) Automated Capability. The application must provide

certification that the applicant will secure access to on-line

computer/INTERNET capability as a means of communication with HUD on

grant matters.

(9) Audit Findings and Equal Opportunity Requirements. An applicant

cannot have unresolved, outstanding Inspector General audit findings,

or fair housing and equal opportunity monitoring review findings or

Field Office management review findings relating to discriminatory

housing practices. In addition, the applicant must be in compliance

with civil rights laws and equal opportunity requirements. An applicant

will be considered to be in compliance if:

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

outstanding findings of noncompliance with civil rights laws or the

applicant is operating in compliance with a HUD-approved compliance

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

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

civil action brought against it by a private individual, or the

applicant demonstrates that it is operating in compliance with a court

order, or implementing a HUD-approved tenant selection and assignment

plan or compliance agreement, designed to correct the area(s) of

noncompliance;

(iii) There is no deferral of Federal funding based upon civil

rights violations;

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

VI, the Attorney General's Guidelines (28 CFR 50.3) and HUD's Title VI

regulations (24 CFR 1.8) and procedures (HUD Handbook 8040.1) [PHAs

only] or under Section 504 and HUD's implementing regulations (24 CFR

8.57) [PHAs and IHAs];

(v) There is no pending civil rights suit brought against the

applicant by the Department of Justice; and

(vi) There is no unresolved charge of discrimination against the

applicant issued by the Secretary under section 810(g) of the Fair

Housing Act, as implemented by 24 CFR 103.400.

(10) Applicants which are Intermediary Resident Organizations must

list in the application the name of the RAs that will receive training,

technical assistance and/or coordinated supportive services and must

provide letters of support from each entity identified in the

application. The intermediary can not list RAs that have been

previously awarded Resident Management and/or TOP funds at the maximum

limit of $100,000.

(h) Selection Factors. Each application for a grant award that is

submitted in a timely manner, as specified in the Application Kit, to

the local HUD field office or AONAP as applicable and that otherwise

meets the threshold and other requirements of this NOFA will be

evaluated competitively using a point scale.

The number of points that an application receives will depend on

how well it addresses the selection factors described below. An

application must receive a score of at least 75 points out of the

maximum of 100 points that may be awarded under this competition to be

eligible for funding. Unless specifically noted below, Intermediary

Resident Organization applicants will be scored based on the same

factors as those generally applicable to the TOP program.

Applications for the Tenant Opportunities Program activities will

be scored on the following factors:

(1) Quality of the TOP Implementation Plan (Maximum Points: 40).

In assessing this factor, HUD will consider the following:

(i) Needs Assessment (Maximum Points: 10): HUD will award up to 5

points based on the quality and comprehensiveness of the needs

assessment document. Intermediary Resident Organizations will receive

points under this Needs Assessment factor (as outlined below) based on

the assessment of needs and resources for each of the project sites the

Intermediary Resident Organization proposes to assist as well as the

goals, objectives and strategies for those sites. In order to obtain

maximum points, this document must contain statistical data and other

information which provides:

(A) A thorough socioeconomic profile of the eligible residents in

relationship to PHA-wide and national public and Indian housing data on

residents:

(1) Who are on TANF, SSI, or other fixed income arrangements;

(2) In job training, entrepreneurship, or community service

programs;

(3) Who are employed.

(4) Specific information should be provided on training,

contracting and employment through the HA.

(B) An assessment of the current service delivery system as it

relates to the needs of the target population, including the number and

type of services, the location of services, and community facilities

currently in use;

(ii) Viability and comprehensiveness of the strategies to address

the needs of residents (Maximum Points: 15): (A) The score in this

factor will be based on the extent and comprehensiveness of the

training and related services that will be provided as well as the

extent that the proposed training and related services will contribute

to providing for unmet resident needs identified in the required Needs

Assessment Report.

(B) To receive a high score applicants must provide a comprehensive

description of how the proposed plan provides training and related

services that specifically address the successful transition from

welfare to work of non-elderly families and the achievement of

independence of elderly families and persons with disabilities. To

obtain maximum points the training and related services must be located

in the community facility and be available as needed by the eligible

residents.

(C) Intermediary Resident Organizations will receive points under

this Viability and Comprehensiveness factor (as outlined above) based

on the training and related services for each of the project sites the

Intermediary

[[Page 31288]]

Resident Organization proposes to assist.

(iii) Proposed program staffing (Maximum Points: 5): The score in

this factor will be based on the extent to which the applicant's

proposed staffing in support of the program is suited to accomplishing

the program's objectives in terms of the appropriateness of staff

skills, assignments and levels. In order to receive a high score an

applicant must provide a comprehensive description of who will provide

the training and related services and how the training and related

services identified will be delivered. This should include an

organizational chart, proposed staff/other resources/consultants

proposed, and a discussion of coordination among various services

providers.

(iv) Budget appropriateness/efficient use of grant funds (Maximum

Points: 5): The score in this factor will be based on the following:

(A) Detailed Budget Break-Out: The extent to which the application

includes a detailed budget break-out for each budget category in the

SF-424A.

(B) Reasonable administrative costs: The extent to which the

application includes reasonable administrative costs within the

administrative cost ceiling.

(C) Budget Efficiency: The extent to which the application requests

funds commensurate with the level of effort necessary to accomplish the

goals and objectives and the estimated costs to the government are

reasonable in relationship to the anticipated results.

(v) Reasonableness of the timetable (Maximum Points: 5): The score

in this factor will be based on the speed at which the applicant can

realistically accomplish the goals of the proposed TOP program. To

receive a high score, the applicant must demonstrate that the proposed

timetable for all components of the proposed program is reasonable

(i.e. a given task is allotted the amount of time it would normally

take to accomplish such a task) and that the applicant can accomplish

the proposed implementation plan objectives within the 24 month time

limit. The applicant must also demonstrate that a substantial portion

of their proposed program will be implemented within 6 months of

receiving grant funds.

(2) Adequacy of Managerial/Fiscal Structure for Administering and

Coordinating the Services to Meet the Needs (Maximum Points: 30).

In assessing this factor, HUD will consider the following:

(i) Program Administration (Maximum Points: 5): The score in this

factor will be based on the soundness of the proposed management of the

proposed TOP program. In order to receive a high score an applicant

must provide a clear description of the project management structure,

including the use of a contract administrator if applicable. The

narrative must provide a description of how any partner organizations

relate to the program administrator as well as the lines of authority

and accountability among all components of the proposed program.

(ii) Fiscal Management (Maximum Points: 5): The score in this

factor will be based on the soundness of the applicant's proposed

fiscal management. In order to receive a high score an applicant must

provide a comprehensive description of the fiscal management structure,

including but not limited to budgeting, fiscal controls and accounting.

The application must clearly describe the staff responsible for fiscal

management, and the processes and timetable for implementation during

the proposed grant period.

(iii) Program Assessment (Maximum Points: 5): The score in this

factor will be based on the soundness of the applicant's plan to assess

the success of its proposed TOP program both at the completion of the

program and during program implementation. In order to receive a high

score the application must contain a comprehensive description of the

program assessment system (including staff designated for the program

quality controls), program evaluation and performance measures

(including use of automated systems for collecting the program data),

and timetable for undertaking this activity. Guidance on the

preparation of performance measures will be contained in the

Application Kit. The performance measures must be related to the goals

and objectives of the proposed program and may include but not be

limited to the following:

(A) Number of residents successfully completing job training or

beginning businesses;

(B) Number of residents receiving supportive services (specified by

type of service);

(C) Number of community facilities used for welfare to work or

other self-sufficiency/independence efforts; and

(D) Number of community partnerships executed in support of self-

sufficiency for residents.

(iv) Applicant/Administrator Track Record/Capability (Maximum

Points: 15): In assessing this factor, HUD will consider the soundness

of the prior experience of the Applicant and the Contract Administrator

(if applicable) in successfully carrying out resident services programs

designed to assist residents in increasing their self-sufficiency,

security or independence. A high score is received if the Applicant or

Administrator can demonstrate compliance and successful implementation

(i.e. completion of grant implementation plan tasks) of prior resident

services programs. Applicants and Contract Administrators with no prior

experience in operating programs that foster resident self-sufficiency,

security or independence will receive a score of 0 on this factor.

(3) Partnerships (Maximum Points: 30). In assessing this factor,

HUD will consider the following:

(i) Housing Authority-Resident Association Partnership (Maximum

Points: 10): (A) The score in this factor will be based on the extent

of coordination between the applicant's proposed TOP program and any/

all existing or proposed HA resident services programs that assist

residents in increasing their self-sufficiency, security or

independence. In order to receive a high score the application must

contain an MOU (between the HA and the RA) which describes

collaboration between HA staff and residents on all of the specific

components related to the implementation plans of both the proposed TOP

program and the resident services programs of the housing authority.

(B) Intermediary Resident Organizations will receive points under

this Housing Authority-Resident Association Program Partnership factor

based on the extent to which the Intermediary Resident Organization can

demonstrate that the housing authorities for each of the project sites

the Intermediary Resident Organization proposes to assist have agreed

to support and coordinate their efforts with those of the Intermediary

Resident Organization in assisting the project site.

(ii) Other Partnerships (Maximum Points: 15): The score in this

factor will be based on the successful integration of partners into

implementation of the proposed TOP program. In order to receive a high

score an applicant must provide an MOU or other equivalent

documentation that delineates specific partnerships related to the

components in the comprehensive plan. In assessing this factor HUD will

examine a number of aspects of the proposed partnership including:

(A) The appropriateness of the level of expertise of the partners

related to activities proposed in the application;

(B) The soundness of the division of responsibilities/management

structure of the proposed partnership relative to

[[Page 31289]]

the expertise and resources of the partners;

(C) The extent of commitment of the partners (time, resources,

funds, etc.); and

(D) The extent to which the partnership as a whole addresses a

broader range of resident needs: the extent to which the addition of

the partners provides the ability to meet needs more cost effectively

or efficiently than the applicant or its partners could achieve

individually without forming the partnership.

(5) If located in, or serving the population of a federally

designated Empowerment Zone or Enterprise Community, the extent to

which the program has been coordinated with the Empowerment Zone or

Enterprise Community Strategic Plan.

(iii) Resident Involvement (Maximum Points: 5). (A) The score in

this factor will be based on the extent of resident involvement in

developing the proposed TOP program as well as the extent of proposed

resident involvement in implementing the proposed TOP program. In order

to receive a high score on this factor the applicant must provide

verifiable documentation which describes the involvement of affected

residents in the planning phase for this program, and a commitment by

the Resident Association to provide continued involvement in grant

implementation. In order to receive maximum points the application must

contain a resolution from the appropriate RA(s) which includes

signatures from the resident community.

(B) Intermediary Resident Organizations will receive points under

this Resident Involvement factor based on the demonstrated level of

coordination of efforts between the RA for each of the project sites

the Intermediary Resident Organization proposes to assist and the

Intermediary Resident Organization. Higher points will be awarded to

the extent that RAs proposed to be assisted have taken the preliminary

steps to be ready to take advantage of the assistance proposed for

their site by the Intermediary Resident Organization. For example, the

RA for the proposed site has organized itself and selected its

leadership and obtained basic training from the HA or other community

organizations.

(4) Bonus Points (Maximum Points: 5): The applicant may receive up

to 5 bonus points based on the following factor:

(i) Leveraging Community Resources (Maximum Points: 5): The

applicant may receive a maximum of 5 extra points if the budget can

show that outside resources (including other existing Federal, state,

local, Tribal, public, non-profit, and/or private resources) are to be

utilized in this proposed program. The maximum number of points can be

provided if the applicant can demonstrate that the total amount of the

resources (including in-kind contributions of personnel, space and/or

equipment) equals the amount proposed in this grant application.

(i) General Program Requirements. (1) Travel Policy. All TOP

grantees must adhere to the travel policy established by HUD. All

travel must be in complete compliance with PIH Notice 96-18, Travel

Policy for Resident Management/Tenant Opportunities Program Grantees.

The policy ensures that all travel funded under TOP is directed toward

the successful completion of the required TOP Work Plan/Performance

Standards. The travel policy sets a maximum amount of $5,000 over the

2- to 3-year period of the grant. Requests for funds beyond the limit

of $5,000 must be approved by the local HUD Office.

(2) TOP Orientation. Grantees are required to attend HUD sponsored

training specifically designated for grantees under this program. The

Department intends to offer a three to four day training session within

six months of awarding grants. If the grantee's grant agreement is

executed and the organization is properly established in the Line of

Credit Control System/Voice Response System (LOCCS/VRS), the grantee

must draw down the total amount needed to attend the training. If the

grantee's grant agreement is not executed and the organization is not

properly established in the LOCCS/VRS, the grantee may request the HA

to advance the organization the total amount needed to attend the HUD

orientation training. The grantee must reimburse the HA when the

organization is properly established in the LOCCS/VRS.

(3) Procurement of Trainers and Consultants. To ensure the

successful implementation of the TOP Work plan activities, RAs are

required to determine the need to contract for outside consulting/

training services. The RA and HA must jointly select the consultant/

trainer in accordance with applicable procurement requirements and with

approval by the local HUD Field Office or AONAP. Each RA should make

maximum use of the resources provided by the following entities for

technical assistance and training needs:

(i) HAs;

(ii) Nonprofits;

(iii) Educational institutions; and

(iv) Federal, State, local or Tribal government institutions.

(4) Computer Capability. RAs must have access to computer

capability and access to the INTERNET and electronic mail and must make

such access available to resident beneficiaries for TOP training and

supportive service activities.

(5) Training Requirements. All grantees must adhere to the

following training requirements:

(i) RA grantees are required to have training, and intermediary

grantees are requested to provide training, in the areas listed below.

The amount and scope of training, however, will depend on their RA's

goals. For example, the training required to assume property management

is more extensive than the training needed to establish a landscaping

enterprise. The required training areas are:

(A) HUD regulations and policies governing the operation of low-

income housing, which includes:

(1) The part 900 series of 24 CFR;

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

U.S.C. 1701u) and HUD's implementing regulations at 24 CFR part 135 or

in the case of programs in Native American jurisdictions Indian

preference requirements as stated in 950.175; and

(3) The applicable civil rights laws as implemented for public

housing (24 CFR part 964) and Indian housing (24 CFR part 950).

(B) Financial management, including budgetary and accounting

principles and techniques, in accordance with Federal guidelines,

including:

(A) (1) OMB Circulars A-110 (and HUD's implementing regulations at

24 CFR part 84) and A-122, which contain Federal administrative

requirements for grants; and

(2) OMB Circular A-133 (and HUD's implementing regulations at 24

CFR part 48), which relates to audit requirements for nonprofit

organizations;

(C) Capacity building to develop the necessary skills to become

economically self-sufficient.

(D) Organizational planning and development leadership training and

development skills.

(E) Interviewing skills, effective communication skills, and proper

attire in the workforce, specifically as it relates to the skills being

taught.

(ii) Each grantee must ensure that the training is provided by a

qualified housing management specialist (Consultant/Trainer) or the

local HA. The total allowed to assist in hiring an individual

consultant shall not exceed 50 percent of the total grant award or

$50,000, whichever is less.

(j) Ranking Procedures: For the TOP program, Headquarters will rank

[[Page 31290]]

applicants that have complied with the threshold requirements and

possess a score greater than or equal to the minimum score in three

lists based upon the type of applicant (Intermediary Resident

Organization applicants vs. applicants that are either Resident

Organizations or Native American Resident Management Corporations vs.

Resident Association (RA) applicants that do not fall within either of

the previous two categories) pursuant to Section V(a)(2) of this

announcement. Using the Resident Association list (not including

Intermediary Resident Organizations, etc.), Headquarters will select

the highest ranking applications from each housing authority

jurisdiction until the funds available for that jurisdiction are

exhausted. In the event of a tie score HUD will follow the procedure

outlined in Section V(a)(iv)(2) of this announcement. HUD will then

compile the list of the higher ranking applications from each

jurisdiction that do not exhaust the funding available for the housing

authority jurisdiction and array them from highest to lowest score on

one National list. Headquarters shall separately fund the remaining

applications on all three separate lists (the Intermediary Resident

Organization list, the Resident Organization/Native American Resident

Management Corporation list and the Resident Association list exclusive

of the other two categories) in rank order pursuant to the procedure

outlined in Section V(a)(2) of this announcement utilizing the funding

allocated to each type of applicant in Section V(a)(2) of this

announcement. At the completion of the process, there will be a

separate list of awardees corresponding to the separate rank order

lists. If there are insufficient applications to exhaust the funding

for either the Intermediary Resident Organization applicants list or

the applicants that are either Resident Organizations or Native

American Resident Management Corporations list (or for both lists), the

remaining funds will be reallocated to the list for the other type of

applicant (Resident Associations that do not fall within the first two

categories). If there are insufficient applications to exhaust the

funding for the Resident Associations that do not fall within the first

two categories, the remaining funds will be reallocated to the list for

Intermediary Resident Organization applicants first and then if funds

remain to the list for either Resident Organizations or Native American

Resident Management Corporations.

VIII. Findings and Certifications

The following findings and certifications are applicable to both

the TOP and ED/SS Programs:

Paperwork Reduction Act. The information collection requirements

contained in this Notice have been approved by the Office of Management

and Budget in accordance with the Paperwork Reduction Act of 1995 (44

U.S.C. 3501-3520), and assigned OMB control numbers 2577-0087 (TOP) and

2577-0211(ED/SS). 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.

Environmental Impact. The ED/SS and TOP NOFAs do not direct,

provide for assistance or loan and mortgage insurance for, or otherwise

govern or regulate property acquisition, disposition, lease,

rehabilitation, alteration, demolition, or new construction, or set out

or provide for standards for construction or construction materials,

manufactured housing, or occupancy. Accordingly, under 24 CFR

50.19(c)(1), the ED/SS and TOP NOFAs are categorically excluded from

environmental review under the National Environmental Policy Act of

1969, as amended (42 U.S.C. 4321).

Federalism Executive Order. The General Counsel, as the Designated

Official under section 6(a) of Executive Order 12612, Federalism, has

determined that this NOFA will not have substantial, direct effects on

states, on their political subdivisions, or on their relationship with

the Federal Government, or on the distribution of power and

responsibilities between them and other levels of government. This

notice announces the availability of funds to provide economic

development opportunities and supportive services to residents of

public and Indian housing and other low-income families. It will not

have an effect on the relationship between the Federal Government and

the states or their political subdivisions.

Prohibition of Advance Disclosure of Funding Decisions. HUD's

regulation implementing section 103 of the Department of Housing and

Urban Development Reform Act of 1989, codified as 24 CFR part 4,

applies to the funding competition announced today. The requirements of

the rule continue to apply until the announcement of the selection of

successful applicants.

HUD employees involved in the review of the applications and in the

making of funding decisions are limited 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 who have ethics related questions should contact HUD's

Ethics Law Division (202) 708-3815. (This is not a toll-free number.)

Section 102 of the HUD Reform Act--Documentation, Access, and

Disclosure. Section 102 of the Department of Housing and Urban

Development Reform Act of 1989 (HUD Reform Act) and the final rule

codified at 24 CFR part 4, subpart A, published on April 1, 1996 (61 FR

1448), contain a number of provisions that are designed to ensure

greater accountability and integrity in the provision of certain types

of assistance administered by HUD. On January 14, 1992 (57 FR 1942),

HUD published a notice that also provides information on the

implementation of section 102. The documentation, public access, and

disclosure requirements of section 102 are applicable to assistance

awarded under this NOFA as follows:

(a) 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.

(b) Disclosures. HUD will make available to the public for five

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 three 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 Lobbying Activities. Applicants for funding

under

[[Page 31291]]

this NOFA are subject to the provisions of section 319 of the

Department of Interior and Related Agencies Appropriation Act for

Fiscal Year 1991, 31 U.S.C. Section 1352 (the Byrd Amendment) and to

the provisions of the Lobbying Disclosure Act of 1995, Pub. L. 104-65

(December 19, 1995).

The Byrd Amendment, which is implemented in regulations at 24 CFR

part 87, prohibits applicants for Federal contracts and grants from

using appropriated funds to attempt to influence Federal Executive or

legislative officers or employees in connection with obtaining such

assistance, or with its extension, continuation, renewal, amendment or

modification. The Byrd Amendment applies to the funds that are the

subject of this NOFA. Therefore, applicants must file a certification

stating that they have not made and will not make any prohibited

payments and, if any payments or agreement to make payments of

nonappropriated funds for these purposes have been made, a form SF-LLL

disclosing such payments must be submitted. The certifications and the

SF-LLL are included in the application package.

Catalog of Federal Domestic Assistance Numbers

The Catalog of Federal Domestic Assistance Number is 14.853.

Dated: June 2, 1997.

Kevin Emanuel Marchman,

Acting Assistant Secretary for Public and Indian Housing.

Appendix--Names, Addresses and Telephone Numbers of the Local HUD

Offices and Offices of Native American Programs Accepting Applications

for the Economic Development and Supportive Services Grant Program

New England

Connecticut State Office, Attention: Director, Office of Public

Housing, First Floor, 330 Main Street, Hartford, CT 06106-1860,

Telephone No. (203) 240-4523

Massachusetts State Office, Attention: Director, Office of Public

Housing, Thomas P. O'Neill, Jr., Federal Building, 10 Causeway

Street, Boston, MA 02222-1092, Telephone No. (617) 565-5634

New Hampshire State Office, Attention: Director, Office of Public

Housing, Norris Cotton Federal Building, 275 Chestnut Street,

Manchester, NH 03101-2487, Telephone No. (603) 666-7681

Rhode Island State Office, Attention: Director, Office of Public

Housing, Sixth Floor, 10 Weybosset Street, Providence, RI 02903-

3234, Telephone No. (401) 528-5351

New York/New Jersey

New Jersey State Office, Attention: Director, Office of Public

Housing, One Newark Center, Thirteenth Floor, Newark, NJ 07102-5260,

Telephone No. (202) 622-7900

New York State Office, Attention: Director, Office of Public

Housing, 26 Federal Plaza, Suite 3237, New York, NY 10278-0068,

Telephone No. (212) 264-6500

Buffalo Area Office, Attention: Director, Office of Public Housing,

Lafayette Court, Fifth Floor, 465 Main Street, Buffalo, NY 14203-

1780, Telephone No. (716) 846-5755

Mid-Atlantic

District of Columbia Office, Attention: Director, Office of Public

Housing 820 First Street, NE, Washington, DC 20002-4205, Telephone

No. (202) 275-9200

Maryland State Office, Attention: Director, Office of Public

Housing, City Crescent Building, 5th Floor, 10 South Howard Street,

Baltimore, MD 21201-2505, Telephone No. (410) 962-2520

Pennsylvania State Office, Attention: Director, Office of Public

Housing, The Wanamaker Building, 100 Penn Square East, Philadelphia,

PA 19107-3390, Telephone No. (215) 656-0576 or 0579

Virginia State Office, Attention: Director, Office of Public

Housing, The 3600 Centre, 3600 West Broad Street, P.O. Box 90331,

Richmond, VA 23230-0331, Telephone No. (804) 278-4507

West Virginia State Office, Attention: Director, Office of Public

Housing, 405 Capitol Street, Suite 708, Charleston, WV 25301-1795,

Telephone No. (304) 347-7000

Pittsburgh Area Office, Attention: Director, Office of Public

Housing, 339 Sixth Avenue, Sixth Floor, Pittsburgh, PA 15222-2515,

Telephone No. (412) 644-6571

Southeast/Caribbean

Alabama State Office, Attention: Director, Office of Public Housing,

Beacon Ridge Tower, Suite 300, 600 Beacon Parkway, West, Birmingham,

AL 35209-3144, Telephone No. (205) 290-7617

Caribbean Office, Attention: Director, Office of Public Housing, New

San Juan Office Building, 159 Carlos E. Chardon Avenue, Room 305,

San Juan, PR 00918-1804, Telephone No. (809) 766-6121

Georgia State Office, Attention: Director, Office of Public Housing,

Richard B. Russell Federal Building, 75 Spring Street, SW, Atlanta,

GA 30303-3388, Telephone No. (404) 331-5136

Kentucky State Office, Attention: Director, Office of Public

Housing, 601 West Broadway, P.O. Box 1044, Louisville, KY 40201-

1044, Telephone No. (502) 582-5251

Mississippi State Office, Attention: Director, Office of Public

Housing, Doctor A.H. McCoy Federal Building, Suite 910, 100 West

Capitol Street, Jackson, MS 39269-1016, Telephone No. (601) 965-5308

North Carolina State Office, Attention: Director, Office of Public

Housing, Koger Building, 2306 West Meadowview Road, Greensboro, NC

27407-3707, Telephone No. (910) 547-4001

South Carolina State Office, Attention: Director, Office of Public

Housing, Strom Thurmond Federal Building, 1835 Assembly Street,

Columbia, SC 29201-2480, Telephone No. (803) 765-5592

Tennessee State Office, Attention: Director, Office of Public

Housing, 251 Cumberland Bend Drive, Suite 200, Nashville, TN 37228-

1803, Telephone No. (615) 736-5213

Jacksonville Area Office, Attention: Director, Office of Public

Housing, Southern Bell Tower, Suite 2200, 301 West Bay Street,

Jacksonville, FL 32202-5121, Telephone No. (904) 232-2626

Knoxville Area Office, Attention: Director, Office of Public

Housing, John J. Duncan Federal Building, Third Floor, 710 Locust

Street, Knoxville, TN 37902-2526, Telephone No. (615) 545-4384

Midwest

Illinois State Office, Attention: Director, Office of Public

Housing, Ralph Metcalfe Federal Building, 77 West Jackson Boulevard,

Chicago, IL 60604-3507, Telephone No. (312) 353-5680

Indiana State Office, Attention: Director, Office of Public Housing,

151 North Delaware Street, Suite 1200, Indianapolis, IN 46204-2526,

Telephone No. (317) 226-6303

Michigan State Office, Attention: Director, Office of Public

Housing, Patrick V. McNamara Federal Building, 477 Michigan Avenue,

Detroit, MI 48226-2592, Telephone No. (313) 226-7900

Minnesota State Office, Attention: Director, Office of Public

Housing, 220 Second Street, South, Minneapolis, MN 55401-2195,

Telephone No. (612) 370-3000

Ohio State Office, Attention: Director, Office of Public Housing,

200 North High Street, Columbus, OH 43215-2499, Telephone No. (614)

469-5737

Wisconsin State Office, Attention: Director, Office of Public

Housing, Suite 1380, Henry S. Reuss Federal Plaza, 310 West

Wisconsin Avenue, Suite 1380, Milwaukee, WI 53203-2289, Telephone

No. (414) 297-3214

Cincinnati Area Office, Attention: Director, Office of Public

Housing, 525 Vine Street, Suite 700, Cincinnati, OH 45202-3188,

Telephone No. (513) 684-2533

Cleveland Area Office, Attention: Director, Office of Public

Housing, Renaissance Building, Fifth Floor, 1350 Euclid Avenue,

Cleveland, OH 44115-1815, Telephone No. (216) 522-4058

Grand Rapids Area Office, Attention: Director, Office of Public

Housing, 50 Louis Street, N.W.--Third Floor, Grand Rapids, MI 49503,

Telephone No. (616) 456-2127

Southeast

Arkansas State Office, Attention: Director, Office of Public

Housing, TCBY Tower, 425 West Capitol Avenue, Little Rock, AR 72201-

3488, Telephone No. (501) 324-5931

Louisiana State Office, Attention: Director, Office of Public

Housing, 501 Magazine Street, Ninth Floor, New Orleans, LA 70130,

Telephone No. (504) 589-7233

Oklahoma State Office, Attention: Director, Office of Public

Housing, 500 West Main

[[Page 31292]]

Street, Oklahoma City, OK 73102, Telephone No. (405) 553-7559

Texas State Office, Attention: Director, Office of Public Housing,

1600 Throckmorton, Post Office Box 2905, Fort Worth, TX 76113-2905,

Telephone No. (817) 885-5401

Houston Area Office, Attention: Director, Office of Public Housing,

Norfolk Tower, Suite 200, 2211 Norfolk, Houston, TX 77098-4096,

Telephone No. (713) 834-3274

San Antonio Area Office, Attention: Director, Office of Public

Housing, Washington Square 800 Dolorosa, San Antonio, TX 78207-4563,

Telephone No. (210) 229-6800

Great Plains

Iowa State Office, Attention: Director, Office of Public Housing,

Federal Building, Room 29, 210 Walnut Street, Des Moines, IA 50309-

2155, Telephone No. (515) 284-4512

Kansas/Missouri State Office, Attention: Director, Office of Public

Housing, Gateway Tower II, Room 200, 400 State Avenue, Kansas City,

KS 66101-2406, Telephone No. (913) 551-5462

Nebraska State Office, Attention: Director, Office of Public

Housing, Executive Tower Centre 10909 Mill Valley Road, Omaha, NE

68154-3955, Telephone No. (402) 492-3100

St. Louis Area Office, Attention: Director, Office of Public

Housing, Robert A. Young Federal Building 50 Louis, N.W., Third

Floor, St. Louis, MO 63103-2836, Telephone No. (314) 539-6512

Rocky Mountains

Colorado State Office, Attention: Director, Office of Public

Housing, 633--17th Street 12th Floor, Denver, CO 80202-3607,

Telephone No. (303) 672-5440

Pacific/Hawaii

Arizona State Office, Attention: Director, Office of Public Housing,

2 Arizona Center, Suite 1600, 400 North Fifth Street, Phoenix, AZ

85004-2361, Telephone No. (602) 379-4434

California State Office, Attention: Director, Office of Public

Housing, Phillip Burton Federal Building and U.S. Courthouse 450

Golden Gate Avenue, Ninth Floor, San Francisco, CA 94102-3448,

Telephone No. (415) 556-4752

Hawaii State Office, Attention: Director, Office of Public Housing,

Seven Waterfront Plaza, Suite 500, 500 Ala Moana Boulevard,

Honolulu, HI 96813-4918, Telephone No. (808) 522-8175

Los Angeles Area Office, Attention: Director, Office of Public

Housing, AT&T Center 611 West 6th Street, Suite 800, Los Angeles, CA

90017-3127, Telephone No. (213) 894-8000 ext. 3500

Sacramento Area Office, Attention: Director, Office of Public

Housing, 777 12th Street, Suite 200, Sacramento, CA 95814-1997,

Telephone No. (916) 551-1351

Northwest/Alaska

Alaska State Applicants submit applications to the Washington

State Office in Seattle, WA (see below):

Oregon State Office, Attention: Director, Office of Public Housing,

400 Southwest Sixth Avenue, Suite 700, Portland, OR 97204-1596,

Telephone No. (503) 326-2519

Washington State Office, Attention: Director, Office of Public

Housing, Seattle Federal Office Building, Suite 200, 909 1st Avenue,

Seattle, WA 98104-1000, Telephone No. (206) 220-5101

Office of Native American Program Offices

Serves East of the River (Including all of Minnesota)

Eastern Woodlands Office of Native American Programs, Attention:

Administrator, Office of Native American Programs, Metcalfe Federal

Building, 77 West Jackson Boulevard, Chicago, IL 60604-3507,

Telephone No. (800) 735-3239 [Toll Free] or (312) 886-3539

Serves: Louisiana, Missouri, Kansas, Oklahoma and Eastern Texas

Southern Plains Office of Native American Programs, Attention:

Administrator, Office of Native American Programs, 500 West Main

Street, Suite 400, Oklahoma City, OK 73102, Telephone No. (405) 553-

7525

Serves: Colorado, Montana, The Dakotas, Nebraska, Utah and Wyoming

Northern Plains Office of Native American Programs, Attention:

Administrator, Office of Native American Programs, First Interstate

Tower North, 633 17th Street, Denver, CO 80202-3607, Telephone No.

(303) 672-5465

Serves: California, Nevada, Arizona and New Mexico

Southwest Office of Native American Programs, Attention:

Administrator, Office of Native American Programs, Two Arizona

Center, Suite 1650, 400 North Fifth Street, Suite 1650, Phoenix, AZ

85004-2361, Telephone No. (602) 379-4156

or

Albuquerque Division of Native American Programs, Albuquerque Plaza,

201 3rd Street, Suite 1830, Albuquerque, NM 87102-3368, Telephone

No. (505) 766-1372

Serves: Iowa, Washington, Idaho and Oregon

Northwest Office of Native American Programs, Attention:

Administrator, Office of Native American Programs, 909 1st Avenue,

Suite 300, Seattle, WA 98104-1000, Telephone No. (206) 220-5270

Serves: Alaska

Alaska Office of Native American Programs, Attention: Administrator,

Office of Native American Programs, University Plaza Building, 949

East 36th Avenue, Suite 401, Anchorage, AK 99508-4399, Telephone No.

(907) 271-4633

Serves: National

Office of Native American Programs, 1999 Broadway, Suite 3390, Box

90, Denver, CO 80302, Telephone No. (303) 675-1600

[FR Doc. 97-14812 Filed 6-5-97; 8:45 am]

BILLING CODE 4210-33-P