[Federal Register Volume 59, Number 54 (Monday, March 21, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-6482]
[[Page Unknown]]
[Federal Register: March 21, 1994]
_______________________________________________________________________
Part II
Department of Housing and Urban Development
_______________________________________________________________________
Office of the Assistant Secretary for Housing-Federal Housing
Commissioner
_______________________________________________________________________
Funding Availability for FY 1994 for Housing Counseling; Notice
DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
Office of the Assistant Secretary for Housing-Federal Housing
Commissioner
[Docket No. N-94-3709; FR-3604-N-01]
Funding Availability for FY 1994 for Housing Counseling
AGENCY: Office of the Assistant Secretary for Housing-Federal Housing
Commissioner, HUD.
ACTION: Notice of Funding Availability (NOFA) for Fiscal Year (FY) 1994
for Housing Counseling.
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SUMMARY: This Notice announces the availability of funding for FY 1994
for HUD-approved housing counseling agencies to provide housing
counseling to homebuyers, homeowners, and renters as set forth in HUD
Handbook No. 7610.1 REV-3, dated June 1993 (the Handbook). An applicant
must, as of the date of issuance of the Request for Grant Application
(RFGA) based on this NOFA, be a HUD-approved housing counseling agency,
and must be able and willing to provide, at a minimum: (1) Delinquency
and default counseling to renters and homeowners; (2) related
counseling under HUD's single family mortgage assignment program; and
(3) fair housing counseling to inform renters and owners of their
rights and responsibilities under the Fair Housing Act. Except for fair
housing counseling, exemptions from counseling requirements are
applicants approved by HUD to provide ONLY tenant counseling or Home
Equity Conversion Mortgage counseling, or prepurchase counseling,
including the counseling of tenants to purchase their rental unit. An
applicant agency may offer any other aspect(s) of counseling set forth
in the Handbook, including Home Equity Conversion Mortgage counseling.
Housing counseling services not covered by the Handbook do not qualify
for eligibility for funding under this NOFA.
In the body of this document is information concerning: the purpose
of this NOFA; eligibility for funding; available funding; award
criteria; and the application process, including how to apply for
funding, and how eligibility for funding will be determined and awards
will be made.
DATES: The application due date (date and time) will be specified in
the application kit (Request for Grant Application--RFGA). In no event,
however, will applications be due before April 20, 1994. The
application due date specified in the RFGA will provide applicants with
at least 30 days to prepare and submit their applications. The 30-day
(or more) response period will begin to run from the first date upon
which the RFGA is made available. The RFGA will be available on, or
soon after, the date of publication of this NOFA from the Regional
Contracting Officer in the HUD Regional Office that serves the area in
which the applicant agency is located. (See the list of HUD Regional
Offices that follows this NOFA.) Please see Section II of this NOFA for
further information on what constitutes proper submission of an
application.
The application deadline, as specified in the RFGA, will be firm.
In the interest of fairness to all competing applicants, HUD will treat
as ineligible for consideration any application that is not received on
or before the application deadline. Applicants should take this
practice into account and make early submission of their materials to
avoid any risk of loss of eligibility brought about by unanticipated
delays or other delivery-related problems.
FOR FURTHER INFORMATION CONTACT: Thomas Miles, Program Advisor, Single
Family Servicing Division, Department of Housing and Urban Development,
room 9178, 451 Seventh Street SW., Washington, DC 20410, telephone
(202) 708-1672 (voice), or (202) 708-3938 (TDD number). (These are not
toll-free numbers.)
SUPPLEMENTARY INFORMATION:
Paperwork Reduction Act Statement
The information collection requirements contained in this NOFA have
been approved by the Office of Management and Budget (OMB) under
section 3504(h) of the Paperwork Reduction Act of 1980 (44 U.S.C.
3504(h)), and assigned OMB control number 2535-0084.
I. Purpose and Substantive Description
A. Authority and Background
1. Authority
Sec. 106, Housing and Urban Development Act of 1968 (12 U.S.C.
1701x); secs. 235, 237 and 255 of the National Housing Act (12 U.S.C.
1715z, 1715z-2, 1715z-20); and HUD Handbook 7610.1, REV-3 dated June
1993.
2. Background
Section 106 of the Housing and Urban Development Act of 1968
(section 106) authorizes HUD to provide a program of housing counseling
services to designated homeowners and tenants. The program authorized
by section 106 (Housing Counseling Program) is divided into two
distinct components: the housing counseling services and requirements
provided under section 106(a), and those services and requirements
provided under section 106(c).
Section 106(a) authorizes HUD to provide counseling and advice to
tenants and homeowners with respect to property maintenance, financial
management and such other matters as may be appropriate to assist
tenants and homeowners in improving their housing conditions and in
meeting the responsibilities of tenancy and homeownership. With respect
to homeowners, section 106(a) states that the above-described services
shall be provided to:
(1) Homeowners with HUD-insured mortgages;
(2) First-time homebuyers with guaranteed loans under section
502(h) of the Housing Act of 1949 (home loans guaranteed by the Farmers
Home Administration);
(3) Homeowners with loans guaranteed or insured under chapter 37 of
title 38, United States Code (home loans insured or guaranteed by the
Department of Veterans Affairs).
Additionally, under section 106(a)'s authorization to HUD to
provide counseling and advice to tenants and homeowners as may be
appropriate to assist them to improve their housing conditions (see
section 106(a)(1)(iii)), HUD-approved counseling agencies are permitted
under section 106(a), and encouraged by HUD, to conduct community
outreach activities and provide counseling to individuals with the
goals of increasing the awareness of homeownership opportunities and
improving the access of low- and moderate-income households to sources
of mortgage credit and homeownership opportunities. HUD believes that
this type of counseling activity is a key element to the revitalization
and stabilization of low-income and minority neighborhoods, and
encourages HUD-approved counseling agencies to conduct this type of
counseling activity.
Section 106(c), as amended by section 162 of the Housing and
Community Development Act of 1992 (Pub. L. 102-550, approved October
28, 1992) authorizes homeownership counseling only (no tenant
counseling) and defines a homeowner eligible for counseling under this
section to mean:
(1) A homeowner whose home loan is secured by property that is the
principal residence of the homeowner, who is unable to correct a home
loan delinquency within a reasonable time (section 106(c) defines
``home loan'' as a loan secured by a mortgage or lien on residential
property); and
(2) An applicant for a mortgage if the applicant is a first-time
homebuyer who meets the requirements of section 303(b)(1) of the
National Affordable Housing Act (see 42 U.S.C. 12852) and the mortgage
involves a principal obligation (including such initial service
charges, appraisal, inspection, and other fees as the Secretary of HUD
shall approve) in excess of 97 percent of the appraised value of the
property and is to be insured pursuant to section 203 of the National
Housing Act.
Under the Housing Counseling Program, HUD contracts with public or
private organizations to provide the housing counseling services
authorized by section 106(a) and section 106(c). When the Congress
makes funds available to assist the Housing Counseling Program, HUD
announces the availability of such funds, and invites applications from
eligible agencies, through a notice published in the Federal Register.
An agency that is approved by HUD as a housing counseling agency does
not automatically receive funding. The agency must apply for such
funding under a Request for Grant Application (RFGA) issued by HUD
through its Regional Offices. The purpose of the housing counseling
program is to promote and protect the interests of HUD, HUD-approved
and other mortgagees, and housing consumers participating in HUD and
other housing programs.
B. Allocation Amounts
1. Total Available Funding
A total amount of $12,000,000 was appropriated for housing
counseling by the HUD Appropriations Act of 1994 (Pub. L. 103-124,
approved October 28, 1993).
Of the $12,000,000, HUD will use $125,000 to help resolve a
litigation matter in Boston, Massachusetts, that involves housing
counseling; $227,000 to continue operation of the toll-free telephone
number in FY 1994 by which persons may call and find out about HUD-
approved counseling agencies operating in their area; $250,000 to
provide training for the Home Equity Conversion Mortgage (HECM)
Program; $2,084,000 to train and certify individuals as housing
counselors; $380,330 to continue the prepurchase counseling and
foreclosure prevention counseling demonstration, which was implemented
in FY 1992, and is being carried out in Chicago, Illinois, and Atlanta,
Georgia; and up to $50,000 to monitor and report on lenders compliance
with the statutory requirement to notify delinquent homeowners (within
45 days of the delinquency) of the availability of housing counseling
services. HUD will make the remaining $8,883,670 available for the
counseling services specified in the Act.
2. Allocation of Funds to Regional Offices
HUD Headquarters will allocate the $8,883,670 available for housing
counseling services to its ten Regional Offices. The basis for the
allocation is the percentage of HUD-insured single family mortgage
defaults within each Region, compared to the nationwide total. Under
this plan, the Regions are required, insofar as possible, to award
grants in relation to the number of defaults within HUD Field Office
jurisdictions. The amounts allocated to the Regions for Fiscal Year
1994 (based on the $8,883,670) are as follows:
------------------------------------------------------------------------
Region Defaults Percentage* $ Allocation
------------------------------------------------------------------------
I............................. 2,643 1.63 144,786
II............................ 13,518 8.34 740,525
III........................... 18,292 11.28 1,002,048
IV............................ 39,577 24.40 2,168,055
V............................. 27,192 16.77 1,489,596
VI............................ 22,742 14.02 1,245,822
VII........................... 4,397 2.71 240,871
VIII.......................... 5,510 3.40 301,841
IX............................ 25,402 15.66 1,391,537
X............................. 2,895 1.79 158,592
-----------------------------------------
Totals.................. 162,168 100 8,883,670
------------------------------------------------------------------------
(*Percentages have been rounded.)
3. Grant Awards by HUD Regional Offices
Regional Offices will make an equitable award of allocated housing
counseling funds to eligible HUD-approved housing counseling agencies
based upon documented need in relation to:
a. The amount of funds available; and
b. The number of successful applicants. (A determination of a
``successful'' applicant is based on the applicant's ability to meet
the award criteria, as specified in Section I.D of this NOFA.)
4. Announcement of Awards
In accordance with the requirements of section 103 of the
Department of Housing and Urban Development Reform Act of 1989 (HUD
Reform Act) and HUD's implementing regulations at 24 CFR part 4, no
award information will be made available to applicants or other persons
not authorized to receive this information during the period of HUD
review and evaluation of the applications. However, applicants that are
declared ineligible or late will be notified. In accordance with
section 102(a)(4)(c) of the HUD Reform Act, HUD will notify the public,
by notice published in the Federal Register, of award decisions made by
HUD under this funding.
5. Payment to Grantee by HUD
HUD will pay each grantee for each counseling unit. To determine
the amount of counseling unit payment, HUD will use the applicant's
direct-labor hourly rate for its housing counselors. To that rate, HUD
will add 140 percent of the rate to cover operating costs to calculate
the applicant's cost to deliver a ``counseling unit.'' Thus, the per
unit payment will be one-half of the sum of (1) the direct-labor hourly
rate plus (2) 140 percent of the rate. The basis for this calculation
is further explained in the following paragraph.
This payment method represents a major change in the way HUD will
arrive at the amount of payment per counseling unit. Based on its
survey of approved counseling agencies, HUD found that it takes, on
average, one-half hour to generate a counseling unit. The applicant
must provide the direct labor hourly rate requested in the RFGA. To
this rate, HUD will add the 140% to cover operating costs, multiply
this enhanced rate by 50%, and multiply the result times the number of
counseling units. Whatever funds are requested by the applicant may be
changed by HUD before the award of the grant based on the applicant's
past performance, HUD's forecasts of need in a given area, and the
total funds available for a given Region. This is why submission of the
workload report and the direct labor reports with the application, as
required to be submitted by the RFGA, are critical to determining the
amount of the grant the applicant will receive.
A counseling unit is defined as a documented face-to-face, written,
or telephonic contact between:
a. The grantee's housing counselor and a client; or
b. The grantee's housing counselor and a mortgagee, landlord,
service agency, creditor, credit reporting agency, governmental agency,
realtor or employer, acting on behalf of a client, which results in an
action or decision that:
(1) Identifies, clarifies, or assists in meeting or meets the
client's housing need; or
(2) Assists in resolving or resolves the client's housing problem.
(See HUD Handbook 7610.1 REV-3, dated June 1993, paragraph 1-7 on
page 1-6 for a definition of ``client,'' ``housing need,'' and
``housing problem.'')
C. Eligible Applicants
1. Eligible applicants include public and private nonprofit
entities with a current approval by HUD as a housing counseling agency,
under the provisions of HUD Handbook No. 7610.1 REV-3 dated June 1993,
or its earlier versions. Current approval includes agencies that are on
record at the applicable HUD Field Office as having been approved as a
HUD counseling agency as of the date of issuance of the RFGA based on
this NOFA. Agencies for which HUD has withdrawn this approval or have
indicated in writing their withdrawal from the counseling program are
NOT eligible. Agencies with ``conditional'' re-approvals are NOT
eligible unless they satisfy HUD's requirements for removal of the
``conditional'' approval by the due date of applications for funding
under this notice.
2. Applicants that fall into any one of the following categories
will be ineligible for funding under this NOFA:
a. The Department of Justice has brought a civil rights suit
against the applicant and the suit is pending;
b. There has been an adjudication of a civil rights violation in an
civil action brought against the applicant by a private individual,
unless the applicant is operating in compliance with a court order, or
implementing a HUD-approved compliance agreement designed to correct
the areas of noncompliance;
c. There are outstanding findings of noncompliance with civil
rights statutes, Executive Orders or regulations as a result of formal
administrative proceedings, or the Secretary has issued a charge
against the applicant under the Fair Housing Act, unless the applicant
is operating under a conciliation or compliance agreement designed to
correct the areas of noncompliance; or
d. HUD has deferred application processing by HUD under title VI of
the Civil Rights Act of 1964, the Attorney General's Guidelines (28 CFR
50.3) and the HUD title VI regulations (24 CFR 1.8) or under section
504 of the Rehabilitation Act of 1973 and the HUD section 5604
regulations (24 CFR 8.57).
D. Award Criteria
1. General Criteria
HUD, through its Regional Contracting Officers, will award housing
counseling grants in Fiscal Year 1994 to selected eligible agencies.
Within each Region, an eligible agency is a HUD-approved housing
counseling agency that is:
a. located within the Region's geographical jurisdiction; and
b. provides, or proposes to provide, housing counseling within that
Region. (Application eligibility and grant authority do NOT cross
regional boundaries.)
2. Award Amount Evaluation Criteria
Applications for funding under this NOFA will be reviewed, and
grants will be awarded on the basis of the following criteria. Items a
through d must be submitted by the applicant, as required by the RFGA.
Items e through k are based on information maintained by HUD. (The RFGA
contains a checklist of the items to be submitted by the applicant.)
a. The direct-labor hourly rate (DLHR) is the rate the applicant
pays its bona-fide full-time and/or part-time housing counselors for
delivering housing counseling to clients under HUD housing counseling
grants. The rate or rates to be submitted are those in effect as of the
date of the Request for Grant Application (RFGA) based on this Notice
of Funding Availability (NOFA).
(1) A ``bona fide'' housing counselor is a person hired
specifically to deliver housing counseling to the applicant's clients
either as a sole responsibility or in conjunction with other related
professional assignments.
(2) The terms ``counseling'' and ``client'' are specifically
defined in paragraphs 1-7A and 1-7B of HUD's Housing Counseling Program
Handbook 7610.1 REV-3 dated June 1993.
(3) ``Direct-labor hourly rate'' does Not include fringe benefits,
overhead, and other employee-related costs. See Section I.B.5,
``Payment to Grantee by HUD,'' in this NOFA.
b. The number of ``clients'' each housing counselor counseled
during the twelve months immediately preceding the date of the RFGA
based on this NOFA. This includes all ``clients'' as defined in HUD
Housing Counseling Handbook 7610.1 REV-3 dated June 1993 regardless of
whether they were counseled under a HUD housing counseling grant.
c. The applicant's documented client workload* (* ``Workload''
refers to the number of clients, as defined in HUD Handbook No. 7610.1
REV-3, dated June 1993, and reported by the applicant on Form HUD-9902,
Housing Counseling Agency Fiscal Year Activity Report, dated June 1993,
for the period October 1, 1992, through September 30, 1993. Workload
documentation submitted on any other version of form HUD-9902 is
unacceptable and will not be used by HUD under this grant award
activity. Applicants may obtain copies of the form from any HUD
Regional or Field Office.)
d. Grant amount requested by the grantee for FY 1994.
e. If the applicant had a previous HUD housing counseling grant,
the extent to which the applicant expended those funds under the most
recent grant. The amount of funds expended under the most recent grant
may determine the amount of funds awarded the applicant for FY 1994.
f. Client workload total for all applicants within a HUD Regional
Office.
g. Amount of housing counseling funds allocated to the HUD Regional
Office by Headquarters;
h. Payment of grantees by HUD on a per housing counseling unit
basis as set forth in Section I.B.5 of this NOFA.
i. Regional Offices' documented need for housing counseling
services within the areas served by the applicants.
j. HUD's assessment of the applicant's previous performance as a
HUD-approved housing counseling agency (i.e. Biennial Performance
Review), including the submission of the required report on FORM HUD-
9902.
k. In the case of previous grantees, the applicant's performance
under such grants in accordance with the terms of the grant agreement,
including the submission of the specific reports required under the
grant agreement.
II. Application Process
A. Obtaining and Submitting Applications
Applicants for grants may obtain copies of the Request for Grant
Application (RFGA) from the Regional Contracting Officer in the HUD
Regional Office that serves the area in which the applicant agency is
located. The RFGA contains the application submission address. A list
of the Regional Offices and their addresses follows the text of this
NOFA.
B. Application Deadline
The RFGA contains the application due date and contains the time by
which the HUD Regional Office must receive a grant application. (Please
see the ``Dates'' section at the beginning of this NOFA for further
information on the application due date.) ``Submit'' means delivery to
the HUD Regional Office specified in the RFGA and by the application
due date and time specified in the RFGA. A proper submission in
response to the RFGA must conform to the specifications in the RFGA.
HUD will not accept changes made by applicants to the document (i.e.,
forms, certifications and assurances) except for those specified in
Section IV.A of this NOFA.
III. Checklist of Application Submission Requirements
An applicant must submit the following items. An applicant must
submit three sets of each item, as specified below, with supporting
documentation ONLY as specified in the RFGA. Applicants must limit the
submission of material to that required by the individual form,
certification or assurance. HUD will not consider extraneous material
and will discard it. The RFGA also contains a checklist of the
application submission requirements.
1. Standard Form 424, Application for Federal Assistance.
2. Standard Form 424B, Assurances--Non-construction Programs.
3. Certification of a Drug-Free Workplace, in accordance with the
Drug-Free Workplace Act of 1988, and HUD's regulations at 24 CFR part
24, subpart F.
4. Anti-Lobbying certification in accordance with section 319 of
the Department of Interior and Related Agencies Appropriations Act for
Fiscal Year 1990 (31 U.S.C. 1352), and the regulations at 24 CFR part
87, if applicable. (See Section V of this NOFA concerning ``Federal
Lobbying Restrictions: The Byrd Amendment.'')
5. Form HUD-2880, Applicant/Recipient Disclosure/Update Report, as
required under subpart C of 24 CFR part 12, Accountability in the
Provision of HUD Assistance.
6. Disclosure of Lobbying Activities on SF-LLL must be used to
disclose lobbying with other than Federally appropriated funds at the
time of application, if the applicant deems it applicable.
7. Each applicant will be required to submit, at a minimum, and as
provided in the RFGA, assurances regarding the applicant's housing
counseling program to the effect that:
a. The applicant agency received its approval by HUD prior to the
date of issuance of the applicable RFGA, and currently has approval
from HUD. If a Biennial Performance Review has not been made by the HUD
Field Office, then a prior approval constitutes a current approval.
b. The applicant agency provided housing counseling to clients*
during the period October 1, 1992, through September 30, 1993, as
indicated on the applicant's Form HUD-9902, Housing Counseling Agency
Fiscal Year Activity Report, for that period. The applicant must submit
with their response to the RFGA a copy of the above-mentioned Form HUD-
9902. (* See HUD Handbook 7610.1 REV-3, dated June 1993, for a
definition of ``client.'')
c. HUD has or has not conducted a performance review of the
applicant agency's housing counseling program; whether, as a result of
the review, HUD re-approved the agency unconditionally or
conditionally; whether, if HUD granted a conditional approval because
of certain agency performance deficiencies, the applicant agency
corrected the deficiencies to HUD's satisfaction.
d. If the applicant agency received a counseling grant from HUD
during HUD's fiscal year 1990, 1991, or 1992, the agency complied with
all grant requirements.
e. The applicant agency submitted all reports required during the
most recent report year under the Handbook, and the grant document, if
any.
f. The number of clients listed as the applicant's documented
housing counseling client workload for 1992 is correct.
g. The agency can and will commence counseling services immediately
upon receipt of the award of a counseling grant to the applicant
agency.
h. The applicant will provide, at a minimum, the following types of
counseling (Exceptions from items (1) and (2) below are agencies
approved by HUD to perform only Home Equity Conversion Mortgage (HECM)
counseling, tenant counseling, or prepurchase counseling):
(1) Delinquency and default counseling to home buyers and
homeowners, and delinquency counseling to renters; and
(2) Mortgage assignment counseling to mortgagors with HUD-insured
mortgages having potential for assignment to HUD under the assignment
program.
(3) Fair housing counseling to inform renters and owners of their
rights and responsibilities under the Fair Housing Act.
i. The agency had an independent financial audit during the past
twenty-four (24) months.
j. The applicant administers its housing counseling program in
accordance with title VI of the Civil Rights Act of 1964, the Fair
Housing Act, Executive Order 11063, section 504 of the Rehabilitation
Act of 1973, the Age Discrimination Act of 1975, and the implementing
regulations for these authorities, and all other applicable
nondiscrimination and equal opportunity statutes and regulations.
k. The applicant provides its service without any conflict of
interest on the part of the applicant, including its staff, that might
compromise the agency's ability to represent fully the best interests
of the client in accordance with HUD Handbook 7610.1 REV-3, dated June
1993.
l. The applicant's clients reside in the U.S. Postal Service ZIP
Code areas listed by the applicant.
IV. Corrections to Deficient Applications
Immediately after the deadline for submission of applications,
applications will be screened to determine whether all items were
submitted. Applicants will be given an opportunity to cure
nonsubstantive deficiencies in their applications. The applicant must
submit corrections within 14 calendar days from the date of HUD's
deficiency notification or the application will not be considered.
A. Curable Deficiencies
The kinds of deficiencies which can be cured after the submission
date for applications include failure to submit or failure to include
the required signature(s) on the following documents or certifications:
Standard Form 424B, Assurances--Non-Construction Programs;
Certification of Drug-free Workplace; Anti-Lobbying Certification.
B. Noncurable Deficiencies
Failure to submit: 1. A completed and signed Standard Form 424,
Application for Federal assistance.
2. A signed Housing Counseling Program assurance and all of its
required documentation. Failure to submit these items will be
considered a non-response to the RFGA.
Note: HUD will not notify applicants who fail to submit any of
the above two required items. Failure to submit the documents
constitutes a non-response to the RFGA.
V. Other Matters
Environmental Impact
A Finding of No Significant Impact with respect to the environment
has been made in accordance with HUD regulations that implement section
102(2)(C) of the National Environmental Policy Act of 1969 (42 U.S.C.
4332). The Finding of No Significant Impact is available for public
inspection during business hours in the Office of the Rules Docket
Clerk, Office of General Counsel, room 10276, Department of Housing and
Urban Development, 451 Seventh Street, SW., Washington, DC 20410.
Federalism Executive Order
The General Counsel, as the Designated Official under section 6(a)
of Executive Order 12612, Federalism, has determined that this Notice
of Fund Availability 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.
Specifically, the purpose of the funding under this notice is to
provide grants to public and non-profit private agencies that assist
and advise housing consumers about how to develop competence and
responsibility in meeting their housing needs.
Family Executive Order
The General Counsel, as the Designated Official under Executive
Order 12606, the Family, has determined that this document may have
potential for significant beneficial impact on family formation,
maintenance, and general well-being to the extent that the activities
of grantees will provide families with the counseling and advice they
need to avoid rent delinquencies or mortgage defaults, and to develop
competence and responsibility in meeting their housing needs. Since the
impact on the family is considered beneficial, no further review under
the Order is necessary.
Prohibition Against Lobbying Activities: The Byrd Amendment
The use of funds awarded under this NOFA is subject to the
disclosure requirements and prohibitions of section 319 of the
Department of Interior and Related Agencies Appropriations Act for
Fiscal Year 1990 (31 U.S.C. 1352) (the ``Byrd Amendment''), and the
implementing regulations at 24 CFR part 87. These authorities prohibit
recipients of Federal contracts, grants, or loans from using
appropriated funds for lobbying the Executive or Legislative Branches
of the Federal Government in connection with a specific contract,
grant, or loan. The prohibition also covers the awarding of contracts,
grants, cooperative agreements, or loans unless the recipient has made
an acceptable certification regarding lobbying. Under 24 CFR part 87,
applicants, recipients, and subrecipients of assistance exceeding
$100,000, and applicants for Federal commitments exceeding $150,000
must certify that no Federal funds have been or will be spent on
lobbying activities in connection with the assistance.
Indian Housing Authorities (IHAs) established by an Indian tribe as
a result of the exercise of the tribe's sovereign power are excluded
from coverage of the Byrd Amendment, but IHAs established under State
law are not excluded from the statute's coverage.
Prohibition Against Lobbying of HUD Personnel
Section 13 of the Department of Housing and Urban Development Act
(42 U.S.C. 3537b) contains two provisions dealing with efforts to
influence HUD's decisions with respect to financial assistance. The
first imposes disclosure requirements on those who are typically
involved in these efforts--those who pay others to influence the award
of assistance or the taking of a management action by the Department
and those who are paid to provide the influence. The second restricts
the payment of fees to those who are paid to influence the award of HUD
assistance, if the fees are tied to the number of housing units
received or are based on the amount of assistance received, or if they
are contingent upon the receipt of assistance.
HUD's regulation implementing section 13 is codified at 24 CFR part
86. If readers are involved in any efforts to influence the Department
in these ways, they are urged to read the final rule, particularly the
examples contained in Appendix A of the rule. Appendix A of this rule
contains examples of activities covered by this rule.
Any questions concerning the rule should be directed to the Office
of Ethics, Room 2158, Department of Housing and Urban Development, 451
Seventh Street, SW., Washington DC 20410. Telephone: (202) 708-3815
(voice/TDD). This not a toll-free number. Forms necessary for
compliance with the rule may be obtained from the local HUD office.
Prohibition Against Advance Disclosure of Funding Decisions
HUD's regulations implementing section 103 of the Department of
Housing and Urban Development Reform Act (HUD Reform Act) are codified
at 24 CFR part 4 and apply to the funding competition announced today.
The requirements of part 4 continue to apply until the announcement of
the selection of successful applicants.
HUD employees involved in the review of applications and in the
making of funding decisions are restrained by part 4 from providing
advance information to any person (other than an authorized employee of
HUD) concerning funding decisions, or from otherwise giving any
applicant an unfair competitive advantage. Persons who apply for
assistance in this competition should confine their inquiries to the
subject areas permitted by 24 CFR part 4. (See also section I.B.4 of
this NOFA.)
Applicants who have questions should contact the HUD Office of
Ethics (202) 708-3815 (voice/TDD). (This is not a toll-free number.)
Accountability in the Provision of HUD Assistance
HUD's regulation implementing section 102 of the HUD Reform Act is
codified at 24 CFR part 12. Section 102 contains 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 16, 1992 (57 FR 1942), following publication of the final rule,
HUD published additional information that gave the public (including
applicants for, and recipients of, HUD assistance) further information
on the implementation, public access, and disclosure requirements of
section 102. The requirements of section 102 are applicable to
assistance awarded under this NOFA.
HUD will ensure 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
quarterly Federal Register notice of all recipients of HUD assistance
awarded on a competitive basis. (See 24 CFR 12.14(a) and 12.6(b), and
the notice published in the Federal Register on January 16, 1992 (57 FR
1942) for further information on these requirements.
Catalog of Federal Domestic Assistance Program The Catalog of
Federal Domestic Assistance Program number is 14.169.
Dated: March 11, 1994.
Nicolas P. Retsinas,
Assistant Secretary for Housing--Federal Housing Commissioner.
HUD Regional Offices
Address all inquiries to U.S. Department of Housing and Urban
Development, Attention: Regional Contracting Officer, in the
Regional Office that serves your State. Telephone numbers are NOT
toll-free.
Region I--Connecticut, Maine, Massachusetts, New Hampshire, Rhode
Island, Vermont
Thomas P. O'Neill, Jr. Federal Building, 10 Causeway Street,
Room 375, Boston, MA 02222-1092, (617) 565-5234
Region II--New Jersey, New York
26 Federal Plaza, New York, NY 10278-0068, (212) 264-6500
Region III--Delaware, Maryland, Pennsylvania, Virginia, Washington
(D.C.), West Virginia
Liberty Square Building, 105 South 7th Street, Philadelphia, PA
19106-3392, (215) 597-2560
Region IV--Alabama, Florida, Georgia, Kentucky, Mississippi, North
Carolina, Puerto Rico, South Carolina, Tennessee
Richard B. Russell Federal Building, 75 Spring Street S.W.,
Atlanta, GA 30303-3388, (404) 331-5136
Region V--Illinois, Indiana, Michigan, Minnesota, Ohio, Wisconsin
Ralph H. Metcalfe Federal Building, 77 West Jackson Boulevard,
Chicago, Illinois 60604, (312) 353-5680
Region VI--Arkansas, Louisiana, New Mexico, Oklahoma, Texas
1600 Throckmorton, Post Office Box 2905, Fort Worth, TX 76113-
2905, (817) 885-5401
Region VII--Iowa, Kansas, Missouri, Nebraska
Gateway Tower II, 400 State Avenue, Kansas City, KS 66101-2406,
(913) 551-5462
Region VIII--Colorado, Montana, North Dakota, South Dakota, Utah,
Wyoming
Executive Tower Building, 1405 Curtis Street, Denver, CO 80202-
2349, (303) 844-4513
Region IX--Arizona, California, Hawaii, Nevada
Phillip Burton Federal Building, and U.S. Court House, 450
Golden Gate Avenue, Post Office Box 36003, San Francisco, CA 94102-
3448, (415) 556-4752
Region X--Alaska, Idaho, Oregon, Washington
Federal Office Building, 909 First Avenue, Suite 200, Seattle,
WA 98104-1000, (206) 220-5101
[FR Doc. 94-6482 Filed 03-18-94; 8:45 am]
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