[Federal Register Volume 64, Number 153 (Tuesday, August 10, 1999)]
[Notices]
[Pages 43530-43549]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-20429]



[[Page 43529]]

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Part V





Department of Housing and Urban Development





_______________________________________________________________________



Notice of Funding Availability: Resident Opportunities and Self 
Sufficiency (ROSS) Program; Notice

  Federal Register / Vol. 64, No. 153 / Tuesday, August 10, 1999 / 
Notice  

[[Page 43530]]



DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

[Docket No. FR-4520-N-01]


Notice of Funding Availability: Resident Opportunities and Self 
Sufficiency (Ross) Program (Formerly Economic Development and 
Supportive Services, Tenant Opportunities Program and Public Housing 
Service Coordinators)

AGENCY: Office of Public and Indian Housing, HUD.

ACTION: Notice of funding availability (NOFA).

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SUMMARY:

Purpose of Program

    The purpose of ROSS is to link services to public and Indian 
housing residents by providing grants for supportive services, resident 
empowerment activities and activities to assist residents in becoming 
economically self-sufficient.

Available Funds

    Approximately $66.6 million is being made available for the ROSS 
Program under this NOFA.

Eligible Applicants

    Grants may be made to Public Housing Agencies (PHAs) on behalf of 
public housing residents, or directly to resident management 
corporations, resident councils, or resident organizations (including 
nonprofit entities supported by residents). Intermediary Resident 
Organizations (IROs) and those non-profits that operate associations 
and networks that administer programs benefiting public and assisted 
resident organizations are also eligible recipients for ROSS funding 
categories where specifically noted in this NOFA. Indian Tribes 
(Tribes) and Tribally designated housing entities (TDHEs) are eligible 
for grants under the Technical Assistance/Training Support for Resident 
Organizations and Resident Service Delivery Models (RSDM) funding 
categories.

Application Deadline

    Completed applications (one original and two copies) must be 
submitted by the time described in section I. of this NOFA, below, on: 
October 12, 1999 for Resident Management and Business Development; 
October 12, 1999 for Capacity Building and/or Conflict Resolution; 
November 8, 1999 for Resident Service Delivery Models; and September 9, 
1999 for Service Coordinators.

Match

    All grants require a match of at least 25% of the grant amount. 
This match does not have to be a cash match. It can be in-kind and/or 
cash contributions.

Additional Information

    If you are interested in applying for funding under any of these 
programs, please review carefully the following information.

I. Application Due Date, Application Kits, Further Information and 
Technical Assistance

Application Due Date

    Except for the Resident Service Delivery Models funding category, 
eligible applications will be funded on a first-come, first-served 
basis, and applicants are urged to make their submissions as soon as 
possible before the due dates listed above.
(1) Mailed Applications (Other than Overnight or Express Mail Delivery)
    Your application will be considered timely filed if postmarked 
before midnight, local time, on the application due date and received 
on or within ten (10) days of the application due date.
(2) Applications Sent by Overnight/Express Mail Delivery
    Applications sent by overnight delivery or express mail will be 
considered timely filed if received before or on the application due 
date, or upon submission of documentary evidence that they were placed 
in transit with the overnight delivery service by no later than the 
specified application due date.
(3) Hand Carried Applications
    Applications must be delivered by 6:00 pm local time on the due 
date. Hand carried applications will be accepted during normal business 
hours before the application due date. On the application due date, 
business hours will be extended to 6:00 pm.

Address for Submitting Applications

    By the application due date an original and one copy of the 
application must be received at the Grants Management Center (GMC); one 
copy must be received at the local Field Office with delegated public 
or assisted housing responsibilities attention: Director, Office of 
Public Housing, or, in the case of Indian Tribes/TDHEs, an original and 
one copy to ONAP, Denver Program Office, 1999 Broadway, Suite 3390, 
Denver, CO 80202. Applications, other than those from Tribes/TDHEs, 
should be sent to the GMC at the following address: Grants Management 
Center, Attention: Director, 501 School Street, SW, Suite 800, 
Washington, DC 20024. A list of HUD Field Offices is included in the 
application kit for this NOFA.

For Application Kits

    For an application kit and any supplemental information please call 
the PIH Information and Resource Center at 1-800-955-2232. Persons with 
hearing or speech impairments may call the Center's TTY number at 1-
800-HUD-2209. The application kit also will be available on the 
Internet through the HUD web site at http://www.hud.gov. When 
requesting an application kit, please refer to ROSS and provide your 
name, address (including zip code), and telephone number (including 
area code).

For Further Information and Technical Assistance

    For answers to your questions, you have several options. For ROSS 
and any of its funding categories, you may call the local HUD field 
office with delegated responsibilities over the pertinent housing 
agency/authority. Answers may also be obtained by calling the Public 
and Indian Housing Information and Resource Center at 1-800-955-2232. 
Information on this NOFA may also be obtained through the HUD web site 
on the Internet at http://www.HUD.gov.

II. Amount Allocated

(A) Total Amount

    Approximately $66.6 million in funding is being made available 
under this NOFA. This amount is comprised of approximately $40 million 
from the Departments of Veterans Affairs and Housing and Urban 
Development, and Independent Agencies Appropriations Act, 1999, (Pub. 
L. 105-276, 112 Stat. 2461, approved October 21, 1998), (FY 1999 
Appropriations Act), and approximately $26.6 million of carryover funds 
from the Departments of Veterans Affairs and Housing and Urban 
Development and Independent Agencies Appropriations Act, 1998 (Pub. L. 
105-65, 111 Stat. 1344, approved October 27, 1997), (FY 1998 
Appropriations Act).

(B) Allocation

    To the extent that there are a sufficient number of qualified 
applications, not less than 25% percent of funds available for ROSS 
shall be provided directly to resident councils, resident 
organizations, and resident management corporations. This requirement 
will be implemented by the awards made to resident organizations for 
the Technical Assistance/Training

[[Page 43531]]

Support for Resident Organizations and the Resident Service Delivery 
Models funding categories.

III. General Program Description; Funding Categories

(A) General Program Description

    The Quality Housing and Work Responsibility Act of 1998 (the Public 
Housing Reform Act) (title V of the FY 1999 Appropriations Act) 
institutes various public housing reforms aimed at creating mixed 
income communities. Reforms contained in the Public Housing Reform Act 
will: reduce the costs of public and assisted housing by streamlining 
regulations; facilitate the formation of local partnerships; leverage 
State, local, and private resources; and uphold and protect residents' 
right to organize and empower themselves to improve their own 
communities. Specific provisions grant Public Housing Agencies (PHAs) 
increased flexibility to develop local situations to address housing 
needs, but they are required to use that flexibility to better serve 
their residents by creating healthier, more economically integrated 
communities. Several initiatives are intended to enhance the quality of 
life for public housing residents while promoting self-sufficiency and 
personal responsibility in communities.
    Section 538 of the Public Housing Reform Act adds a new section 34 
to the United States Housing Act of 1937 which provides a mandate to 
link services and public housing residents for economic self-
sufficiency. The Resident Opportunities and Self Sufficiency (ROSS) 
Program responds to this initiative by redefining, restructuring and 
consolidating certain aspects of previous programs while incorporating 
objectives contained in the Public Housing Reform Act.
    The newly enacted legislative authority formally recognizes a vital 
connection between providing housing delivery and other services that 
are necessary for improvements in the quality of life for public 
housing residents. Through ROSS the Department will programmatically 
address essential links of services to public housing residents. The 
purpose of ROSS is to provide linkages to public housing residents by 
providing supportive services, resident empowerment activities and 
assisting residents in becoming economically self-sufficient. This 
program purpose is consistent with the Department's goal to most 
effectively focus resources on ``welfare to work'' and on independent 
living for the elderly and persons with disabilities. HUD believes that 
it is imperative that housing authorities and residents work together 
to meet the challenge of welfare reform.
    Under the ROSS Program, priority will be given to funding those 
models that are successful models and may have proven themselves on a 
limited basis in practical situations. The ROSS Program seeks to 
provide assistance to implement practical solutions within the grant 
term, thereby delivering results in the form of improved economic self-
sufficiency for public housing residents. This philosophy should be 
reflected in the proposed grant activities for all funding categories 
within the ROSS program.
    As indicated in section II., above, of this NOFA, the funding 
sources for this first ROSS Program NOFA are the FY 1997 Appropriations 
Act, the FY 1998 Appropriations Act and the FY 1999 Appropriations Act, 
specifically, from funds made available under these Acts for Economic 
Development and Supportive Services (EDSS), the Tenant Opportunities 
Program (TOP), and Public Housing Service Coordinators. HUD has 
determined that these programs are sufficiently similar to the new ROSS 
Program under section 34 of the 1937 Act to permit the funds 
appropriated for them to be made available under ROSS. However, the 
specific statutory provisions under the FY 1997, 1998 and 1999 
Appropriations Acts that apply to the use of these funds must still be 
observed, even though they do not appear in section 34. For example, 
Indian Tribes and TDHEs are eligible for funding under the FY 1998 and 
1999 Appropriations Acts, and they are eligible under this NOFA 
although section 34 does not mention them. Similarly, the provisions in 
this NOFA that Section 8 recipients may be among those participating or 
receiving benefits are taken from the Appropriations Acts; section 34 
only permits public housing residents, not Section 8 recipients, to 
participate and receive benefits. HUD anticipates that funding in 
subsequent appropriations acts will be specifically targeted for 
section 34, and the ``blending'' of requirements to address statutory 
provisions, as in this NOFA, will not be necessary.

(B) Funding Categories

    The following are funding categories under ROSS:
(1) Technical Assistance/Training Support for Resident Organizations
    (a) Resident Management and Business Development. Resident 
Management and Business Development grants will be made directly to 
resident organizations and to Tribes/TDHEs that partner with Tribal 
resident organizations (ROs) and Tribal resident management 
corporations (RMCs) to: increase resident involvement and participation 
in their housing developments; develop resident management 
opportunities; provide resident-led business or cooperative development 
opportunities; and obtain necessary supportive services for self-
sufficiency. (See section IV.(A) of this NOFA for a specific 
requirements for this funding category.)
    (b) Resident Capacity Building and/or Conflict Resolution. The 
Resident Capacity Building funding category provides grants to 
Intermediary Resident Organizations (IROs) on behalf of public housing 
residents, which include Public Housing Site-Based Resident Councils; 
Resident Management Corporations; and Tribes/TDHEs on behalf of tribal 
housing residents, Tribal ROs and Tribal RMCs; and those non-profits 
which operate associations and networks that administer programs that 
benefit public and Tribal housing resident organizations, for 
assistance to site-based resident associations who do not yet have the 
capacity to administer a welfare-to-work program or conduct management 
activities. The funds will be used to help establish new resident 
organizations or enhance the capacity of existing organizations to 
enable them to participate in housing agency decision-making, manage 
all or a portion of their developments, and/or apply for and administer 
grants. (See section IV.(B) of this NOFA for specific requirements for 
this funding category). The Conflict Resolution (CR) funding category 
provides assistance to Intermediary Resident Organizations (IROs), 
Tribes/TDHEs that partner with Tribal resident organizations and Tribal 
resident management corporations, and those non-profits which operate 
associations and networks that administer programs that benefit public 
and Tribal housing resident organizations, to partner with professional 
mediators to resolve conflicts involving public housing residents, 
tribal housing residents, and/or site-based resident associations. (See 
section IV.(B) of this NOFA for a specific requirements for this 
funding category.)
(2) Resident Service Delivery Models
    The Resident Service Delivery Models (RSDM) funding category 
provides grants to Public Housing Agencies (PHAs), Indian Tribes and 
Tribally designated housing entities (TDHEs) on behalf of public and 
Tribal housing residents, or directly to resident management 
corporations, resident

[[Page 43532]]

councils, or resident organizations, including nonprofit entities 
supported by residents. There are two types of grants: (1) Family--
program related and supportive services to establish and implement 
comprehensive programs that achieve resident self-sufficiency for 
families, or (2) Elderly and Disabled--independent living for the 
elderly and persons with disabilities. (See section V. of this NOFA for 
a specific requirements for this funding category.)
(3) Service Coordinator Renewals
    The Service Coordinator grant category provides resources to PHAs 
to address the needs of public housing residents who are elderly and 
disabled persons. Service coordinators help residents obtain supportive 
services that are needed to enable independent living. Only renewals of 
prior Public Housing Elderly and Disabled Service Coordinator grants 
will be funded under this NOFA; no applications for new Service 
Coordinator grants will be accepted. (See section VI. of this NOFA for 
a specific requirements for this funding category.)
(C) Number of Applications Permitted
    Each applicant may submit no more than one application under this 
NOFA. The only exception is that applicants for Service Coordinator 
Renewal grants under section VI. of this NOFA may also apply in one 
additional funding category. To avoid a duplication of funding, in any 
funding category listed here (Resident Management and Business 
Development; Capacity Building, Conflict Resolution; Resident Service 
Delivery Models--Family, Resident Service Delivery Models--Elderly/
Disabled), there may be no more than one application per PHA 
development. (i.e., a PHA and one of its RAs may not both successfully 
submit an application for a Resident Service Delivery Models'Family 
grant to serve the same development.)

IV. Technical Assistance/Training Support for Resident 
Organizations

(A) Resident Management and Business Development

(1) Program Description
    These grants are available to establish and strengthen 
organizational capacity for site-based resident associations that do 
not have the capacity to administer a welfare-to-work program or 
conduct management activities.
(2) Amount Allocated
    (a) A total of $6 million, of which $500,000 is for Tribes/TDHEs 
that partner with Tribal ROs and Tribal RMCs, is being made available 
for awards to qualified applicants for Resident Management and Business 
Development (RMBD) grants.
    (b) Maximum Grant Award for this funding category shall be $100,000 
per applicant.
(3) Eligible Applicants
    Site-Based Resident Associations (RAs), City-Wide Resident 
Organizations (CWROs), and Tribes/TDHEs that partner with Tribal ROs 
and Tribal RMCs. If an RA is a beneficiary or recipient of proposed 
grant activities by a CWRO, then that RA cannot also apply under this 
category. Previous TOP grantees must demonstrate that they have spent 
at least 75 percent of any prior grant by the publication date of this 
NOFA. Applications from a Tribe or TDHE must include a Memorandum of 
Understanding (MOU) (see section IV.(A)(8)(b), below, of this NOFA) 
with the Tribal RO or RMC.
(4) Eligible Participants
    For applications that are not from a Tribe or TDHE, at least 75 
percent of the persons participating and receiving benefits from RMBD 
activities must be residents of conventional public housing; any other 
persons (up to 25 percent per grantee) participating or receiving 
benefits from these programs must be recipients of Section 8 
assistance. In addition, all applicants must provide evidence that at 
least 51 percent of those served by the activities are households 
affected by welfare reform.
(5) Eligible Activities
    Under this funding category funds may be used for the activities 
described below.
    (a) Training related to resident-owned business or cooperative 
development and technical assistance for job training and placement in 
RMC developments;
    (b) Technical assistance and training in resident managed business 
development through: feasibility and market studies; development of 
business plans; outreach activities; and innovative financing methods 
including revolving loan funds and the development of credit unions; 
and legal advice in establishing a resident-managed business entity or 
cooperative.
    (c) Establishing and funding revolving loan funds;
    (d) Training residents, as potential employees of an RMC, in skills 
directly related to the operation, management, maintenance and 
financial systems of a development;
    (e) Training residents with respect to fair housing requirements; 
and
    (f) Gaining assistance in negotiating management contracts and 
designing a long-range planning system.
    (g) Providing social support needs (such as self sufficiency and 
youth initiatives) including:
    (i) Feasibility studies to determine training and social services 
needs;
    (ii) Training in management-related trade skills, computer skills, 
and similar skills;
    (iii) Management-related employment training and counseling 
including job search assistance, job development assistance, job 
placement assistance, and follow up assistance;
    (iv) Supportive services including: child care services; 
educational services, remedial education, literacy training, ESL 
instruction, assistance in attaining a GED; vocational training 
including computer training; health care outreach and referral 
services; meal services for the elderly or persons with disabilities; 
personal assistance to maintain hygiene/appearance for the elderly or 
persons with disabilities; housekeeping assistance for the elderly or 
persons with disabilities; transportation services; congregate services 
for the elderly or persons with disabilities; and case management;
    (v) Training for programs such as child care, early childhood 
development, parent involvement, volunteer services, parenting skills, 
before and after school programs;
    (vi) Training programs on health, nutrition, safety and substance 
abuse;
    (vii) 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;
    (viii) 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 agency staff, resident management 
corporations and resident councils on youth initiatives and program 
activities;
    (ix) Physical improvements to facilities at public housing 
developments in order to provide space for self-sufficiency activities 
for residents, i.e. to provide cosmetic improvements and repairs to 
space to conduct community activities; or to expand existing community 
space for proposed ROSS activities. Physical

[[Page 43533]]

improvements may not exceed 50% of the total grant amount and must be 
directly related to providing space for self-sufficiency activities for 
residents. Refer to Office of Management and Budget (OMB) Circular A-
87, Cost Principles for State, Local and Indian Tribal Governments;
    (1) Renovation, conversion, and repair costs may be essential parts 
of physical improvements. In addition, architectural, engineering, and 
related professional services required to prepare architectural plans 
or drawings, write-ups, specifications or inspections may also be part 
of the cost components to implement physical improvements.
    (2) The renovation, conversion, or combination of vacant dwelling 
units in a PHA development to create common areas to accommodate the 
provision of supportive services is an eligible activity for physical 
improvement.
    (3) The renovation of existing common areas in a PHA development to 
accommodate the provision of supportive services.
    (4) The renovation or repair of facilities located near the 
premises of one or more PHA developments to accommodate the provision 
of supportive services.
    (5) Each applicant must submit a description of the renovation or 
conversion to be conducted along with a budget and timetable for those 
activities.
    (6) Each applicant must demonstrate a firm commitment of assistance 
from one or more sources ensuring that supportive services will be 
provided for not less than 2 years following the completion of 
renovation, conversion, or repair activities funded under this NOFA.
    (7) If renovation, conversion, or repair is done off-site, the PHA 
must provide documentation that it has control of the proposed property 
for not less than 2 years and preferably for 4 years or more. Control 
can be evidenced through a lease agreement, ownership documentation, or 
other appropriate documentation.
(6) Ineligible Resident Management and Business Development Activities 
and Costs
    Ineligible activities and costs include the following:
    (a) Entertainment, including associated costs such as food and 
beverages, except normal per diem for meals related to travel performed 
in connection with implementing the Work Plan. (See Travel Notice for 
more specific guidance.)
    (b) Purchase or rental of land.
    (c) 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).
    (d) Purchase of any vehicle (car, van, bus, etc.).
    (e) Payment of salaries for routine project operations, such as 
security and maintenance, or for applicant staff, except that a 
reasonable amount of grant funds may be used to hire a person to 
coordinate the Resident Management and Business Development grant 
activities or coordinate on-site social services.
    (f) Payment of fees for lobbying services.
    (g) Any expenditures that are fraudulent, wasteful or otherwise 
incurred contrary to HUD or OMB directives.
    (h) Any cost otherwise eligible under this program section of this 
NOFA for which funds are being provided from any other source.
    (i) Entertainment equipment such as televisions, radios, stereos, 
and VCRs. An exception to this item may be granted by the HUD Field 
Office or AONAP or if funding is being utilized specifically 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 
exceptions must be authorized in writing by the HUD Field Office or 
AONAP before purchases may be made.
    (j) Any activity or cost determined by HUD on a case-by-case good 
cause basis to be ineligible.
(7) Application Submission Requirements
    In addition to addressing the application submission requirements 
listed in section IX., below, of this NOFA, Resident Management and 
Business Development grant applications must include a description of 
how they will carry out and fund the following activities and costs:
    (a) 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; and training in accessing other 
funding sources.
    (b) Hiring trainers or other experts. Resident grantees must ensure 
that all training is provided by a qualified public housing or 
management specialist (Consultant/Trainer), HUD Headquarters, AONAP or 
Field staff or the local PHA. To ensure the successful implementation 
of the grant Work Plan activities, the applicants are required to 
determine the need to contract for outside consulting/training 
services. The applicant and the PHA must jointly select and approve the 
consultant/trainer. Each applicant should make maximum use of its PHA, 
non profit, or other Federal, State, Tribal or local government 
resources for technical assistance and training needs. The amount 
allowed for hiring an individual consultant for this purpose shall not 
exceed 30% of the total grant award or $30,000, whichever is less. The 
amount available for all consultants and contracts shall not exceed 50% 
of the grant or $50,000 whichever is less. HUD Field Offices and AONAPs 
will monitor this process to ensure compliance with program and OMB 
requirements, and particularly the requirement for competitive bidding.
    (c) Stipends. Trainees and program participants of an RA, CWRO, or 
Tribe/TDHE may only receive stipends for participating in or receiving 
training under RM to cover the reasonable costs related to 
participation in training and other activities in the 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 Field Office or AONAP 
authorization.
    (d) 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.
    (e) Travel directly related to the successful completion of the 
required Work Plan. All grantees must adhere to the travel policy 
established by HUD Notice 96-18. The policy sets travel costs at a 
maximum amount of $5,000 per RA without special HUD approval.
    (f) Child care expenses for individual staff, board members, or 
residents in cases where those who need child care are involved in 
training-related activities associated with grant activities.
    (g) Costs incurred by a RA in applying for 501(c) tax exempt status 
with Internal Revenue Service.
    (h) Administrative costs. These costs are necessary for the 
implementation of grant activities. Administrative costs are not to 
exceed 20% of the grant. Appropriate administrative costs include, but 
are not limited to, the following reasonable costs or activities:

[[Page 43534]]

    (i) Space and equipment. Maintenance, utility costs, postage, 
building lease/rental costs, purchase or lease of 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 or space based on services being delivered in 
relationship to implementing its approved grant activities.
    (ii) Grant contract and financial management. If a grantee is 
unable to obtain the services of a Contract Administrator or accountant 
without charge, the cost for a Contract Administrator and or accountant 
is eligible. The grantee is required to maintain documentation on file 
showing what efforts it made to obtain the services of a Contract 
Administrator cost-free.
    (iii) Technical assistance regarding any other service and/or 
resource, including case management, that are proposed by applicants 
and approved by HUD.
    (iv) Rental or lease of a car, van, or bus by resident grantees to 
attend training;
(8) Threshold Requirements
    (a) Focus on Residents Affected by Welfare Reform. The application 
must contain written evidence provided by the PHA to the applicant, or 
by Tribe or TDHE that at least 51 percent of the public or Tribal 
housing residents (including Section 8 tenants as applicable) to be 
included in the proposed program are affected by the welfare reform 
legislation, including TANF recipients and, if affected, legal 
immigrants and SSI recipients. Elderly or disabled residents not 
otherwise affected by welfare reform may be included towards meeting 
the 51 percent requirement if, under the grant, they will provide 
services such as child care or mentoring to persons affected by welfare 
reform.
    (b) Partnership between the Resident Association and the PHA or the 
Tribal RO or RMC and the Tribe/TDHE.
    (1) The application must contain a signed Memorandum of 
Understanding (MOU) between the RA and the PHA or the Tribe/TDHE and 
the Tribal RO or RMC which describes the specific roles, 
responsibilities and activities to be undertaken between the two 
entities.
    (2) The MOU, at a minimum, must identify the principal parties 
(i.e. the name of the PHA and RA or the Tribe/TDHE and the Tribal RO or 
RMC), the terms of the agreement (expectations or terms for each 
party), and indicate that the agreement pertains to the support of the 
grant application. This document is the basis for foundation of the 
relationship between the RA and PHA or the Tribe/TDHE and the Tribal RO 
or RMC. 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 PHA or the Tribe/TDHE and the Tribal RO or RMC upon submission of 
the application. A sample MOU will be provided in the application kit.
    (c) Accessible Community Facility. The applicant must provide 
evidence (e.g. through an executed use agreement and/or in the MOU with 
the PHA) that a majority of the proposed activities will be 
administered at community facilities within easy access (i.e., walking 
or by direct (no transfers required), convenient, inexpensive and 
reliable transport) of the property or properties represented by the 
applicant. The community facility must also meet the structural 
accessibility requirements of section 504 of the Rehabilitation Act and 
the Americans with Disabilities Act.
    (d) Match Requirement.
    (1) The applicant must supplement grant funds with an in-kind and/
or cash match of not less than 25% of the grant amount. This match does 
not have to be a cash match. The match may include: the value of in-
kind services, contributions or administrative costs provided to the 
applicant; funds from Federal sources (but not ROSS, EDSS, TOP or SC 
funds); funds from any State or local government sources; and funds 
from private contributions.
    (2) The application must demonstrate that the cash or in-kind 
resources and services, which the applicant will use as match amounts 
(including resources from the applicant's Comprehensive Grant, other 
governmental units/agencies of any type, and/or private sources, 
whether for-profit or not-for-profit), are firmly committed and will 
support the proposed grant activities. ``Firmly committed'' means there 
must be a written agreement to provide the resources and services, 
signed by an official legally able to make commitments on behalf of the 
organization. The written agreement may be contingent upon an applicant 
receiving a grant award.
    (3) The following are guidelines for valuing certain types of in-
kind contributions:
    (i) The value of volunteer time and services shall be computed at a 
rate of six dollars per hour except that the value of volunteer time 
and services 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 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 activity is located, as appropriate.
    (e) Contract Administrator. For applicants other than Tribes/TDHEs, 
unless HUD or an Independent Public Accountant has determined that the 
applicant's financial management system and procurement procedures 
fully comply with 24 CFR part 84, the application must contain evidence 
that the applicant will use the services of a Contract Administrator in 
administering the grant. Troubled PHAs are not eligible to be Contract 
Administrators. In cases where the Contract Administrator is the PHA, 
the contract administration responsibilities can be incorporated into 
the MOU discussed above.
    (f) Applicant Non-Profit Status. Applications that are RAs/RCs/
RMCs/CWROs must include evidence that the applicant is registered with 
the State as a nonprofit corporation at the time of application 
submission. CWROs only must have 501(c) status with the United States 
Internal Revenue Service at the time of application submission.
    (g) Certification of Elections. Resident Organization applicants 
must submit certification of the RA board election, signed by the local 
PHA and/or an independent third-party monitor and notarized.
    (h) Compliance with Current Programs. The applicant must provide a 
valid certification on the format provided in the application kit that 
it is not the subject of unresolved HUD Office of Inspector General 
findings and that it and the contract administrator are not in default 
at the time of application submission with respect to any previous HUD-
funded grant programs the applicant or contract administrator has 
received.
    (i) List of RAs Receiving Support. CWRO applications must list in 
their application the name of the RAs that will receive services and 
must submit letters of support from each RA identified in the 
application.
(9) Application Selection Process
    Applicants for Resident Management and Business Development grants 
are required to address application submission requirements, but are 
not

[[Page 43535]]

required to address selection factors. Eligibility will be determined 
by applications that meet the threshold requirements of sections 
IV.(A)(8) and VII. of this NOFA. HUD will accept for funding the first 
five eligible applications from each of the ten federal regions and 
from ONAP National Program Office in Denver (ONAP) on a first-come, 
first-serve basis for 60 days after this NOFA is published. Any funds 
remaining after making awards to the first five eligible applications 
from each region and ONAP will be awarded to the next eligible 
application from each region or ONAP, then the next, and so forth until 
funds are exhausted. If sufficient funds are not available in any round 
to fund an eligible application from each region, the eligible 
applications will then be funded in the order in which they were 
received regardless of region. If sufficient funds are not available in 
any round to fund an eligible application from ONAP, or if funds remain 
available after funding every eligible ONAP application, the remaining 
funds are transferable to other funding categories in this NOFA in the 
following order: first, to qualifying applications from Tribes/TDHEs 
for Resident Service Delivery Model grants under section V. of this 
NOFA; second to qualifying applications from Tribes/TDHEs for Resident 
Capacity Building and/or Conflict Resolution grants under section 
IV.(B) of this NOFA; third, to qualifying applications for Resident 
Management and Business Development grants under this section IV.(A) 
from applicants that are not Tribes/TDHEs. In addition, if all funds 
are not awarded in this funding category to eligible regional 
applications received within 60 days after this NOFA is published, 
funds are transferable to other non-Tribe/TDHE funding categories in 
this NOFA in the following order: first, service coordinators under 
section VI. of this NOFA; second, Resident Capacity Building and/or 
Conflict Resolution under section IV.(B) of this NOFA; third, Resident 
Service Delivery Models under section V. of this NOFA. Where physical 
development activities are proposed, HUD will perform an environmental 
review, to the extent required by 24 CFR part 50, prior to award. The 
results of the environmental review may require that proposed 
activities be modified or proposed sites rejected.
(10) Grant Term
    The grant term for Resident Management and Business Development 
grants is thirty-six months from the execution date of the grant 
agreement.

(B) Capacity Building and/or Conflict Resolution

(1) Program description
    These grants are available for two types of awards:
    (a) Conflict Resolution Grants (CR) are available to secure the 
services of professional mediators to resolve conflicts involving 
public or Tribal housing residents and/or Site-Based Resident 
Associations or Tribal ROs or RMCs. For Conflict Resolution Grants, a 
skilled mediator or partner, under the auspices of an applicant, will 
bridge impasses between residents and/or factions within specific 
developments, among active participants of a Site-Based Resident 
Association (RA) or Tribal ROs or RMCs, or between an RA or Tribal RO 
or RMC and its partners, especially local Housing Agencies. The scope 
of conflict resolution activities may include support for multicultural 
cooperation and communication. The applicant must apply in partnership 
with a recognized professional mediation organization. All mediators 
must have entered into at least one referral agreement with judicial, 
law enforcement or social services agencies to mediate for public 
housing residents served by the agency. After awarding the grants, HUD 
would refer cases requiring mediation to the grantee. Also conflicting 
parties, on their own initiative, could make requests for mediation 
services directly to the grantee. While mediating for residents and 
their partners, the professional mediators would also train grantee 
staff in mediation principles and skills for mediation in the future.
    (b) Capacity Building Grants (CB) are available to provide 
technical assistance and training activities to establish and 
strengthen organizational capacity for site-based resident associations 
or Tribal ROs or RMCs that do not have the capacity to administer 
welfare-to-work and other programs, work with PHAs, Tribes or TDHEs, or 
conduct management activities. Capacity Building Grants will be 
targeted to help establish new site-based resident organizations or 
enhance the capacity of existing organizations to assist residents, 
participate in Housing Agency decision making, manage all or a portion 
of their housing development, and develop skills and expertise needed 
to administer grants.
(2) Amount Allocated for Capacity Building and/or Conflict Resolution
    (a) $5 million is available for CB/CR awards, of which $400,000 is 
for applications from Indian Tribes or TDHEs.
    (b) The maximum grant award will be $15,000 per RA represented, up 
to the following maximums: $105,000 for City-Wide Resident 
Organizations (CWROs), Indian Tribes, or TDHEs and $240,000 per 
applicant for all other applicants in these funding categories. An 
applicant that is not a CWRO, an Indian Tribe, or a TDHE is required to 
serve a minimum of 10 RAs.
(3) Eligible applicants
    (a) Intermediary Resident Organizations (IROs) on behalf of public 
housing residents, which include Public Housing Site-Based Resident 
Councils; Resident Management Corporations; and Tribes/TDHEs on behalf 
of tribal housing residents, Tribal ROs and Tribal RMCs may apply for 
Capacity Building and/or Conflict Resolution grants. IROs include 
National Resident Organizations, Statewide Resident Organizations, 
Regional Resident Organizations, City-Wide Resident Organizations, and 
Jurisdiction-Wide Resident Organizations.
    (b) Non-profits that operate as associations and/or networks that 
administer programs that benefit public and Tribal housing resident 
organizations are also eligible for this funding category.
    (c) An applicant that is not a CWRO must serve a minimum of 10 RAs.
    (d) Previous TOP grantees must demonstrate that they have spent at 
least 75 percent of any prior grant by the publication date of this 
NOFA.
(4) Eligible Activities
    (a) Conflict resolution. Conflict resolution grant activities may 
include, but are not limited to:
    (i) Efforts to address conflicts related to gang violence;
    (ii) Establishing violence-free zones to enhance the quality of 
living environment for public housing residents;
    (iii) Training programs on mediation and communication skills;
    (iv) Training programs on dispute resolution and reconciliation, 
including training addressing racial, ethnic and other forms of 
diversity;
    (v) Workshops for youth services including: child abuse and neglect 
prevention, tutorial services, youth leadership skills, youth 
mentoring, peer pressure reversal, life skills, goal planning, health, 
and nutrition. The workshops may 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.

[[Page 43536]]

    (vi) Training in the development of strategies to successfully 
implement a youth program. For example, assessing the needs and 
problems of youth, improving youth initiatives that are currently 
active, and training youth, housing agency staff, resident management 
corporations and resident councils on youth initiatives and program 
activities.
    (b) Capacity Building. Eligible activities for CB grants may 
include, but are not limited to:
    (i) Training Board members in community organizing, Board 
development, and leadership training;
    (ii) Determining the feasibility of and training existing resident 
groups for resident management or for a specific resident management 
project;
    (iii) Assisting in the creation of an RMC, such as consulting and 
legal assistance to incorporate, preparing by-laws and drafting a 
corporate charter;
    (iv) Developing the management capabilities of existing resident 
organizations;
    (v) Determining the feasibility of homeownership by residents, 
including assessing the feasibility of other housing (including HUD-
owned or held single or multi-family) affordable for purchase by 
residents.
(5) Ineligible Activities
    Ineligible activities are the same as those listed in section 
IV.(A)(6) of this NOFA, above. In addition, physical development 
activities are not eligible for funding under CB or CR grants.
(6) Application Submission Requirements
    In addition to addressing the application submission requirements 
listed in section IX., below, of this NOFA, applicants for the CB and 
CR grants must provide a narrative description of proposed activities 
that addresses the following information: a description of the 
geographic boundaries of the RAs or Tribal ROs or RMCs included in the 
application; a description of the public or Tribal housing community; a 
detailed description of the issues or problems involved with each RA or 
Tribal RO or RMC to be served by the grant; and the resources that are 
currently being devoted to the problem or issue under consideration.
(7) Threshold Requirements
    (a) Written Agreement with Mediator. Conflict Resolution applicants 
only must have a written agreement with a professional mediator or 
mediation organization (mediator/partner) outlining the roles and 
responsibilities of each party, as well as any compensation to the 
mediator/partner (which must be reasonable and based on the work to be 
performed) defined. The written agreement must specify, consistent with 
the work plan, that the mediator/partner will train grantee staff and/
or volunteers such that the grantee will be capable of providing 
mediation assistance independently by the end of the grant term;
    (b) Mediation Experience/Referral Agreement. Conflict Resolution 
applicants only must provide evidence that their mediator/partner that 
are PHAs have at least three years of experience in providing mediation 
services and at least two years of experience in mediation training; 
and include one referral agreement with a judicial, law enforcement or 
social service agency such as the court system or Welfare Department 
for mediation referral of public housing residents.
    (c) Applicant Non-Profit Status. Both CB and CR applications that 
are not Tribes/TDHEs must provide evidence that the applicant is 
registered with the State as a nonprofit corporation and has 501(c) 
status with the United States Internal Revenue Service at the time of 
application submission.
    (d) Compliance with Current Programs. Both CB and CR applicants 
must provide certification on the format provided in the application 
kit that the applicant and the mediation partner are not in default at 
the time of application submission with respect to any previous HUD 
funded grant programs the applicant received and that there are no 
unresolved Office of Inspector General findings against the applicant 
or mediation partner.
    (e) Match Requirement.
    (i) Both CB and CR applicants must supplement grant funds with an 
in-kind and/or cash match of not less that 25% of the grant amount. 
This match does not have to be a cash match. The match may include: the 
value of in-kind services, contributions or administrative costs 
provided to the applicant; funds from Federal sources (but not ROSS, 
EDSS, TOP, or SC funds); funds from any State or local government 
sources; and funds from private contributions.
    (ii) Both CB and CR applications must demonstrate that the cash or 
in-kind resources and services, which the applicant will use as match 
amounts (including resources from the applicant's Comprehensive Grant, 
other governmental units/agencies of any type, and/or private sources, 
whether for-profit or not-for-profit), are firmly committed and will 
support the proposed grant activities. ``Firmly committed'' means there 
must be a written agreement to provide the resources and services, 
signed by an official legally able to make commitments on behalf of the 
organization. The written agreement may be contingent upon an applicant 
receiving a grant award.
    (iii) The following are guidelines for valuing certain types of in-
kind contributions:
    (1) The value of volunteer time and services shall be computed at a 
rate of six dollars per hour except that the value of volunteer time 
and services 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 activity is located.
    (2) 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 activity is located, as appropriate.
    (f) List of RAs Receiving Support. In both CB and CR applications 
eligible applicants must list in their application the name of the RAs 
or Tribal ROs or RMCs that will receive training, technical assistance 
and/or coordinated supportive services and must submit letters of 
support from each entity identified in the application.
(8) Application Selection Process
    Applicants for Conflict Resolution or Capacity Building grants are 
required to address application submission requirements but are not 
required to address selection factors. Applicants are required to 
include letters of support from the PHA or Tribe on behalf of RAs or 
Tribal ROs and RMCs to be served (see section IV.(B)(7)(f), above, of 
this NOFA). Eligibility will be determined by applications that meet 
the threshold requirements of sections IV.(B)(7) and VII. of this NOFA. 
HUD will accept for funding the first two eligible applications from 
each of the ten federal regions and from ONAP National Program Office 
in Denver (ONAP) on a first-come, first-serve basis for 60 days after 
this NOFA is published. Any funds remaining after making awards to the 
first two eligible applications from each region or ONAP will be 
awarded to the next eligible application from each region or ONAP, then 
the next, and so forth until funds are exhausted. If sufficient funds 
are not available in any round to fund an eligible application from 
each region, the eligible

[[Page 43537]]

applications will then be funded in the order in which they were 
received regardless of region. If sufficient funds are not available in 
any round to fund an eligible application from ONAP, or if funds remain 
available after funding every eligible ONAP application, the remaining 
funds are transferable to other funding categories in this NOFA in the 
following order: first, to qualifying applications from Tribes/TDHEs 
for Resident Service Delivery Model grants under section V. of this 
NOFA; second to qualifying applications from Tribes/TDHEs for Resident 
Management and Business Development grants under section IV.(A) of this 
NOFA; third, to qualifying applications for Resident Capacity Building 
and/or Conflict Resolution grants under this section IV.(B) from 
applicants that are not Tribes/TDHEs. In addition, if all funds are not 
awarded in this funding category to eligible regional applications 
received within 60 days after this NOFA is published, funds are 
transferable to other non-Tribe/TDHE funding categories in this NOFA in 
the following order: first, service coordinators under section VI. of 
this NOFA; second, Resident Capacity Building and/or Conflict 
Resolution under section IV.(B) of this NOFA; third, Resident Service 
Delivery Models under section V. of this NOFA.
(9) Grant Term
    The grant term for both Capacity Building and Conflict Resolution 
grants is thirty-six months from the execution date of the grant 
agreement.

V. Resident Service Delivery Models (RSDM)

(A) Program Description

(1) Resident Service Delivery Models--Families
    These grants provide 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. Grants 
provide support for program activities essential to facilitate economic 
uplift and provide access to the skills and resources needed for 
employment, job development and business development.
(2) Resident Service Delivery Models--Elderly/Disabled
    This grant category provides supportive services for elderly 
residents and persons with disabilities.

(B) Amount Allocated

(1) Amount Allocated for Resident Service Delivery Models
    For RSDM, $40.6 million is available for eligible applicants. Of 
this amount $2 million is available for Tribes/TDHEs.
(2) Maximum Grant Award
    (a) For PHAs and Tribes/TDHEs, the maximum grant application award 
will be based on the number of occupied units for family or the elderly 
and persons with disabilities, as applicable. For the RSDM category, 
PHAs must use the number of occupied units to determine the maximum 
grant amount in accordance with the categories listed below for family:
    (i) For PHAs and Tribes/TDHEs with 1 to 780 occupied family units, 
the maximum grant award is $75,000.
    (ii) For PHAs and Tribes/TDHEs with 781 to 7,300 occupied family 
units, the maximum grant award is $250,000.
    (iii) For PHAs and Tribes/TDHEs with 7,301 or more occupied family 
units, the maximum grant award is $500,000.
    (b) For Elderly and Disabled RSDM grants, PHAs and Tribes/TDHEs may 
apply for the below listed maximums:
    (i) For 1 to 217 units occupied by elderly residents or persons 
with disabilities, the maximum grant award is $27,125.
    (ii) For 218 to 1,155 units occupied by elderly residents or 
persons with disabilities, the maximum grant award is $100,000.
    (iii) For 1,156 or more units occupied by elderly residents or 
persons with disabilities, the maximum grant award is $150,000.
    (c) The maximum grant award for RAs is $75,000.
    (d) Non profit entities supported by residents or RAs are limited 
to $75,000 for each RA. Non profit entities supported by residents may 
be awarded no more than three awards for different RAs.
    (e) Tribes/TDHEs should use the number of units counted as Formula 
Current Assisted Stock for Fiscal Year 1998 as defined in 24 CFR 
1000.316. Tribes who have not previously received funds from the 
Department under the 1937 Act should count housing units under 
management that are owned and operated by the Tribe and are identified 
in their housing inventory as of September 30, 1997.
    (3) If all funds are not awarded in one funding category, funds are 
transferable to the other funding categories in this NOFA.

(C) Eligible Applicants

(1) Family
    This funding category provides grants to PHAs, Indian Tribes and 
TDHEs on behalf of public and Tribal housing residents, or directly to 
resident management corporations, resident councils, or resident 
organizations, including nonprofit entities supported by residents, to 
enable them to establish and implement comprehensive programs that 
assist residents in becoming self-sufficient and/or enable independent 
living and aging in place.
(2) Elderly and Disabled
    PHAs, Indian Tribes and TDHEs are eligible applicants in providing 
supportive services for the elderly and disabled.
(3) Previous Grantees
    Previous EDSS, TOP, or Service Coordinator grantees must 
demonstrate that they have spent at least 75 percent of any prior grant 
by the publication date of this NOFA.
(4) Joint Applications
    Two or more applicants may join together to submit a joint 
application for proposed grant activities. Joint applications must 
designate a lead applicant. All parties in a joint application (lead or 
non-lead) are considered to be applying for ROSS and are therefore 
subject to the limit of one ROSS application per applicant, with the 
exception of those Service Coordinator applicants that may also apply 
in one additional ROSS category. Funding for joint applications may not 
exceed the stated maximum for this funding category.

(D) Eligible Participants

    At least 75 percent of the persons participating and receiving 
benefits from these activities must be residents of conventional public 
housing or Tribal housing. For applications that are not from a Tribe 
or TDHE, any other persons (up to 25 percent per grantee) participating 
or receiving benefits from these programs must be recipients of Section 
8 assistance.

(E) Eligible Activities

    Funds may be used for the activities described below, according to 
whether the application is for the family category, or elderly and 
disabled category.
(1) Family
    (a) Program Coordinator. Applicants are encouraged to include a 
Program Coordinator for proposed RSDM

[[Page 43538]]

activities for the entire term of the grant. A Program Coordinator is a 
person who is responsible for coordinating various proposed activities 
to ensure that their accomplishment will assist in achieving overall 
grant goals and objectives.
    (b) Physical improvements to provide space for self-sufficiency 
activities for residents, i.e. to provide cosmetic and repairs for 
space to conduct community activities; or to expand existing community 
space for proposed ROSS activities. Physical improvements may not 
exceed 50% of the total grant amount and must be directly related to 
providing space for self-sufficiency activities for residents. Refer to 
Office of Management and Budget (OMB) Circular A-87, Cost Principles 
for State, Local and Indian Tribal Governments.
    (i) Renovation, conversion, and repair costs may be essential parts 
of physical improvements. In addition, architectural, engineering, and 
related professional services required to prepare architectural plans 
or drawings, write-ups, specifications or inspections may also be part 
of the cost components to implement physical improvements.
    (ii) The renovation, conversion, or combination of vacant dwelling 
units in a housing development to create common areas to accommodate 
the provision of supportive services is an eligible activity for 
physical improvement.
    (iii) The renovation of existing common areas in a housing 
development to accommodate the provision of supportive services.
    (iv) The renovation or repair of facilities located near the 
premises of one or more housing developments to accommodate the 
provision of supportive services.
    (v) Each applicant should submit a description of the renovation or 
conversion to be conducted along with a budget and timetable for those 
activities.
    (vi) Each applicant must demonstrate a firm commitment of 
assistance from one or more sources ensuring that supportive services 
will be provided for not less than 2 years following the completion of 
renovation, conversion, or repair activities funded under this NOFA.
    (vii) If renovation, conversion, or repair is done off-site, the 
applicant must provide documentation that it has control of the 
proposed property for not less than 2 years and preferably for 4 years 
or more. Control can be evidenced through a lease agreement, ownership 
documentation or other appropriate documentation.
    (c) Entrepreneurship training (literacy training, computer skills 
training, business development planning).
    (d) Entrepreneurship development (entrepreneurship training 
curriculum, entrepreneurship courses).
    (e) Micro/Loan fund. Developing a strategy for establishing a 
revolving micro/loan fund and/or capitalizing a loan fund, including 
licensing, bonding, and insurance needed to operate a business.
    (f) Developing credit unions. Developing a strategy to establish 
and/or create onsite credit union(s) to provide financial and economic 
development initiatives to PHA residents. (RSDM 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 money management, 
home buyer counseling educational loans, and other revolving loans).
    (g) Employment training and counseling (e.g., job training (such as 
apprenticeship programs), preparation and counseling, job search 
assistance, job development and placement, and continued follow-up 
assistance).
    (h) Employer linkage and job placement.
    (i) Family only--supportive services activities. 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. Eligible supportive services may 
include, but are not limited to:
    (i) 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.
    (ii) Computer-based educational opportunities, skills training, and 
entrepreneurial activities.
    (iii) Homeownership training and counseling, development of 
feasibility studies and preparation of homeownership plans/proposals.
    (iv) Education including but not limited to: remedial education; 
computer skills training; career counseling; literacy training; 
assistance in the attainment of certificates of high school 
equivalency; two-year college tuition assistance; trade school 
assistance; youth leadership skills and related activities (activities 
may include peer leadership roles training for youth counselors, peer 
pressure reversal, life skills, goal planning). Academic support shall 
not be limited to TANF recipients.
    (v) Youth mentoring of a type that mobilizes a potential pool of 
role models to serve as mentors to public or Tribal housing youth. 
Mentor activities may include after-school tutoring, help with problem 
resolution issues, illegal drugs avoidance, job counseling, or mental 
health counseling.
    (vi) 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.
    (vii) Personal well-being (e.g., family/parental development 
counseling, parenting skills training for adult and teenage parents, 
self-development counseling, support groups/counseling for victims of 
domestic violence, and/or families with a mentally ill member, etc.).
    (viii) Supportive health care services (e.g., outreach and referral 
services to substance and alcohol abuse treatment and counseling, 
mental health services, wellness programs).
    (ix) Contracting for case management services contracts or 
employment of case managers, either of which must ensure 
confidentiality about resident's disabilities.
    (x) Administrative costs not to exceed 20% of the grant amount.
    (xi) Stipends. No more than $200 per participant per month of the 
grant award may be used for stipends for active trainees and program 
participants to cover the reasonable costs related to participation in 
training and other activities.
(2) Elderly and Disabled--Supportive Services Activities
    May include, but are not limited to:
    (a) Meal service adequate to meet nutritional need;
    (b) Assistance with daily activities;
    (c) Housekeeping aid;
    (d) Transportation services;
    (e) Wellness programs, preventive health education, referral to 
community resources;
    (f) Personal emergency response; and
    (g) Congregate services--includes supportive services that are 
provided in a congregate setting at a conventional public or Tribal 
housing development.

(F) Ineligible Activities

    Activities for which costs are ineligible for funding under the 
RSDM funding category include:
    (1) Payment of wages and/or salaries to participants receiving 
supportive services and/or training programs, except that grant funds 
under family

[[Page 43539]]

RSDM may be used to hire a resident(s) as a Program Coordinator or to 
provide training program activities.
    (2) Purchase or rental of land.
    (3) New construction, materials, and costs.
    (4) Purchase of vehicles.

(G) Threshold Requirements

    (1) Elderly Housing Development Certification
    (For Elderly RSDM Applicants Only) A Certification that at least 
25% of the residents of the development(s) proposed for grant 
activities are elderly and/or non elderly people with disabilities at 
the time of application.
(2) Focus on Residents Affected by Welfare Reform (For Family RSDM 
Only)
    The RSDM application must demonstrate evidence from the PHA, Tribe 
or TDHE that at least 51% or more of the public or Tribal housing 
residents (including Section 8 tenants as applicable) to be included in 
the proposed program are affected by the welfare reform legislation, 
including Temporary Assistance for Needy Families (TANF) recipients, 
legal immigrants, and disabled SSI recipients.
    (3) Accessible Community Facility
    The application must provide evidence (e.g. through an executed use 
agreement if the facility is to be provided by an entity other than the 
PHA, Tribe or TDHE that a majority of the proposed activities will be 
administered at community facilities within easy transportation access 
(i.e., walking or by direct (no transfers required), convenient, 
inexpensive and reliable transport), of the property represented by the 
PHA, Tribe or TDHE. The community facilities must also meet the 
structural accessibility requirements of Section 504 of the 
rehabilitation Act and the Americans With Disabilities Act.
(4) Match Requirement
    (a) The applicant must supplement grant funds with an in-kind and/
or cash match of not less than 25% of the grant amount. This match does 
not have to be a cash match. The match may include: the value of in-
kind services, contributions or administrative costs provided to the 
applicant; funds from Federal sources (but not ROSS, TOP, EDSS, or SC 
funds); funds from any State or local government sources; and funds 
from private contributions.
    (b) The application must demonstrate that the cash or in-kind 
resources and services, which the applicant will use as match amounts 
(including resources from the applicant's Comprehensive Grant, other 
governmental units/agencies of any type, and/or private sources, 
whether for-profit or not-for-profit), are firmly committed and will 
support the proposed grant activities. ``Firmly committed'' means there 
must be a written agreement to provide the resources and services 
signed by an official legally able to make commitments on behalf of the 
organization. The written agreement may be contingent upon an applicant 
receiving a grant award.
    (c) The following are guidelines for valuing certain types of in-
kind contributions:
    (i) The value of volunteer time and services Shall be computed at a 
rate of six dollars per hour except that the value of volunteer time 
and services 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 RSDM 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 RSDM activity is located, as appropriate.
    (5) 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 following 
programs: the Family Investment Center Program; the Youth Development 
Initiative under the Family Investment Center Program; the Youth 
Apprenticeship Program; the Apprenticeship Demonstration in the 
Construction Trades Program; the Urban Youth Corps Program; the HOPE 1 
Program; the Public Housing Service Coordinator Program; the Public 
Housing Drug Elimination Program; the Youth Sports Program; the Tenant 
Opportunities Program; and the Economic Development and Supportive 
Services Program.
    (6) Contract Administrator
    For applicants other than Tribes/TDHEs, unless HUD or an 
Independent Public Accountant has determined that the applicant's 
financial management system and procurement procedures fully comply 
with 24 CFR part 84, the application must contain evidence that the 
applicant will use the services of a Contract Administrator in 
administering the grant. Applicants that are troubled PHAs are required 
to provide evidence that a Contract Administrator has been retained for 
the term of the grant.
    (a) A Contract Administrator, if retained, must oversee the 
financial activities and assist with the entire implementation of the 
grant. A signed executed agreement must be included in the application. 
This agreement may be contingent upon the applicant receiving a grant 
award.
    (b) The Contract Administrator may be: Local Housing Agencies 
(except for troubled PHAs); community-based organizations such as 
Community Development Corporations (CDC), churches; non-profits; State/
Regional associations and organizations. Troubled PHAs are not eligible 
to be Contract Administrators.
    (c) If a grantee is unable to obtain the services of a Contract 
Administrator or accountant without charge, the cost for a Contract 
Administrator and or accountant is eligible. The grantee is required to 
maintain documentation on file showing what efforts it made to obtain 
the services of a Contract Administrator cost-free.
(7) Applicant Non-Profit Status
    Both RA and non-profit applicants only must submit evidence that 
the applicant is registered with the State as a nonprofit corporation 
at the time of application submission. Non-profits only must have 
501(c) status with the United States Internal Revenue Service at the 
time of application submission.
(8) Certification of Elections
    Resident Organization applicants only must submit certification of 
the RA board election as required by HUD, signed by the local PHA and/
or an independent third-party monitor and notarized.

(H) Application Selection Process

    All applications are due no later than 90 days from the publication 
date of this NOFA. Three types of reviews will be conducted: a 
screening to determine if the application submission is complete and on 
time; a threshold review to determine applicant eligibility; and a 
technical review to rate the applications based on the rating factors 
in section V.(I), below, of this NOFA. A minimum score of 55 is 
required to be considered for funding. If the applicant is not a PHA, 
where physical development activities are proposed, HUD will perform an 
environmental review, to the extent required by 24 CFR part 50, prior 
to award. The results of the environmental review may require that 
proposed activities be modified or proposed sites rejected.

[[Page 43540]]

    HUD will conduct the selection process as follows:
(1) For Applicants Other Than Tribes/TDHEs
    HUD will first select the highest ranked application from each of 
the ten federal regions for funding. After this ``round,'' HUD will 
select the second highest ranked application in each of the ten federal 
regions for funding (the second round). HUD will continue this process 
with the third, fourth, and so on, highest ranked applications in each 
federal region until the last complete round is selected for funding. 
If available funds exist to fund some but not all eligible applications 
in the next round, HUD will make awards to those remaining applications 
in rank order regardless of region and will fully fund as many as 
possible with remaining funds. In addition, if all funds are not 
awarded in this funding category, funds are transferable to other 
funding categories in this NOFA in the following order: first, service 
coordinators under section VI. of this NOFA; second, Resident 
Management and Business Development under section IV.(A) of this NOFA; 
third, Resident Capacity Building and/or Conflict Resolution under 
section IV.(B) of this NOFA. The selection process is designed to 
achieve both geographic diversity and a more equitable distribution of 
grant awards throughout the country.
(2) For Tribes/TDHEs
    After rating and ranking, HUD will fund Tribes/TDHEs in rank order 
until all funds allocated for Tribes/TDHEs have been awarded to the 
extent that there are eligible applications. Any remaining funds will 
be transferable to other funding categories in this NOFA in the 
following order: first, to qualifying applications from Tribes/TDHEs 
for Resident Management and Business Development grants under section 
IV.(A) of this NOFA; second to qualifying applications from Tribes/
TDHEs for Resident Capacity Building and/or Conflict Resolution under 
section IV.(B) of this NOFA; third, to qualifying applications for 
Resident Service Delivery Model grants under this section V. from 
applicants that are not Tribes/TDHEs.

(I) Factors for Award Used to Evaluate and Rate RSDM Applications

    The factors for rating and ranking applicants and maximum points 
for each factor are provided below. The maximum number of points 
available for this program is 100. In addition, this NOFA also provides 
for the award of two bonus points for eligible activities/projects that 
are proposed to be located in federally designated Empowerment Zones 
(EZs), Enterprise Communities (ECs), or Urban Enhanced Enterprise 
Communities (EECs). The application kit contains a certification which 
must be completed for the applicant to be considered for EZ/EC bonus 
points and a listing of federally designated EZs, ECs, or Enhanced 
EECs.
    An RSDM application must receive a total of 55 points out of 100 to 
be eligible for funding.
Rating Factor 1: Capacity of the Applicant and Relevant Organizational 
Experience (20 Points)
    This factor addresses the extent to which the applicant has the 
organizational resources necessary to successfully implement the 
proposed activities in a timely manner. In rating this factor HUD will 
consider the extent to which the proposal demonstrates:
    (1) Proposed Program Staffing (7 Points)
    (a) Experience. (4 Points): The knowledge and experience of the 
proposed project director and staff, including the day-to-day program 
manager, sub-recipients and partners in planning and managing programs 
for which funding is being requested. Experience will be judged in 
terms of recent, relevant and successful experience of the applicant to 
undertake eligible program activities.
    (b) Sufficiency. (3 Points): The applicant, its sub-recipients, and 
partners have sufficient personnel or will be able to quickly access 
qualified experts or professionals, to deliver the proposed activities 
in each proposed service area in a timely and effective fashion, 
including the readiness and ability of the applicant to immediately 
begin the proposed work program. To demonstrate sufficiency, the 
applicant must submit the proposed number of staff years to be 
allocated to the project by employees and experts, the titles and 
relevant professional background and experience of each employee and 
expert proposed to be assigned to the project, and the roles to be 
performed by each identified employee and expert.
    (2) Program Administration and Fiscal Management (7 Points)
    (a) Program Administration. (4 Points): The soundness of the 
proposed management of the proposed RSDM program. In order to receive a 
high score, an applicant must provide a comprehensive description of 
the project management structure. The narrative must provide a 
description of how any co-applicants, sub-grantees, 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.
    (b) Fiscal Management. (3 Points): 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 identify the staff 
responsible for fiscal management, and the processes and timetable for 
implementation during the proposed grant period.
    (3) Applicant/Administrator Track Record (6 Points): In order to 
receive a high score, the applicant must demonstrate its (or the 
proposed Administrator's) program compliance and successful 
implementation of any 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: the 
Family Investment Center Program; the Youth Development Initiative 
under the Family Investment Center Program; the Youth Apprenticeship 
Program; the Apprenticeship Demonstration in the Construction Trades 
Program; the Urban Youth Corps Program; the HOPE I Program; the Public 
Housing Service Coordinator Program; the Public Housing Drug 
Elimination Program; Tenant Opportunities Program; Economic Development 
and Supportive Services; and the Youth Sports Program.
Rating Factor 2: Need/Extent of the Problem (20 Points)
    This factor addresses the extent to which there is a need for 
funding the proposed program activities to address a documented problem 
in the target area. Applicants will be evaluated on the extent to which 
they document a critical level of need in the development or the 
proposed activities in the area where activities will be carried out. 
In responding to this factor, applicants will be evaluated on:
    (1) A Needs Assessment Document (18 Points): HUD will award up to 
18 points based on the quality and comprehensiveness of the needs 
assessment document.
    (a) In order to obtain maximum points for Family RSDM applications, 
this

[[Page 43541]]

document must contain statistical data which provides:
    (i) A thorough socioeconomic profile of the eligible residents to 
be served by the grant, in relationship to PHA-wide and national public 
and assisted housing data on residents who are on TANF, SSI benefits, 
or other fixed income arrangements; in job training, entrepreneurship, 
or community service programs; and employed.
    (ii) Specific information on training, contracting, and employment 
through the PHA or Tribe.
    (iii) 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;
    (iv) A description of the goals, objectives, and program strategies 
that will result in successful transition of residents from welfare-to-
work.
    (b) In order to obtain maximum points for Elderly and Persons with 
Disabilities RSDM applications, the needs assessment document should 
contain statistical data that provide:
    (i) The numbers of residents needing assistance for activities of 
daily living.
    (ii) 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.
    (iii) A description of the goals, objectives, and program 
strategies that will result in increased independence for proposed 
program participants.
    (2) Level of Priority in Consolidated Plan. (2 Points): 
Documentation of the level of priority the locality's, or in the case 
of small cities, the State's, Consolidated Plan has placed on 
addressing the needs. Applicants may also address needs in terms of 
fulfilling the requirements of court actions or other legal decisions 
or which expand upon the Analysis of Impediments to Fair Housing Choice 
(AI) to further fair housing. Applicants that address needs that are in 
the community's Consolidated Plan, AI, or a court decision, or identify 
and substantiate needs in addition to those in the AI, will receive a 
greater number of points than applicants who do not relate their 
proposed program to the approved Consolidated Plan or AI or court 
action. There must be a clear relationship between the proposed 
activities, community needs and the purpose of the program funding for 
an applicant to receive points for this factor.
Rating Factor 3: Soundness of Approach (40 Points)
    This factor addresses the quality and cost-effectiveness of the 
applicant's proposed work plan. In rating this factor HUD will 
consider: the viability and comprehensiveness of strategies to address 
the needs of residents; budget appropriateness/efficient use of grant; 
the speed at which the applicant can realistically accomplish the goals 
of the proposed RSDM program; the soundness of the applicant's plan to 
evaluate the success of its proposed RSDM program at completion and 
during program implementation; and resident and other partnerships; and 
policy priorities.
    (1) Viability and comprehensiveness of the strategies to address 
the needs of residents (21 Points): The score under this subfactor will 
be based on the viability and comprehensiveness of strategies to 
address the needs of residents. HUD will award up to 19 points based on 
the following:
    (a) Services (18 Points for Family RSDM applicants and 21 Points 
for Elderly and Persons with Disabilities RSDM applicants. More points 
are awarded in the Elderly and Persons with Disabilities RSDM 
applications in order to balance other sections of the rating criteria 
where points are not applicable to an Elderly and Persons with 
Disabilities RSDM applicant) The score under this subfactor will be 
based on the following:
    (i) For Family RSDM applications, the extent to which an 
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's plan should include case 
management/counseling, job training/development/placement (and/or 
business training/development/startup), child care, and transportation 
services. Also, in order to receive maximum points, the goals and 
objectives of the proposed plan must represent significant achievements 
related to welfare-to-work and other self-sufficiency/independence 
goals. Specifically for those residents affected by welfare reform, the 
number of residents employed or resident businesses started are 
preferable to the number of residents receiving training.
    (ii) For Elderly and Persons with Disabilities RSDM applications, 
services in the applicant's plan should include case management, health 
care, congregate services and transportation. To obtain maximum points, 
the application must describe the goals, objectives, and program 
strategies that will result in increased independence for proposed 
program participants; the services must be located in a community 
facility; and services must be available on a 12 hour basis or as 
needed by the eligible residents.
    (b) Resident Contracting and Employment (3 Points): The score in 
this factor will be based on the extent to which residents will achieve 
self-sufficiency through the applicant's contracts with resident-owned 
businesses and through resident employment. A high score will be 
awarded where there is documentation (a letter or resolution from the 
applicant's governing body) describing the applicant's commitment to 
hire or contract with at least 15% of residents and a narrative 
describing the number of resident jobs or contracts involved, as well 
as the training processes related to the comprehensive plan of your 
application. Elderly and Persons with Disabilities RSDM applications 
will not be scored on the criterion in this subcategory.
    (2) Budget Appropriateness/Efficient Use of Grant (5 Points): 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 administrative costs at or below the 20% 
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 extent to which the requested funding is 
reasonable in relationship to the anticipated results.
    (3) Reasonableness of the Timetable (2 Points for Family RSDM 
applicants and 4 Points for Elderly and Persons with Disabilities RSDM 
applicants. More points are awarded in Elderly and Persons with 
Disabilities RSDM applications in order to balance other sections of 
the rating criteria where points are not applicable to an Elderly and 
Persons with Disabilities RSDM applicant):
    The score in this factor will be based on the speed of response at 
which the applicant can accomplish the goals of the proposed RSDM 
program. To receive a high score, the applicant must demonstrate that 
it will make substantial program implementation 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

[[Page 43542]]

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 24-month time limit.
    (4) Program Assessment. (3 Points for Family RSDM and Elderly and 
Persons with Disabilities RSDM): The score in this factor will be based 
on the soundness of the applicant's plan to evaluate the success of its 
proposed RSDM program both at the completion of the program and during 
program implementation. At a minimum, the applicant must track the 
goals and objectives of the proposed work plan program, which must 
include, if applicable, a plan for monitoring the applicant's Contract 
Administrator. HUD will rate more favorably applicants who can track 
specific measurable achievements for the use of program funds, such as 
number of residents employed, salary scales of jobs obtained, persons 
removed from welfare roles 12 months or longer, number of elderly or 
persons with disabilities residents receiving supportive services, and 
number of persons receiving certificates for successful completion of 
training in careers such as computer technology.
    (5) Resident and Other Partnerships (9 Points for Family RSDM 
applicants and 7 Points for Elderly and Persons with Disabilities RSDM 
applicants)
    (a) Resident Involvement in RSDM Activities (3 Points for Family 
RSDM applicants and 4 Points for Elderly and Persons with Disabilities 
RSDM applicants. More points are awarded in Elderly and Persons with 
Disabilities RSDM applications in order to balance other sections of 
the rating criteria where points are not applicable to an Elderly and 
Persons with Disabilities RSDM applicant): The score in this factor 
will be based on the extent of resident involvement in developing the 
proposed RSDM program as well as the extent of proposed resident 
involvement in implementing the proposed RSDM program. In order to 
receive a high score on this factor, the applicant must describe the 
involvement of residents in the planning phase for this program, and a 
commitment to provide continued involvement in grant implementation. 
For applicants to receive the maximum number of points, a Memorandum of 
Understanding or other written agreement with the PHA, Tribe or TDHE 
and the Resident Association involved, as appropriate, must be 
included.
    (b) Other Partnerships (3 Points): The score in this factor will be 
based on the successful integration of partners into implementation of 
the proposed RSDM program. In order to receive a high score, an 
applicant must provide a signed Memorandum of Understanding (MOU) or 
other equivalent signed documentation that delineates the roles and 
responsibilities of each of the parties in the program and the benefits 
they will receive. In assessing this subfactor, HUD will examine a 
number of aspects of the proposed partnership, including:
    (i) The division of responsibilities/management structure of the 
proposed partnership relative to the expertise and resources of the 
partners;
    (ii) The extent to which the partnership as a whole addresses a 
broader level of unmet resident needs; and
    (iii) The extent to which the addition of the partners provides the 
ability to meet needs that the applicant could not meet without the 
partner(s).
    (c) Overall Relationship/Coordination (3 Points for Family RSDM 
only): For Family RSDM applicants, the score in this factor will be 
based on the extent of coordination between the applicant's proposed 
RSDM program and any existing or proposed programs within the 
applicant's jurisdiction. In order to receive a high score, the 
application must contain an MOU that describes collaboration between 
the applicant and residents on all of the specific components related 
to the work plan of the proposed RSDM program. To receive points, at a 
minimum, there must be a narrative description of this collaboration. 
Elderly and Persons with Disabilities RSDM applications will not be 
scored on this criterion.
Rating Factor 4: Leveraging Resources (10 Points)
    This factor addresses the ability of the applicant to secure 
community resources (note: financing is a community resource) that can 
be combined with HUD's program resources to achieve program purposes. 
In evaluating this factor HUD will consider:
    The extent to which the applicant has partnered with other entities 
to secure additional resources to increase the effectiveness of the 
proposed program activities. The budget, the work plan, and commitments 
for additional resources and services, other than the grant, must show 
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, and monetary 
contributions) equal at least 25% of the RSDM grant amount proposed in 
this application. ``Firmly committed'' means there must be an written 
agreement with the provider of resources, signed by an official legally 
able to make commitments on behalf of the organization. The signed, 
written agreement may be contingent upon an applicant receiving a grant 
award. Other resources and services may include: the value of in-kind 
services, contributions or administrative costs provided to the 
applicant; funds from Federal sources (not including RSDM funds); funds 
from any State or local government sources; and funds from private 
contributions. Applicants may also partner with other program funding 
recipients to coordinate the use of resources in the target area.
    Applicants must provide evidence of leveraging/partnerships by 
including in the application letters of firm commitments, memoranda of 
understanding, or agreements to participate from those entities 
identified as partners in the application. To be firmly committed there 
must be a written agreement with the provider of resources signed by an 
official legally able to make commitments on behalf of the 
organization. This agreement may be contingent upon an applicant 
receiving a grant award. Each letter of commitment, memorandum of 
understanding, or agreement to participate should include the 
organization's name, proposed level of commitment and responsibilities 
as they relate to the proposed program.
Rating Factor 5: Comprehensiveness and Coordination (10 Points)
    This factor addresses the extent to which the applicant's program 
reflects a coordinated, community-based process of identifying needs 
and building a system to address the needs by using available HUD 
funding resources and other resources available to the community.
    In evaluating this factor HUD will consider the extent to which the 
application addresses:
    (1) Coordination with the Consolidated Plan (2 Points for Family 
RSDM applicants and 6 points for Elderly and Persons with Disabilities 
RSDM applicants. More points are awarded for Elderly and Persons with 
Disabilities RSDM applications in order to balance other sections of 
the rating criteria where points are not applicable to an Elderly and 
Persons with Disabilities RSDM applicant.) Demonstrates the applicant 
has reviewed the community's Consolidated Plan and/or Analysis of 
Impediments to Fair Housing Choice, and has proposed activities that 
address the priorities,

[[Page 43543]]

needs, goals or objectives in those documents; or substantially 
furthers fair housing choice in the community.
    (2) For Family RSDM Applications, Coordination with the State or 
Tribal Welfare Plan (4 Points): Provides evidence that the proposed 
RSDM program has been coordinated with and supports the PHA's, Tribe's/
TDHE's efforts to increase resident self-sufficiency and is coordinated 
and consistent with the State, Tribal or local Welfare Plan.
    (3) Coordination with Other Activities (4 Points): Demonstrates 
that the applicant, in carrying out program activities, will develop 
linkages with: other HUD-funded program activities proposed or on-going 
in the community; or other State, Tribal, Federal or locally funded 
activities proposed or on-going in the community which, taken as a 
whole, support and sustain a comprehensive system to address the needs.

(J) Grant Term

    The grant term for Resident Service Delivery Models grants is 
thirty-six months from the execution date of the grant agreement.

VI. Service Coordinators for Elderly and Persons With Disabilities

    (A) Program Description
    The Service Coordinator program for the elderly and persons with 
disabilities provides funding for the employment and support of service 
coordinators in public housing developments designated for the elderly 
and persons with disabilities. These elderly and disabled service 
coordinators help residents obtain supportive services that are needed 
to enable independent living and aging in place.

(B) Amounts Allocated

    A total of $15 million is available for awards to qualified 
applicants for service coordinators to serve the elderly and persons 
with disabilities. These funds may only be used as follows:
    (1) Renewal of existing Service Coordinator (SC) grants from prior 
years. This limitation is imposed in order to further the achievement 
of the Congressional intent conferred with the passage of the FY 1998 
EDSS appropriation to renew all service coordinator and congregate 
services grants expiring in fiscal year 1998. No applications for new 
Service Coordinator grants will be accepted under this funding 
category.
    (2) For the Elderly and Persons with Disabilities SC category, 
award amounts cannot be higher than the applicant's highest funding and 
staffing level for any one-year period that was approved for their last 
funded Service Coordinator Grant. An increase of up to 2 percent over 
this amount will be allowed if supported by a narrative justification.

(C) Eligible Applicants

    (1) This funding category provides grants to PHAs with developments 
designated for the elderly and persons with disabilities.
    (2) A PHA may not apply for elderly and disabled service 
coordinator funding if it has an expiring elderly Service Coordinator 
or EDSS grants that has spent less than 75% of the prior grant by the 
publication date of this NOFA.
    (3) Joint Applications. Two or more PHAs may join together to share 
a service coordinator and so submit joint applications. Joint 
applications must designate a lead applicant. Funding for a joint 
application may not exceed the stated maximum for this funding 
category.

(D) Eligible Developments

    To be eligible, a development must have elderly residents and/or 
non-elderly resident with disabilities who together total at least 25 
percent of the building's residents.

(E) Eligible Activities

    Under this funding category, funds may be used for the following 
activities:
(1) Service coordinator
    Grant funds from this category may be used to pay for the salary, 
fringe benefits, and related administrative costs for employing a 
service coordinator. A service coordinator is a social service staff 
person hired or contracted by the PHA. The coordinator is responsible 
for assuring that elderly residents, especially those who are frail or 
at risk, and those non-elderly residents with disabilities are linked 
to the supportive services they need to continue living independently 
in that development. The service coordinator, however, may not require 
any elderly person or person with disabilities to accept the supportive 
services. For the purposes of this program, a service coordinator is 
any person who is responsible for one or more of the following 
functions:
    (a) Working with community service providers to coordinate the 
provision of services and to tailor the services to the needs and 
characteristics of eligible residents;
    (b) Establishing a system to monitor and evaluate the delivery, 
impact, effectiveness and outcomes of supportive services under this 
program;
    (c) Coordinating this program with other independent living or 
self-sufficiency, education and employment programs;
    (d) Performing other duties and functions to assist residents to 
remain independent, and to prevent unnecessary institutionalization; 
and
    (e) Mobilizing other national and local public/private resources 
and partnerships.
(2) Administrative Costs
    May include, but are not limited to, purchase of furniture, office 
equipment and supplies, training, quality assurance, travel, and 
utilities. Administrative costs must not exceed 20% of the total grant 
costs.

(F) Ineligible Costs

    (1) Applicants may not use these monies to replace current funding 
from other sources for a Service Coordinator or for some other staff 
person who performs service coordinator functions.
    (2) The cost of application preparation is not eligible.

(G) Application Submission Requirements

    (1) Each application must be submitted in one original and two 
copies. Applications may not be sent by facsimile (FAX).
    (2) Required Certifications, Assurances and other Forms. All 
applications for funding under this funding category must contain the 
following documents and information:
    (a) Transmittal letter and request using the designated format;
    (b) Grant Certifications;
    (c) Evidence of comparable salaries in local area;
    (d) Applicant checklist;
    (e) For PHAs with expiring elderly or disabled Service Coordinator 
or Elderly or Disabled EDSS grants, evidence of grant expenditures that 
total at least 75% of grant funds by the publication date of this NOFA.
    (f) Lead Agency letter format (if appropriate);
    (g) Certification of Non-Duplication of Funding Request;
    (h) Each applicant must submit signed copies of the following 
forms, assurances, and certifications:
    (i) Standard Form (SF) 424, Standard Form for Application for 
Federal Assistance;
    (j) Standard Form (SF) 424-B, Assurances for Non-Construction 
Programs.
    (k) Drug-Free Workplace Certification (HUD-50070);
    (l) Certification and Disclosure Form Regarding Lobbying Activities 
(SF-LLL); and

[[Page 43544]]

    (m) Applicant/Recipient Disclosure Update Report (HUD-2880).

(H) Threshold Requirements

(1) Elderly and/or Disabled Housing Development Certification
    A Certification that at least 25% of the residents of the 
development(s) proposed for grant activities are elderly and/or non-
elderly people with disabilities at the time of application.
(2) Accessible Community Facility
    The application must provide evidence (e.g. through an executed use 
agreement if the facility is to be provided by an entity other than the 
PHA that a majority of the proposed activities will be administered at 
community facilities within easy transportation access (i.e., walking 
or by direct (no transfers required), convenient, inexpensive and 
reliable transport), of the property represented by the PHA. The 
community facilities must also meet the structural accessibility 
requirements of Section 504 of the Rehabilitation Act and the Americans 
With Disabilities Act.
(3) Match Requirement
    (a) The applicant must supplement grant funds with an in-kind and/
or cash match of not less than 25% of the grant amount. This match does 
not have to be a cash match. The match may include: the value of in-
kind services, contributions or administrative costs provided to the 
applicant; funds from Federal sources (but not ROSS, EDSS, TOP, SC 
funds); funds from any State or local government sources; and funds 
from private contributions.
    (b) The application must demonstrate that the cash or in-kind 
resources and services, which the applicant will use as match amounts 
(including resources from the applicant's Comprehensive Grant, other 
governmental units/agencies of any type, and/or private sources, 
whether for-profit or not-for-profit), are firmly committed and will 
support the proposed grant activities. ``Firmly committed'' means there 
must be a written agreement to provide the resources and services 
signed by an official legally able to make commitments on behalf of the 
organization. The written agreement may be contingent upon an applicant 
receiving a grant award.
    (c) The following are guidelines for valuing certain types of in-
kind contributions:
    (i) The value of volunteer time and services shall be computed at a 
rate of six dollars per hour except that the value of volunteer time 
and services 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 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 activity is located, as appropriate.
(4) 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 following 
programs: the Family Investment Center Program; the Youth Development 
Initiative under the Family Investment Center Program; the Youth 
Apprenticeship Program; the Apprenticeship Demonstration in the 
Construction Trades Program; the Urban Youth Corps Program; the HOPE 1 
Program; the Public Housing Service Coordinator Program; the Public 
Housing Drug Elimination Program; the Youth Sports Program; the Tenant 
Opportunities Program; and the Economic Development and Supportive 
Services Program.

(I) Application Selection Process

    Applicants for Elderly or Persons with Disabilities Service 
Coordinator grants are required to address application submission 
requirements, but are not required to address selection factors. To be 
eligible for funding, an application must meet the threshold 
requirements of sections VI.(H) and VII. of this NOFA, and submit all 
information required under this NOFA. HUD will accept eligible 
applications for funding on a first-come, first-serve basis for up to 
30 days from the publication date of this NOFA or until funds are 
exhausted. If all funds are not awarded in this funding category to 
eligible applications, funds are transferable first to the Technical 
Assistance/Training Support for Resident Organizations category, and 
then to other funding categories in this NOFA in the following order: 
first, Resident Management and Business Development under section 
IV.(A) of this NOFA; second, Resident Capacity Building and/or Conflict 
Resolution under section IV.(B) of this NOFA; third, Resident Service 
Delivery Models under section V. of this NOFA.
(J) Grant Term
    The grant term for Elderly or Persons with Disabilities Service 
Coordinator grants is twelve months from the execution date of the 
grant agreement.

VII. General Threshold Requirements

(A) Compliance With Fair Housing and Civil Rights Laws

    All applicants and their subrecipients must comply with all Fair 
Housing and civil rights laws, statutes, regulations and executive 
orders as enumerated in 24 CFR 5.105(a).
    If you, the applicant--
    (1) Have been charged with a systemic violation of the Fair Housing 
Act by the Secretary alleging ongoing discrimination;
    (2) Are a defendant in a Fair Housing Act lawsuit filed by the 
Department of Justice alleging an ongoing pattern or practice of 
discrimination; or
    (3) Have received a letter of noncompliance findings under Title 
VI, Section 504, or Section 109,--
    HUD will not rank and rate your application under this NOFA if the 
charge, lawsuit, or letter of findings has not been resolved to the 
satisfaction of the Department before the application deadline stated 
in the individual program NOFA. HUD's decision regarding whether a 
charge, lawsuit, or a letter of findings has been satisfactorily 
resolved will be based upon whether appropriate actions have been taken 
to address allegations of ongoing discrimination in the policies or 
practices involved in the charge, lawsuit, or letter of findings.

(B) Additional Nondiscrimination Requirements

    The applicant and any subrecipients, must comply with the Americans 
with Disabilities Act, and Title IX of the Education Amendments Act of 
1972.

(C) Affirmatively Furthering Fair Housing

    The applicant must include in the application or work plan the 
specific steps that the applicant will take to:
    (1) Address the elimination of impediments to fair housing that 
were identified in the jurisdiction's Analysis of Impediments (AI) to 
Fair Housing Choice;
    (2) Remedy discrimination in housing; or
    (3) Promote fair housing rights and fair housing choice.
    Further, the applicant has a duty to carry out the specific 
activities provided in your responses to the NOFA rating factors that 
address affirmatively furthering fair housing.

[[Page 43545]]

(D) Economic Opportunities for Low and Very Low-Income Persons (Section 
3)

    The ROSS Program requires recipients of assistance to comply with 
section 3 of the Housing and Urban Development Act of 1968, 12 U.S.C. 
1701u (Economic Opportunities for Low and Very Low-Income Persons in 
Connection with assisted Projects) and the HUD regulations at 24 CFR 
part 135, including the reporting requirements subpart E. Section 3 
requires recipients to ensure that, to the greatest extent feasible, 
training, employment and other economic opportunities will be directed 
to (1) low and very low income persons, particularly those who are 
recipients of government assistance for housing and (2) business 
concerns which provide economic opportunities to low and very low 
income persons.

(E) Relocation

    Any person (including individuals, partnerships, corporations or 
associations) who moves from real property or moves personal property 
from real property directly (1) because of a written notice to acquire 
real property in whole or in part, or (2) because of the acquisition of 
the real property, in whole or in part, for a HUD-assisted activity is 
covered by Federal relocation statute and regulations. Specifically, 
this type of move is covered by the acquisition policies and procedures 
and the relocation requirements of the Uniform Relocation Assistance 
and Real Property Acquisition Policies Act of 1970, as amended (URA), 
and the implementing government-wide regulation at 49 CFR part 24.
    The relocation requirements of the URA and the government-wide 
regulations cover any person who moves permanently from real property 
or moves personal property from real property directly because of 
rehabilitation or demolition for an activity undertaken with HUD 
assistance.

(F) Forms, Certifications and Assurances

    The applicant is required to submit signed copies of the standard 
forms, certifications, and assurances listed in this NOFA. As part of 
HUD's continuing efforts to improve the NOFA process, several of the 
required standard forms have been simplified this year. The standard 
forms, certifications, and assurances are as follows:
    (1) Standard Form for Application for Federal Assistance (SF-424);
    (2) Standard Form for Budget Information--Non-Construction Programs 
(SF-424A) or Standard Form for Budget Information--Construction 
Programs (SF-424C), as applicable;
    (3) Standard Form for Assurances--Non-Construction Programs (SF-
424B) or Standard Form for Assurances--Construction Programs (SF-424D), 
as applicable;
    (4) Drug-Free Workplace Certification (HUD-50070);
    (5) Certification and Disclosure Form Regarding Lobbying (SF-LLL).
    (6) Applicant/Recipient Disclosure Update Report (HUD-2880);
    (7) Certification that the applicant will comply with the 
requirements of the Fair Housing Act, Title VI of the Civil Rights Act 
of 1964, section 504 of the Rehabilitation Act of 1973, and the Age 
Discrimination Act of 1975, and will affirmatively further fair 
housing. CDBG recipients applying for funds under title I of the 
Housing and Community Development Act of 1974 (42 U.S.C. 5301 et seq.) 
also must certify to compliance with section 109 of the Housing and 
Community Development Act.
    (8) Certification required by 24 CFR 24.510. (The provisions of 24 
CFR part 24 apply to the employment, engagement of services, awarding 
of contracts, subgrants, or funding of any recipients, or contractors 
or subcontractors, during any period of debarment, suspension, or 
placement in ineligibility status, and a certification is required.)

(G) OMB Circulars

    For the ROSS Program, the policies, guidance, and requirements of 
OMB Circular No. A-87 (Cost Principles Applicable to Grants, Contracts 
and Other Agreements with State and Local Governments), OMB Circular 
No. A-122 (Cost Principles for Nonprofit Organizations), 24 CFR part 84 
(Grants and Agreements with Institutions of Higher Education, 
Hospitals, and other Non-Profit Organizations) and 24 CFR part 85 
(Administrative Requirements for Grants and Cooperative Agreements to 
State and Local governments) may apply to the award, acceptance and use 
of assistance and to the remedies for noncompliance, except when 
inconsistent with the provisions of the FY 1999 HUD Appropriations Act, 
other Federal statutes. Copies of the OMB Circulars may be obtained 
from EOP Publications, Room 2200, New Executive Office Building, 
Washington, DC 10503, telephone (202) 395-7332 (this is not a toll free 
number).

(H) Conflicts of Interest

    If you are a consultant or expert who is assisting HUD in rating 
and ranking applicants for funding under this NOFA, you are subject to 
18 U.S.C. 208, the Federal criminal conflict of interest statute, and 
the Standards of Ethical Conduct for Employees of the Executive Branch 
regulation published at 5 CFR part 2635. As a result, if you have 
assisted or plan to assist applicants with preparing applications for 
this NOFA, you may not serve on a selection panel and you may not serve 
as a technical advisor to HUD for this NOFA. All individuals involved 
in rating and ranking this NOFA, including experts and consultants, 
must avoid conflicts of interest or the appearance of conflicts. 
Individuals involved in the rating and ranking of applications must 
disclose to HUD's General Counsel or HUD's Ethic Law Division the 
following information if applicable: the selection or non-selection of 
any applicant under this NOFA will affect the individual's financial 
interests, as provided in 18 U.S.C. 208; or the application process 
involves a party with whom the individual has a covered relationship 
under 5 CFR 2635.502. The individual must disclose this information 
prior to participating in any matter regarding this NOFA. If you have 
questions regarding these provisions or if you have questions 
concerning a conflict of interest, you may call the Office of General 
Counsel, Ethics Law Division, at 202-708-3815 and ask to speak to one 
of HUD's attorneys in this division.

VIII. Program Requirements

    Grantees must meet the following program requirements:

(A) Compliance With Civil Rights Requirements

    In addition to compliance with the civil rights requirements at 24 
CFR 5.105, each successful applicant must comply with the 
nondiscrimination in employment requirements of Title VII of the Civil 
Rights Act of 1964, 42 U.S.C. 2000e et seq.; the Equal Pay Act, 29 
U.S.C. 206(d); the Age Discrimination in Employment Act of 1967, 29 
U.S.C. 621 et seq., and Titles I and V of the Americans with 
Disabilities Act, 42 U.S.C. 12101 et seq. Tribes/TDHEs must comply with 
the Indian Civil Rights Act (Title II of the Civil Rights Act of 1968, 
24 U.S.C. 1001-1303); the Age Discrimination Act of 1975 (42 U.S.C. 
6101-6107); and, Section 504 of the Rehabilitation Act of 1973 (29 
U.S.C. 794).

(B) Adhere to the Grant Agreement

    After an application has been approved, HUD and the applicant shall 
enter into a grant agreement (Form 1044 and attachments) incorporating 
the

[[Page 43546]]

entire application except as modified by HUD and 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 requiring adherence to the 
appropriate OMB circulars and other government wide requirements and 
specifying sanctions for violation of the agreement. The grant 
agreement will include additional information regarding Insurance/
Indemnification, Freedom of Information Act, grant staff personnel, 
exclusion period, earning and benefits, reports, close-outs, and 
treatment of income.

(C)

    Within twelve months of HUD grant approval, successful applicants 
who are site-based RAs must have applied for 501(c) status from the 
United States Internal Revenue Service.

(D) 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.

(E) ROSS Evaluation and Assessment

    All applicants selected for award must be willing to participate in 
the evaluation and assessment that HUD intends to conduct for the ROSS 
Program. At grant award HUD will provide additional information on the 
evaluation and assessment for applicants who receive awards.

(F) Applicant Internet Access

    Prior to the initial draw down, all grantees shall have secured 
online access to the Internet as a means to communicate with HUD on 
grant matters.

(G) Definitions

    City-Wide Resident Organization consists of members from Resident 
Councils, Resident Management Corporations, and Resident Organizations 
who reside in housing developments that are owned and operated by the 
same PHA within a city.
    Community Facility means a non-dwelling structure that provides 
space for multiple supportive services for the benefit of public 
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 agencies; 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.
    Firmly Committed means there must be a written agreement to provide 
the resources. This written agreement may be contingent upon an 
applicant receiving an award.
    Elderly person means a person who is at least 62 years of age.
    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 agency;
    (2) There are no incorporated Resident Councils or Resident 
Management Corporations within the jurisdiction of the single housing 
agency;
    (3) It has experience in providing start-up and capacity-building 
training to residents and resident organizations; and
    (4) Public housing residents representing unincorporated Resident 
Councils within the jurisdiction of the single housing agency must 
comprise the majority of the board of directors.
    Intermediary Resident Organizations means Jurisdiction-Wide 
Resident Organizations, City-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 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 housing residents representing different geographical 
locations in the country must comprise the majority of the board of 
directors.
    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; or
    (3) Is determined, pursuant to regulations issued by the Secretary, 
to have a physical, mental, or emotional impairment which:
    (a) Is expected to be of long-continued and indefinite duration;
    (b) Substantially impedes his or her ability to live independently; 
and
    (c) Is of such a nature that such ability could be improved by more 
suitable housing conditions.
    The term ``person with disabilities'' does not exclude persons who 
have the disease of acquired immunodeficiency syndrome or any 
conditions arising from the etiologic agent for acquired 
immunodeficiency syndrome. In addition, no individual shall be 
considered a person with disabilities, for purposes of eligibility for 
low-income housing, solely on the basis of any drug or alcohol 
dependence.
    The definition provided above for persons with disabilities is the 
proper definition for determining program qualifications. However, the 
definition of a person with disabilities contained in Section 504 of 
the rehabilitation Act of 1973 and its implementing regulations must be 
used for purposes of reasonable accommodations.
    Program Coordinator is a person who is responsible for coordinating 
various proposed RSDM activities to ensure that their accomplishment 
will assist in achieving overall grant goals and objectives.
    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), Regional Resident Organizations (RRO), Statewide Resident 
Organizations (SRO), Jurisdiction-Wide Resident Organizations, 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

[[Page 43547]]

receive official recognition from the PHA/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 RC applicants for ROSS grants 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 name appear on a lease for the 
unit in the public housing that the resident council represents.
    (3) It may represent residents residing in:
    (a) Scattered site buildings in areas of contiguous row houses;
    (b) One or more contiguous buildings;
    (c) A development; or
    (d) A combination of the buildings or developments described above.
    Regional Resident Organization (RRO) means an incorporated 
nonprofit organization or association for public housing that meets 
each of the following requirements:
    (1) It is regional (i.e., not limited by HUD Areas);
    (2) It has experience in providing start-up and capacity-building 
training to residents and resident organizations; and
    (3) Public housing residents representing different geographical 
locations in the region must comprise the majority of the board of 
directors.
    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 PHA 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:
    (a) Approves the establishment of the corporation; and
    (b) 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 name 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.
    Site-Based Resident Associations means Resident Councils and 
Resident Management Corporations.
    Statewide Resident Organization (SRO) means a Site-Based 
incorporated nonprofit organization or association for public housing 
that meets the following requirements:
    (1) It is Statewide;
    (2) It has experience in providing start-up and capacity-building 
training to residents and resident organizations; and
    (3) Public housing residents representing different geographical 
locations in the State must comprise the majority of the board of 
directors.
    Tribal housing means housing assisted under the Indian Housing 
Block Grant Program at 24 CFR part 1000.

(H) Environmental Requirements

    It is anticipated that most activities under this NOFA will be 
categorically excluded under 24 CFR 50.19(b)(3), (b)(9), (b)(12), or 
(b)(14). An applicant proposing physical development activities is 
prohibited from rehabilitating, converting, leasing, repairing or 
constructing property, or committing or expending HUD or non-HUD funds 
for these types of program activities, until one of the following has 
occurred:
    (1) If the grantee is not a PHA, HUD has completed an environmental 
review to the extent required by 24 CFR part 50, prior to grant awards.
    (2) If the grantee is a PHA, HUD has approved the grantee's Request 
for Release of Funds (HUD Form 7015.15) following a Responsible 
Entity's completion of an environmental review under 24 CFR part 58, 
where required, or if HUD has determined in accordance with Sec. 58.11 
to perform the environmental review itself under part 50, HUD has 
completed the environmental review.

IX. Application Submission Requirements

    The applicant must submit the following, which are further 
described in the application kit.
    (A) Needs Assessment Report which includes statistical or survey 
information on the needs of the recipient population; please use the 
appropriate format provided in the application kit.
    (B) A three-year work plan for implementing grant activities which 
includes reasonably achievable, quantifiable goals, budget, timetable 
and strategies, including any innovative approaches. In addition to a 
narrative, please use the formats provided in the application kits to 
chart the following:
    (1) Activity plan summary;
    (2) Activity breakout;
    (3) Budget breakout;
    (4) Summary budget;
    (5) Program resources; and
    (6) Program staffing;

    (C) Information on the applicant and/or administrator track record 
with comparable initiatives. Please provide the chart and/or 
certification format provided in the application kit;
    (D) Certifications and assurances referenced in this program. 
Applicants who are IROs or non profits operating association and/or 
networks operating programs that benefit public housing resident 
organizations must also submit a list of site-based resident 
associations they intend to be assisted.
(E) Memorandum of Understanding/Agreement; commitment letters; and 
other required documentation of partnerships.

[[Page 43548]]

X. Correction to Deficient Applications

    After the application due date, HUD may not, consistent with 24 CFR 
part 4, subpart B, consider unsolicited information from an applicant. 
HUD may contact an applicant, however, to clarify an item in the 
application or to correct technical deficiencies.
    Applicants should note, however, that HUD may not seek 
clarification of items or responses that improve the substantive 
quality of the applicant's response to any eligibility or selection 
criterion. Examples of curable technical deficiencies include failure 
to submit the proper certifications or failure to submit an application 
containing an original signature by an authorized official. In each 
case, HUD will notify the applicant in writing by describing the 
clarification or technical deficiency. HUD will notify applicants by 
facsimile or by return receipt requested.
    Applicants must submit clarifications or corrections of technical 
deficiencies in accordance with information provided by HUD within 14 
calendar days of the date of receipt of the HUD notification. If the 
deficiency is not corrected within this time period, HUD will reject 
the application as incomplete.

XI. Findings and Certifications

    (A) Paperwork Reduction Act Statement
    The information collection requirements contained in this notice 
were submitted to the Office of Management and Budget for review under 
the provisions of the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-
3520) and have been assigned OMB control number 2577-0211. 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.
    (B) Environmental Impact
    A Finding of No Significant Impact with respect to the environment 
has been made in accordance with HUD regulations at 24 CFR Part 50, 
which implement Section 102(2)(C) of the National Environmental Policy 
Act of 1969. This finding is available for public inspection between 
7:30 a.m. and 5:30 p.m. weekdays in the Office of the Rules Docket 
Clerk, Office of the General Counsel, Department of Housing and Urban 
Development, Room 10276, 451 Seventh Street, SW., Washington, DC 20410.

(C) Federalism, Executive Order 12612

    The General Counsel, as the Designated Official under section 6(a) 
of Executive Order 12612, Federalism, has determined that the policies 
contained in this NOFA will not have substantial direct effects on 
States or their political subdivisions, or on the relationship between 
the Federal Government and the States, or on the distribution of power 
and responsibilities among the various levels of government. 
Specifically, the NOFA solicits applicants to help eligible families 
make the transition from welfare to work, and does not impinge upon the 
relationships between the Federal government and State and local 
governments. As a result, the NOFA is not subject to review under the 
Order.

(D) Prohibition Against Lobbying Activities

    You, the applicant, 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. 1352 (the Byrd Amendment), which prohibits 
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. You are required to certify, using the certification 
found at Appendix A to 24 CFR part 87, that they will not, and have 
not, used appropriated funds for any prohibited lobbying activities. In 
addition, you must disclose, using Standard Form-LLL, ``Disclosure of 
Lobbying Activities,'' any funds, other than Federally appropriated 
funds, that will be or have been used to influence Federal employees, 
members of Congress, and congressional staff regarding specific grants 
or contracts.
    (E) Section 102 of the HUD Reform Act; Documentation and Public 
Access Requirements
    Section 102 of the Department of Housing and Urban Development 
Reform Act of 1989 (42 U.S.C. 3545) (HUD Reform Act) and the 
regulations codified in 24 CFR part 4, subpart A, contain a number of 
provisions that are designed to ensure greater accountability and 
integrity in the provision of certain types of assistance administered 
by HUD. On January 14, 1992 (57 FR 1942), HUD published a notice that 
also provides information on the implementation of section 102. The 
documentation, public access, and disclosure requirements of section 
102 apply to assistance awarded under this NOFA as follows:
(1) 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 5-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 in 24 CFR part 15.
(2) Disclosures
    HUD will make available to the public for 5 years all applicant 
disclosure reports (Form HUD-2880) submitted in connection with this 
NOFA. Update reports (also Form HUD-2880) will be made available along 
with the applicant disclosure reports, but in no case for a period less 
than 3 years. All reports--both applicant disclosures and updates--will 
be made available in accordance with the Freedom of Information Act (5 
U.S.C. 552) and HUD's implementing regulations at 24 CFR part 5.
(3) Publication of Recipients of HUD Funding
    HUD's regulations at 24 CFR 4.7 provide that HUD will publish a 
notice in the Federal Register on at least a quarterly basis to notify 
the public of all decisions made by the Department to provide:
    (i) Assistance subject to section 102(a) of the HUD Reform Act; or
    (ii) Assistance that is provided through grants or cooperative 
agreements on a discretionary (non-formula, non-demand) basis, but that 
is not provided on the basis of a competition.
    (F) Section 103 HUD Reform Act
    HUD's regulations implementing section 103 of the Department of 
Housing and Urban Development Reform Act of 1989 (42 U.S.C. 3537a), 
codified in 24 CFR part 4, apply to this funding competition. The 
regulations continue to apply until the announcement of the selection 
of successful applicants. HUD employees involved in the review of 
applications and in the making of funding decisions are limited by the 
regulations 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

[[Page 43549]]

advantage. Persons who apply for assistance in this competition should 
confine their inquiries to the subject areas permitted under 24 CFR 
part 4.
    Applicants or employees who have ethics related questions should 
contact the HUD Ethics Law Division at (202) 708-3815. (This is not a 
toll-free number.) For HUD employees who have specific program 
questions, the employee should contact the appropriate field office 
counsel, or Headquarters counsel for the program to which the question 
pertains.
    (G) Catalog of Federal Domestic Assistance Numbers
    The Catalog of Federal Domestic Assistance number for this program 
is 14.870.

XIII. Authority.

    The Departments of Veterans Affairs and Housing and Urban 
Development, Independent Agencies Appropriation Act of 1999 (Pub. L. 
105-276, 112 Stat. 2461, approved October 21, 1998), and the 
Departments of Veterans Affairs and Housing and Urban Development and 
Independent Agencies Appropriations Act, 1998 (Pub. L. 105-65, 111 
Stat. 1344, approved October 27, 1997).

    Dated: July 27, 1999.
Harold Lucas,
Assistant Secretary for Public and Indian Housing.
[FR Doc. 99-20429 Filed 8-4-99; 2:21 pm]
BILLING CODE 4210-33-P