Consolidated Economic Development and Supportive Services
and Tenant Opportunities Programs

PROGRAM DESCRIPTION: Approximately $64.1 million in funding is made available for two programs: Public and Indian Housing Economic Development and Supportive Services Program (EDSS) and the Tenant Opportunities Program (TOP). In general, although both programs fund similar activities, Housing Authorities, Indian tribes, and Tribally Designated Housing Entities are the recipients under EDSS while resident associations are the recipients under TOP. Therefore, although the funding availability announcements for these two programs have been combined, the application processes will remain separate. This program section of the SuperNOFA combines TOP and EDSS to highlight HUD's parallel restructuring of these complementary programs. The restructuring represents a major HUD initiative to improve the targeting and management of limited resources for resident self-sufficiency. The goal is to most effectively focus these resources on "welfare to work" and on independent living for the elderly and persons with disabilities. HUD believes that it is imperative that housing authorities and residents work together to meet the challenge of welfare reform.

APPLICATION DUE DATE: Completed applications (one original and two copies) must be submitted, at the address shown below, no later than 6:00 pm local time on:

July 31, 1998 for the EDSS Program; and

July 31, 1998 for the TOP Program.

Please see the General Section of this SuperNOFA for specific procedures governing the form of application submission (e.g., mailed applications, express mail, overnight delivery, or hand carried) and the time by which the application must be received by HUD and/or postmarked in order to meet the deadline for submission.

ADDRESS FOR SUBMITTING APPLICATIONS: An original and two copies of the application must be received by the application due date at the local Field Office with delegated public or assisted housing responsibilities attention: Director, Office of Public or Assisted Housing, or, in the case of the Native American population, to the Administrator, Area Office of Native American Programs (AONAP), as appropriate.

For Application Kits. For an application kit and any supplemental information please call the SuperNOFA Information Center at 1-800-HUD-8929. 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 EDSS/TOP 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. You may call the local HUD field office with delegated responsibilities over the pertinent housing agency/ authority, or in the case of an Indian tribe or a Tribally Designated Housing Entity (TDHE) applying for EDSS grants, the AONAP with jurisdiction over the tribe/TDHE. Answers may also be obtained by calling the Public and Indian Housing Information and Resource Center at 1-800-955-2232. Information on this SuperNOFA may also be obtained through the HUD web site on the Internet at http://www.HUD.gov.

The Authority, Purpose of the Program, Amount Allocated, Program Award Period, Eligible Applicants; Grants Amounts; Eligible and Ineligible Activities, and Additional Program Requirements, as applicable, are delineated under each technical assistance program area for which funding is being made available. Applicants should take care in reviewing this section to ensure they are eligible to apply for funds and that they meet the additional program requirements and limitations described for each program.

(A) Authority.

(1) For the EDSS Program, the Community Development Block Grant section of the FY 1998 HUD Appropriations Act.

(2) For TOP, section 20 of the U.S. Housing Act of 1937. The TOP regulations are found in 24 CFR part 964.

(3) Common Definitions . Please see Appendix A to this EDSS/TOP section of the SuperNOFA for common definitions.

(B) Purpose. The purposes of the two programs are as follows:

(1) EDSS. The purpose of the EDSS program is to provide grants to Public Housing Authorities (PHAs), Tribes or their Tribally Designated Housing Entities (TDHEs) to enable them to establish and implement programs that increase resident self-sufficiency, and support continued independent living for elderly and disabled residents.

(2) TOP. TOP provides grants to public housing Site-Based Resident Councils, Resident Management Corporations and Intermediary Resident Organizations to provide resident training such as improving resident educational, professional, and economic levels by providing skills to make them more employable in the local community;organizational capacity-building for newly created resident associations; and training residents to resolve disputes in public housing.

(C) Amount Allocated for EDSS.

(1) Amount Allocated. For EDSS, $47,211,223 is available in funds for eligible PHAs, Tribes/TDHEs. This amount includes the FY 98 EDSS appropriation of $30 million and FY 97 carryover funds of $17,211,223. HUD is setting aside $5 million of this amount to fund applications from Tribes/TDHEs with the remaining available to fund applications from PHAs.

(a) Both the amount for Tribes/TDHEs and PHAs will be allocated as follows: 60% will be allocated to Family Economic Development and Supportive Services category grants; and the remaining 40% will be allocated to Elderly and Disabled Supportive Services category grants.

(b) A PHA, Tribe/TDHE may submit one application under the Family Economic Development and Supportive Services grant category and/or one application under the Elderly and Disabled Supportive Services grant category. The maximum number of applications that a HA may submit is two. If an applicant is applying for both funding categories, then it must submit two separate applications in which the total amount requested must not exceed the maximum grant amount available for its size under the Family Economic Development and Supportive Services category.

(2) Maximum Grant Awards. The maximum grant awards are limited as follows:

(a) For Family Economic Development and Supportive Services category - no more than $250 per unit up to the below listed maximums:

(i)For PHAs, Tribes/TDHEs with 1 to 780 units, the maximum grant award is $150,000.

(ii) For PHAs, Tribes/TDHEs with 781 to 7,300 units, the maximum grant award is $500,000.

(iii) For PHAs, Tribes/TDHEs with 7,301 or more units, the maximum grant award is $1,000,000.

(b) For elderly or Disabled Supportive Services category - no more than $250 per unit up to the below listed maximums:

(i)For PHAs, Tribes/TDHEs with 1 to 217 units occupied by Elderly residents or persons with disabilities, the maximum grant award is $54,250.

(ii) For PHAs, Tribes/TDHEs with 218 to 1,155 units occupied by Elderly residents or persons with disabilities, the maximum grant award is $200,000.

(iii) For PHAs, Tribes/TDHEs with 1,156 or more units occupied by Elderly residents or persons with disabilities, the maximum grant award is $300,000.

(3)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.

(D) Amount Allocated for TOP. $16,884,530 ($5 million in FY 98 appropriations and $11,884,530 in carry over funds) is available for awards to qualified applicants to provide technical assistance and training activities under the TOP program. The TOP funding will be distributed to the three grant categories as follows: Economic Self-Sufficiency Grants - $10.9 million, Organizational Development Grants - $3 million, and Mediation Grants - $3 million. If all funds are not awarded in one category, funds are transferable to the other grant categories for use by qualified applicants.

(1) TOP Grant Categories. TOP funding is allocated to the following grant categories:

(a) Economic Self-Sufficiency Grant (ESSG) provides assistance to Site-Based Resident Associations (RAs) and Intermediary Resident Organizations (IROs), to move welfare dependent families to work. The applicant must provide evidence that at least 51% of those served are households affected by welfare reform. The funds can be used for training and technical assistance which will provide educational, job, business, and life skills to enable residents to move towards self-sufficiency and consistent with a needs assessment. For elderly/disabled developments, TOP funds can be used for stipends and training (including business development training, if appropriate) for residents to: engage in day care for children, provide professional and personal mentoring, raise grandchildren, and provide other intergenerational service. When TOP funds are utilized in this manner, the elderly residents providing these services need not be affected by welfare reform; however, at least 51 percent of those to be assisted by the services to be provided by elderly residents must be affected by welfare reform.

(b) Organizational Development Grants (ODG) provide 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 targeted to help establish new resident organizations or enhance the capacity of existing organizations to assist residents, participate in Housing Authority decision-making, manage all or a portion of their developments, and/or apply for and administer grants. An additional grant applicant is not eligible to apply for this grant.

(c) Mediation Grant provides assistance to Intermediary Resident Organizations (IROs) partnering with professional mediators to resolve conflicts involving public housing residents and/or Site-Based Resident Associations. The skilled mediator/partners, under the auspices of an IRO, will bridge impasses between residents and/or factions within specific developments, among active participants of a Site-Based Resident Association (RA), or between an RA and its partners, especially local Housing Authorities. The grant applicant must apply in partnership with a recognized professional mediation organization. All applicants 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 request mediation services directly to the grantee. While mediating for residents and their partners, the professional mediators would also train IRO grantee staff in mediation principles and skills for mediation in the future.

(2) TOP Grant Categories' Amounts.

(a) Basic Grants. Any eligible Site-Based RA in the development that has not previously received up to the following amount for an ESS grant or Organizational Development grant.

(i) ESS grant - Site-Based RAs may receive up to $100,000 less the value of any TOP assistance previously received by the development from an IRO.

(ii) Organizational Development grant - Site-Based RA may receive up to $40,000.

(b) Additional Grants (ESS Grant Only). Any eligible RA selected for a Resident Management (RM) or a TOP grant in FYs 1988-1997 (including a mini grant for start-up activities) that received less than a total of $100,000 may apply for an Additional Grant for economic self sufficiency, provided that the total cumulative RM/TOP funding for a project site, including Citywide or Intermediary Grant funds benefiting the project does not exceed (including previous grants) the total statutory maximum of $100,000. Additional Grant applicants may not apply for an Organizational Development grant.

(c) Intermediary Grants.

(i) Any eligible NRO, RRO, or SRO may apply for a single ESS, Organizational Development or Mediation grant for up to $250,000. These organizations may also apply for one grant each in two or more of the grant categories provided that the combined amount requested by the IRO this year does not exceed $350,000.

(ii) A Jurisdiction-wide Resident Organization may apply for an ESS, OD or Mediation grant for an amount of up to $100,000. A Jurisdiction-wide Organization may not apply in more than one grant category.

(iii) An IRO cannot assist RAs that have already received RM/TOP grants totaling $100,000 and cannot propose to provide assistance to a given project that would result in the project exceeding its statutory maximum for RM/TOP funding.

(d) Housing Authority Jurisdiction Maximum. The amount of funding available for all applicants that are not Intermediary Resident Organizations, that are located within the jurisdiction of a single housing authority is limited to the following amounts based on the size of the housing authority.
(i) For Housing Authorities with one to 780 units the maximum funding amount is $700,000.

(ii) For Housing Authorities with 781 to 7,300 units the maximum funding amount is $1,400,000.

(iii) For Housing Authorities with more than 7,301 units the maximum funding amount is $2,100,000.

(E) Eligible Applicants.

(1) EDSS Eligible Applicants.

PHAs, Tribes or their TDHEs that have not received a previous EDSS grant are eligible applicants.

(2) TOP Eligible Applicants.

(a) Public housing Site-Based Resident Councils, Resident Management Corporations and Intermediary Resident Organizations which include National Resident Organizations, Statewide Resident Organizations, Regional Resident Organizations, and Jurisdiction wide Resident Organizations.

(b) Please see Appendix A to this TOP/EDSS section of the SuperNOFA for the definition of Intermediary Resident Organization. Additionally, Intermediary Resident Organizations must be registered with the state as non-profit corporations and have applied for or received 501(c) status with the U.S. Internal Revenue Service. Eligible Intermediary Resident Organizations must list in their application the name of the RAs that will receive training or technical assistance, and submit letters of support from each entity identified in the application.

(3)Indian Housing Resident Organizations are now ineligible to apply for TOP funding. The President signed into law the Native American Housing Assistance and Self-Determination Act of 1996 (NAHASDA) on October 26, 1996, which terminated Indian Housing Assistance under the U.S. Housing Act of 1937.

(F) EDSS Eligible Activities. EDSS Program funds may be used for the activities as described below. At least 75 percent of the persons participating and receiving benefits from these activities must be residents of conventional Public or Indian Housing. Any other persons (up to 25 percent per grantee) participating or receiving benefits from these programs must be recipients of Section 8 assistance.

(1) Family Economic Development and Supportive Services category.

(a) Economic Development activities. Activities essential to facilitate economic uplift and provide access to the skills and resources needed for self-development and business development. Economic development activities may include:

(i) Entrepreneurship Training (literacy training, computer skills training, business development planning).

(ii) Entrepreneurship Development (entrepreneurship training curriculum, entrepreneurship courses).

(iii) Micro/Loan Fund. Developing a strategy for establishing a revolving micro/loan fund and/or capitalizing a loan fund.

(iv) Developing credit unions. Developing a strategy to establish and/or create onsite credit union(s) to provide financial and economic development initiatives to PHA/Tribal/TDHE residents. (EDSS grant funds cannot be used to capitalize a credit union.) The credit union could support the normal financial management needs of the community (i.e., check cashing, savings, consumer loans, micro-businesses and other revolving loans).

(v) Employment training and counseling (e.g., job training (such as Step-Up programs), preparation and counseling, job search assistance, job development and placement, and continued follow-up assistance).

(vi) Employer linkage and job placement.

(b) Supportive Services. The provision of services to assist eligible residents to become economically self-sufficient, particularly families with children where the head of household would benefit from the receipt of supportive services and is working, seeking work, or is preparing for work by participating in job-training or educational programs. Supportive services may include:

(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; 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).

(vi) Youth mentoring of a type that mobilizes a potential pool of role models to serve as mentors to public or Indian housing youth. Mentor activities may include after-school tutoring, help with problem resolution issues, illegal drugs avoidance, job counseling or mental health counseling.

(vii) 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.

(viii) Personal wellbeing (e.g., family/parental development counseling, parenting skills training for adult and teenage parents, and self-development counseling, etc.).

(ix) Supportive health care services (e.g., outreach and referral services to substance and alcohol abuse treatment and counseling, for example, mental health).

(x) Contracting for case management services contracts or employment of case managers, either of which must ensure confidentiality about resident's disabilities.

(2) Elderly or Disabled Supportive Services category. Supportive Services for the elderly and for persons with disabilities include:

(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 HA development.

(3) For both Family Economic Development and Supportive Services category and Elderly or Disabled Supportive Services category grants:

(a) The employment of or contracting for service coordinators. For the purposes of this program section of the SuperNOFA, a service coordinator is any person who is responsible for one or more of the following functions:

(i) Assessing the training and supportive service needs of eligible residents (for Family Economic Development and Supportive Service category grants);

(ii) Working with community service providers to coordinate the provision of services and to tailor the services to the needs and characteristics of eligible residents;

(iii) Establishing a system to monitor and evaluate the delivery, impact, effectiveness and outcomes of supportive services under this program;

(iv) Coordinating this program with other independent living or self-sufficiency, education and employment programs;

(v) Performing other duties and functions that are appropriate to assist eligible public and Indian housing residents to become economically self-sufficient;

(vi) Performing other duties and functions to assist residents to remain independent, and to prevent unnecessary institutionalization; and

(vii) Mobilizing other national and local public/private resources and partnerships.

(viii) Any other services and resources, proposed by the applicant and approved by HUD and authorized by the 1998 Appropriations Act that are determined to be appropriate in assisting eligible residents.

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

(c) Stipends. No more than $200 per participant per month of the grant award may be used for stipends for active trainees and EDSS program participants to cover the reasonable costs related to participation in training and other EDSS activities.

(G) EDSS Ineligible Activities. Activities for which costs are ineligible for funding under the EDSS Program include:

(1) Payment of wages and/or salaries to participants receiving supportive services and/or training programs, except that grant funds may be used to hire a resident(s) to coordinate/provide training program activities.

(2) Purchase or rental of land of buildings or any improvements to land or buildings.

(3) Building materials and construction costs.

(4) the hiring of service coordinators under the Elderly/Disabled EDSS category if applicant is also applying for a Service Coordinators program grant.

(H) TOP Eligible Activities. The following activities have been categorized based on their general appropriateness for the requirements of each grant category. Activities for which funding under TOP may be provided to an eligible Site-Based RA or Intermediary include any combination of, but are not limited to, the following:

(1) Economic Self-Sufficiency Grant Applicants.

(a) 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) Coordination of support services including: child care services; educational services remedial education, literacy training, 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, etc.

(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 authority staff, resident management corporations and resident councils on youth initiatives and program activities; and

(b)Resident Management Business Development including:

(i) Training related to resident-owned business development and technical assistance for job training and placement in RMC developments;

(ii) 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.

(iii) Training residents, as potential employees of an RMC, in skills directly related to the operation, management, maintenance and financial systems of a project;

(iv) Training residents with respect to fair housing requirements; and

(v) Gaining assistance in negotiating management contracts, and designing a long-range planning system.

(2) ESS/Organizational Development Applicants.

(a) Training Board members in community organizing, Board development, and leadership training;

(b)Determining the feasibility of and training existing resident groups for resident management or for a specific resident management project or projects; and

(c)Assisting in the creation of an RMC, such as consulting and legal assistance to incorporate, preparing by-laws and drafting a corporate charter.

(d)Develop the management capabilities of existing resident organizations.

(e) Homeownership Opportunity (Determining feasibility for homeownership by residents, including assessing the feasibility of other housing (including HUD owned or held single or multi-family) affordable for purchase by residents).

(f) Resident Capacity Building.

(3) Mediation Applicants.

(a) Training programs on mediation and communication skills;

(b) Training programs on dispute resolution and reconciliation, including training addressing racial, ethnic and other forms of diversity;

(c) Workshops for youth services including: child abuse and neglect prevention, tutorial services, youth leadership skills, youth mentoring, peer pressure reversal, life skills, and goal planning. The workshops could be held in partnership with community-based organizations such as local Boys and Girls Clubs, YMCA/YWCA, Boy/Girl Scouts, Campfire and Big Brother/Big Sisters, etc.

(d) Training in the development of strategies to successfully implement a youth program. For example, assessing the needs and problems of the youth, improving youth initiatives that are currently active, and training youth, housing authority staff, resident management corporations and resident councils on youth initiatives and program activities; and

(4) General (All TOP Applicants).

(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. By law, resident grantees must ensure that all training is provided by a qualified public or management specialist (Consultant/Trainer), HUD Headquarters or Field staff or the local HA. To ensure the successful implementation of the TOP Work Plan activities, the RAs are required to determine the need to contract for outside consulting/training services. The RA and the HA must jointly select and approve the consultant/trainer. Each RA should make maximum use of its HA, nonprofits, or other Federal, State 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 individual consultants (not including training firms) and contracts shall not exceed 50% of the grant or $50,000 whichever is less. HUD Field Offices will monitor this process to ensure compliance with program and OMB requirements, and particularly the requirement for competitive bidding.

(c)Stipends, as follows: Trainees and TOP program participants of a RA may only receive stipends for participating in or receiving training under the TOP to cover the reasonable costs related to participation in training and other activities in the TOP program, subject to the availability of funds. The stipends should be used for additional costs incurred during the training programs, such as child care and transportation costs. The cost of stipends may not exceed $200 per month per trainee without written HUD authorization.

(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 TOP Work Plan. All grantees must adhere to the travel policy established by HUD. The policy sets travel costs at a maximum amount of $5,000 per RA (not applicable to intermediaries) without special HUD approval.

(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. No more than two percent of the grant amount may pay for child care expenses.

(g) Costs directly related to establishing an RA as a nonprofit corporation or 501(c) tax exempt status.

(5)Administrative Costs. These costs are necessary for the implementation of grant activities. Administrative costs are not to exceed 25% of the grant unless the grantee is unable to obtain the services of a Contract Administrator without cost in which case administrative costs are not to exceed 30% of the grant. Appropriate administrative costs include, but are not limited to, the following items or activities:

(a) 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 in relationship to implementing its approved grant activities. Every effort must be made to acquire discounted or donated hardware.

(b) Grant contract and financial management audit. If a grantee is unable to obtain the services of a Contract Administrator or accountant without charge, the cost for a Contract Administrator 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. The cost for an independent audit should be budgeted separately from this item.

(c) Technical assistance regarding any other service and/or resource, including case management that are proposed by applicants and approved by HUD.

(d) Rental or lease of a car, van, or bus by resident grantees to attend training;

(I) TOP Ineligible Activities. Ineligible activities include, but are not limited to, the following:

(1) Entertainment, including associated costs such as food and beverages, except normal per diem for meals related to travel performed in connection with implementing the TOP Work Plan. (See TOP Travel Notice for more specific guidance.)

(2) Purchase or rental of land or buildings (including the community facility) or any improvements to land or buildings.

(3) 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).

(4) Purchase of any vehicle (car, van, bus, etc.) or any other property, other than as described under Section VII(e)(1) (Eligible Activities) of this program section of the SuperNOFA, unless approved by HUD Headquarters or the local HUD Field Office.

(5) Architectural and engineering fees.

(6) Payment of salaries for routine project operations, such as security and maintenance, or for RA staff, except that a reasonable amount of grant funds may be used to hire a person to coordinate the TOP grant activities or coordinate on-site social services.

(7) Payment of fees for lobbying services.

(8) Any expenditures that are fraudulent, wasteful or otherwise incurred contrary to HUD or OMB directives.

(9) Any cost otherwise eligible under this program section of the SuperNOFA for which funds are being provided from any other source.

(10) Entertainment equipment such as televisions, radios, stereos, and VCRs. A waiver of this item may be granted by the HUD Field Office or if funding is being utilized specifically and explicitly for the purposes of establishing a business directly related to radio, television or film or some other form or technical communication, and equipment is being utilized for training of residents or RAs. All such waivers must be authorized in writing by the HUD Field Office before purchases may be made.

()(11) For Intermediaries Only. In addition to the other ineligible activities listed in this EDSS/TOP section of the SuperNOFA, intermediaries cannot provide training and technical assistance to RAs that have received TOP funds of $100,000 or that would result in exceeding the statutory ceiling by providing more than $100,000 of training or technical assistance to a given project site.

(J) Grant Term. For both TOP and EDSS, the grantee must complete its grant activities within two years of the execution of the grant agreement.

In addition to the program requirements listed in the General Section of this SuperNOFA, 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.

(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 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, closeouts, and treatment of income.

(C) Prior to the initial draw down, all TOP and EDSS grantees shall have secured online access to the internet as a means to communicate with HUD on grant matters, and EDSS grantees shall have provided 75% of the required MTCS data to HUD.

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

(E)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.

III. Application Selection Process.

Three types of reviews will be conducted: a screening to determine if the application submission is complete and on time (see General Section of the SuperNOFA and Section IV of this TOP/EDSS section of the SuperNOFA); a threshold review to determine applicant eligibility; and a technical review to rate the application based on the rating factors in this Section III.

(A) Additional Threshold Criteria For Funding Consideration. Under the threshold review, the applicant will be rejected from the competition if the applicant is not in compliance with the threshold requirements of the General Section of the SuperNOFA and if the following additional standards are not met:

EDSS:

(1) Focus on Residents Affected by Welfare Reform. The family EDSS application must demonstrate evidence from the HA that at least 51% or more of the public or Indian housing residents 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.

(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/Tribe/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 HA. The community facilities must also meet the structural accessibility requirements of Section 504 of the Rehabilitation Act and the Americans With Disabilities Act.

(3) Leveraging Other Resources. The budget, the work plan, and commitments from resources and services other than the grant for which the applicant is applying to support the grant (including Comprehensive Grant, other governmental units/agencies of any type and/or private sources, whether for-profit or not-for-profit) must clearly evidence that these resources are firmly committed, will support the proposed grant activities and will, in combined amount (including in-kind contributions of personnel, space and/or equipment, and monetary contributions) equal the ED/SS grant amount proposed in this application. Firmly committed means there must be a written agreement to provide the resources. The written agreement may be contingent upon an applicant receiving a grant award. At least 25% of the match amount must consist of monetary contribution of funds and the remaining 75% in in-kind or other types of contributions. Salaries paid for with ED/SS funds do not qualify as funds from sources outside HUD. The following are guidelines for valuing certain types of contributions:

(i) The value of volunteer time and services shall be computed at a rate of six dollars per hour except that the value of volunteer time and service involving professional and other special skills shall be computed on the basis of the usual and customary hourly rate paid for the service in the community where the EDSS activity is located.

(ii) The value of any donated material, equipment, building, or lease shall be computed based on the fair market value at time of donation. Such value shall be documented by bills of sales, advertised prices, appraisals, or other information for comparable property similarly situated not more than one-year old taken from the community where the item or ED/SS activity is located, as appropriate.

(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; and The Youth Sports Program.

(5) In the case of an HA that is designated as "troubled" as a result of its PHMAP score the HA must provide documentation that a Contract Administrator (or equivalent organization that is qualified to administer federal grants; contracts; or cooperative agreements as evidence by information submitted in this document) will be deployed in the administration of this proposed grant.

(6) PHMAP Score. An applicant cannot have a PHMAP score less than a C for either Indicator #6, Financial Management or Indicator #8, Resident Initiatives on its most recent PHMAP.

TOP:

(1)Economic Self-Sufficiency Grant

(a) Focus on Residents Affected by Welfare Reform. The application must contain written evidence provided by the HA to the RA that at least 51% or more of the public housing residents 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 fifty one 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 Housing Authority.

(i) The application must contain a signed MOU between the RA and the HA which describes the specific roles, responsibilities and activities to be undertaken between the two entities.

(ii) The MOU, at a minimum must identity the principal parties (i.e. the name of the HA and RA), the terms of the agreement (expectations or terms for each party), and an indication that the agreement pertains to the support of the RA TOP grant application. This document is the basis for foundation of the relationship between the RA and HA. It must be precise and outline the specific duties and objectives to be accomplished under the grant. All MOUs must be finalized, dated and signed by duly authorized officials of both the RA and HA upon submission of the application. A sample MOU will be provided in the application kit.

This threshold requirement is not applicable to Intermediary Resident Organization applicants.

(c) Accessible Community Facility - The applicant must provide evidence (e.g. through an executed use agreement and/or in the MOU with the HA) that a 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 represented by the RA. The community facility must also meet the structural accessibility requirements of section 504 of the Rehabilitation Act and the Americans with Disabilities Act.

(d) Contract Administrator. Unless HUD or an Independent Public Accountant have 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 RA will use the services of a Contract Administrator in administering the grant. Troubled HAs are not eligible to be Contract Administrators. In cases where the Contract Administrator is the HA, the contract administration responsibilities can be incorporated into the MOU discussed in paragraph (g)(3) above. This requirement does not apply to Intermediary Resident Organization applicants.

(e) Applicant Non-Profit Status

(i) RCs/RMCs - Applicant must submit evidence that the applicant is registered with the State as a nonprofit corporation.

(ii) Intermediary Resident Organizations must submit evidence of being registered with the State as a nonprofit corporation; and having applied for 501(c) status with the United States Internal Revenue Services.

(f) Certification of Elections - Applicant must submit certification of the RA board election as required by HUD, signed by the local HA and/or an independent third-party monitor and notarized. (Not applicable to IROs)

(g) 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 another party has received.

(h) Applicants which are Intermediary Resident Organizations must list in the application the name of the RAs that will receive training, technical assistance and/or coordinated supportive services and must provide letters of support from each entity identified in the application. The intermediary can not list RAs that have been previously awarded Resident Management and/or TOP funds at the maximum limit of $100,000.

(2)Organizational Development Grant.

(a) Certification of Elections - Applicant must submit certification of the RA board election as required by HUD, signed by the local HA and/or an independent third-party monitor and notarized. (Not applicable to IROs)

(b) Contract Administrator Unless HUD or an Independent Public Accountant have determined that the applicant's financial management system and procurement procedures comply with 24 CFR part 84, the application must contain evidence that the RA will use the services of a Contract Administrator in administering the grant. Troubled HAs are not eligible to be Contract Administrators. In cases where the Contract Administrator is the HA, the contract administration responsibilities can be incorporated into the MOU discussed in paragraph (g)(3) above. This requirement does not apply to Intermediary Resident Organization applicants.

(c) Compliance with Current Programs. The applicant must provide certification on the format provided in the application kit 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 any other party has received and that there are no unresolved Office of Inspector General findings against the applicant or contract administrator.

(d) Applicants which are Intermediary Resident Organizations must list in the application the name of the RAs that will receive training, technical assistance and/or coordinated supportive services and must provide letters of support from each entity identified in the application. The intermediary can not list RAs that have been previously awarded Resident Management and/or TOP funds at the maximum limit of $100,000.

(3) Mediation Grant. For mediation grants, the applicant must meet the following requirements:

(a) Written Agreement with Mediator . Have a written agreement with professional mediator or mediation organization (mediator/partner) with 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 IRO staff and/or volunteers such that the IRO will be capable of providing mediation assistance independently by the end of the grant term;

(b) Mediation Experience/Referral Agreement. Provide evidence that its mediator/partner 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 . Intermediary Resident Organizations must be registered with the State as a nonprofit corporation; and have applied for 501(c) status with the United States Internal Revenue Services.

(d) Compliance with Current Programs. The applicant must provide certification on the format provided in the application kit that it 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 has received and that there are no unresolved Office of Inspector General findings against the applicant or mediation partner.

(B)Factors for Award Used to Evaluate and Rate EDSS and TOP Applications.

The following information does not apply to TOP organizational development applicants which will be selected by lottery.

The factors for rating and ranking applicants and maximum points for each factor are provided below. The points awarded for the factors total 100. Applicants are eligible two EZ/EC bonus points, as described in the General Section of the SuperNOFA. An EDSS application must receive a total of 75 points out of 100 and a TOP application must receive a total of 65 points out of 100 in order to be eligible for funding.

EDSS Selection Factors

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 overall 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's staff 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 that the applicant must submit the proposed number of staff years by the employees and experts to be allocated to the project, 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 ED/SS program. In order to receive a high score an applicant must provide a comprehensive description of the project management structure, including the use of a contract administrator, if applicable. The narrative must provide a description of how any co-applicants, subgrantees and other partner agencies relate to the program administrator as well as the lines of authority and accountability among all components of the proposed program.

(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 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): Based on the applicant's or if a Contract Administrator is proposed, the Administrator's prior performance in successfully carrying out grant programs designed to assist residents in increasing their self-sufficiency, security or independence. In order to receive a high score the applicant must demonstrate its (or the proposed Administrator's) program compliance and successful implementation of any of resident self-sufficiency, security or independence oriented grants (including those listed below) awarded to the applicant or overseen by the Administrator. Applicants or Administrators with no prior experience in operating programs that foster resident self-sufficiency, security or independence will receive a score of 0 on this factor. The applicant's past experience may include but is not limited to administering the following grants: 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; and The Youth Sports Program.

Rating Factor 2: Need/Extent of the Problem (20 Points)

Family EDSS applicants will be rated on (1) (a)(i) - (a)(vi). Elderly/Disabled applicants will be rated on (2)(a)-(c).

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. In order to obtain maximum points for Family Economic Development and Supportive Services Category applications, this document must contain statistical data which provides:

(a) A thorough socioeconomic profile of the eligible residents in relationship to HA-wide and national public and Indian housing data on residents:

(i) Who are on TANF, SSI benefits, or other fixed income arrangements;

(ii) In job training, entrepreneurship, or community service programs; and

(iii) Who are employed.

(iv) Specific information should be provided on training, contracting and employment through the HA.

(v) 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, (vi) A description of the goals, objectives, and program strategies that will result in successful transition of residents from welfare-to-work.

(2) In order to obtain maximum points for Elderly and Disabled Supportive Services Category applications, this document should contain statistical data which provides:

(a) The numbers of residents indicating need for assistance for activities of daily living.

(b) An assessment of the current service delivery system as it relates to the needs of the target population, including the number and type of services, the location of services, and community facilities currently in use.

(c) 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 points than applicants which do not relate their proposed program to the approved Consolidated Plan or Analysis of Impediments to Fair Housing Choice 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. For Tribes/TDHEs, the Indian Housing Plan would be the document to review for this information.

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 EDSS program; the soundness of the applicant's plan to evaluate the success of its proposed EDSS 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 (19 Points): The score in this factor will be based on the viability and comprehensiveness of strategies to address the needs of residents. HUD will award up to 19 points based on the following:

(a) Services (13 Points for Family EDSS applicants and 19 Points for Elderly/Disabled applicants; more points are awarded in the Elderly/Disabled application in order to balance other sections of the rating criteria where points are not applicable to and Elderly/Disabled applicant): The score in this factor will be based on the following:

(i) For Family Economic Development and Supportive Services Category applications, applicant provides a comprehensive description of how the applicant's plan provides services that specifically address the successful transition from welfare to work of non-elderly families. To receive a high score, the applicant should include case management/counseling, job training/development/placement (and/or business training/development/startup), child care and transportation. Also, in order to receive maximum points, goals, and objectives of the proposed plan, the 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 Disabled Supportive Services Category applications, applicant could include case management, health care, congregate services and transportation. To obtain maximum points the services must be located in a community facility and be available on a 12 hour basis or as needed by the eligible residents.

(b) Resident Contracting and Employment (3 Points): The score in this factor will be based on the extent to which residents will achieve self-sufficiency through the applicant contracting with resident owned businesses and through resident employment. A high score will be awarded where there is documentation (letter or resolution) describing the HA's commitment to hire at least 15% of residents or contract at least 15% of residents and a narrative describing the reasonable number of jobs or contracts, as well as the training processes related to the comprehensive plan. Elderly and Disabled Supportive Services Category applications will not be scored on this criterion.

(c) Rent Reform and Occupancy Incentives (3 Points): The score in this factor will be based on the degree to which the applicant has implemented, proposes to implement or collaborates with a public welfare department to implement incentives designed to promote resident self-sufficiency including but not limited to: ceiling rents, rent exclusions, rent escrows, occupancy preferences for applicants who work or who are in a self-sufficiency program, stipends, or income disregards. A high score is received if the applicant can show how the incentives complement the purposes of the program activities for which the applicant is seeking funding. Elderly and Disabled Supportive Services Category applications will not be scored on this criterion.

(2) Budget appropriateness/efficient use of grant (5 Points): Up to 5 points based on the extent to which the proposed ED/SS program will result in a lower total ED/SS program cost per dwelling unit to be served in the program in comparison to other applications under ED/SS. For the purposes of this selection factor, applicants may only count dwelling units currently under an annual contributions contract at the time of application submission. 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. The procedure for determining the score is outlined below.

(a) HUD will combine all of the per-unit amounts, rounded to the nearest whole dollar, into a single nationwide list in order from the lowest cost per unit to the highest cost per unit. HUD will take the total number of grant applications that have met the prerequisites to be scored and divide them by the score for this factor (i.e. 5) to establish a scoring increment. (b) HUD will start at the lowest per-unit amount and count one scoring increment into the list (i.e. 1/5th of the way into the list). The per-unit amount at that location will constitute a breakpoint. HUD will count the next scoring increment into the list and establish another breakpoint. The process will be repeated to establish 5 segments of per-unit costs. In the event that multiple applications share the same per-unit cost at a breakpoint, the breakpoint will be adjusted by $1 higher or lower than that of the initial breakpoint to achieve as close as possible a 1/5th segment.

(c) Once all of the breakpoints have been established as outlined, HUD will enter the score. All applications with a cost per unit below that of the first breakpoint will receive a score of 5; those with a cost per unit lower than the second breakpoint will receive a score of 4; etc.

(3) Reasonableness of the timetable (2 Points for Family EDSS applicants and 4 Points for Elderly/Disabled applicants); (more points are awarded in the Elderly/Disabled application in order to balance other sections of the rating criteria where points are not applicable to Elderly/Disabled applicant):

The score in this factor will be based on the speed at which the applicant can realistically accomplish the goals of the proposed ED/SS program. To receive a high score, the applicant must demonstrate that it will make substantial progress within the first six months after grant execution including putting staff in place, finalizing partnership arrangements, completing the development of requests for proposals and achieving other milestones that are prerequisites for implementation of the program. In addition the applicant must demonstrate that the proposed timetable for all

components of the proposed program is reasonable considering the size of the grant and its activities and that it can accomplish its objectives within the 24 month time limit.

(4) Program Assessment. (3 Points): The score in this factor will be based on the soundness of the applicant's plan to evaluate the success of its proposed EDSS 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. HUD will rate more favorably applicants which 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, and number of persons receiving certificates for successful completion of training in careers such as computer technology.

(5) Resident and Other Partnerships (11 Points for Family EDSS applicants and 9 Points for Elderly/Disabled applicants)

(a) Resident Involvement in ED/SS Activities (3 Points for Family EDSS applicants and 4 Points for Elderly/Disabled applicants); more points are awarded in the Elderly/Disabled application in order to balance other sections of the rating criteria where points are not applicable to and Elderly/Disabled applicants): The score in this factor will be based on the extent of resident involvement in developing the proposed EDSS program as well as the extent of proposed resident involvement in implementing the proposed EDSS program. In order to receive a high score on this factor the applicant must provide documentation that describes the involvement of residents in the planning phase for this program, and a commitment to provide continued involvement in grant implementation. In order to receive maximum points a memorandum of understanding or other written agreement between the applicant and the appropriate Resident Associations must be included.

(b) Other Partnerships (3 Points): The score in this factor will be based on the successful integration of partners into implementation of the proposed EDSS program. In order to receive a high score an applicant must provide a signed Memorandum of Understanding (MOU) (or other equivalent signed documentation provided that it delineates the roles, responsibilities of each of the parties and the benefits they will receive) that delineates specific partnerships related to the components in the comprehensive plan. In assessing this factor HUD will examine a number of aspects of the proposed partnership including:

(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: the extent to which the addition of the partners provides the ability to meet needs that the applicant could not otherwise meet without the partner(s).

(c) Overall Relationship/TOP Coordination (3 Points): For Family EDSS applicants, the score in this factor will be based on the extent of coordination between the applicant's proposed EDSS program and any/all existing or proposed TOP programs sponsored by RAs within the applicant's jurisdiction. In order to receive a high score the application must contain an MOU that describes collaboration between HA staff and residents on all of the specific components related to the work plan of both the proposed or current TOP and EDSS programs. If there are no existing and no proposed TOP grants within the jurisdiction of the applicant, the score for this factor will be 0. Elderly/Disabled applications will not be scored on this criterion. In addition, if all of the resident groups eligible to apply for TOP within the applicant's jurisdiction have already received TOP grants and will have completed the activities, the applicant will not be scored on this criterion.

(6)Policy Priorities (2 Points): Documentation of the extent to which policy priorities of the Department are furthered by the proposed activities. Such Department policy priorities are: (1) Affirmatively furthering fair housing by promoting greater opportunities for housing choice for minorities and the disabled; (2) Promoting healthy homes; (3) Providing opportunities for self-sufficiency, particularly for persons enrolled in welfare to work programs; (4) Providing enhanced economic, social and/or living environments in Empowerment Zones or Enterprise communities; and (5) Providing educational and job training opportunities through such initiatives as Neighborhood Networks, Campus of Learners and linking programs to AmeriCorps activities. To obtain the full two points in this category, at least three of these five policy priorities must be addressed.

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) which 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. Resources may include funding or in-kind contributions, such as services or equipment, allocated to the purposes(s) of the award the applicant is seeking. Resources may be provided by governmental entities, public or private nonprofit organizations, for-profit private organizations, or other entities willing to partner with the applicant. Applicants may also partner with other program funding recipients to coordinate the use of resources in the target area.

For programs which have a matching requirement, rating points for this factor will be allocated based upon the extent to which an applicant has exceeded the program's minimum match requirement. If the applicant meets the match requirement they will receive up to an additional 5 points; depending on the extent to which the match requirement is exceeded.

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 to provide the resources. The written 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. The commitment must also be signed by an official of the organization legally able to make commitments on behalf of the organization.

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:

(1) Coordination with the Consolidated Plan (2 Points for Family EDSS applicants and 6 points for Elderly/Disabled applicants; more points are awarded in the Elderly/Disabled application in order to balance other sections of the rating criteria where points are not applicable to an Elderly/Disabled application.)

The extent to which the application 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, needs, goals or objectives in those documents; or substantially further fair housing choice in the community. For tribes/TDHEs the Indian Housing Plan would be the document to review for information.

(2) For Family EDSS Applications, Coordination with the State or Tribal Welfare Plan (4 Points): Provide evidence that the proposed EDSS program has been coordinated with and supports the housing authority's efforts to increase resident self-sufficiency and is coordinated and consistent with the State or Tribal Welfare Plan.

(3) Coordination with Other Activities (4 Points): The extent to which the application 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, 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.

TOP Selection Factors for Economic Self Sufficiency Grants

Rating Factor 1: Capacity of the Applicant and Relevant Organizational Experience (20 points)

This factor addresses the extent to which the applicant

has assembled the organizational resources necessary to successfully implement the proposed activities in a timely manner. Since TOP grantees are generally prohibited from hiring staff with TOP funds, Site-Based Resident Association applicants will be rated based largely on the capacity of the Contract Administrator and partners contributing additional resources. In rating this factor HUD will consider the applicant's:

(1) Staffing. (7 Points)

(a) Experience. (4 Points): The knowledge and experience of the overall proposed applicant's, Contract Administrator's and/or partners' project director and staff, including the day-to-day program manager, 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's staff to undertake eligible program activities.

(b) Sufficiency. (3 Points): The applicant, Contract Administrator (if any) and partners have sufficient personnel or will be able to access quickly 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 that, the applicant must submit the proposed number of staff years by the employees and experts to be allocated to the project, 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 TOP program. In order to receive a high score an applicant must provide a comprehensive description of the project management structure, including the use of a contract administrator, if applicable. The narrative must provide a description of how any co-applicants, subgrantees and other partner agencies relate to the program administrator as well as the lines of authority and accountability among all components of the proposed program.

(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 comprehensive description of the fiscal management structure, including but not limited to budgeting, fiscal controls and accounting. The application must explain the staff responsible for fiscal management, and the processes and timetable for implementation during the proposed grant period.

(3) Applicant/Administrator Track Record/Capability (6 Points): In assessing this factor, HUD will consider the soundness of the prior experience of the Applicant and the Contract Administrator (if applicable) in successfully carrying out resident services programs designed to assist residents in increasing their self-sufficiency, security or independence. A high score is received if the Applicant or Administrator can demonstrate compliance and successful implementation (i.e. completion of grant implementation plan tasks) of prior resident services programs. Applicants and Contract Administrators with no prior experience in operating programs that foster resident self-sufficiency, security or independence will receive a score of 0 on this factor.

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 well specified and critical need in the development of the proposed activities in the area where activities will be carried out. In responding to this factor, applicants will be evaluated on:

(1) Needs Assessment Document (18 Points): HUD will award up to 18 points based on the quality and comprehensiveness of the needs assessment document. In order to obtain maximum points this document must contain statistical data which provides:

(a) A thorough socioeconomic profile of the eligible residents in relationship to HA-wide and national public housing data on residents. The profile should include residents: on TANF, SSI benefits, or other fixed income arrangements; in job training, entrepreneurship, or community service programs; and employed;

(b) Specific information should be provided on training, contracting and employment through the HA;

(c) 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.

(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 points than applicants which do not relate their proposed program to the approved Consolidated Plan or Analysis of impediments to Fair Housing Choice 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 TOP program; the soundness of the applicant's plan to evaluate the success of its proposed TOP program at completion and during program implementation; and resident and other partnerships. 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 that 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.

(1) Viability and comprehensiveness of the strategies to address the needs of residents (11 Points): The score in this factor will be based on the extent and comprehensiveness of the training and related services that will be provided as well as the extent that the proposed training and related services will contribute to providing for unmet resident needs identified in the required Needs Assessment Report.

To receive a high score applicants must provide a comprehensive description of how the proposed plan provides training and related services that specifically address the successful transition from welfare to work and/or maintaining independence of elderly families and persons with disabilities by avoiding institutionalization. To obtain maximum points the training and related services must be located in the community facility and be available as needed by the eligible residents. Also, in order to receive maximum points, goals and objectives of the proposed plan must represent significant achievements related to welfare-to-work and other self-sufficiency/independence goals. Specifically, for residents affected by welfare reform, the number of residents employed or resident businesses started are preferable to the number of residents receiving training.

Intermediary Resident Organizations will receive points under this Viability and Comprehensiveness factor (as outlined above) based on the training and related services for each of the project sites the Intermediary Resident Organization proposes to assist.

(2) Budget Appropriateness/Efficient Use of Grant Funds (6 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 reasonable administrative costs within the 25%-30% administrative cost ceiling.

(c) Budget Efficiency. The extent to which the application requests funds commensurate with the level of effort necessary to accomplish the goals and objectives and the estimated costs to the government are reasonable in relationship to the anticipated results.

(3) Reasonableness of the timetable (1 Point): The score in this factor will be based on the speed at which the applicant can realistically accomplish the goals of the proposed TOP program. To receive a high score, the applicant must demonstrate that the proposed timetable for all components of the proposed program is reasonable (i.e. a given task is allotted the amount of time it would normally take to accomplish such a task) and that the applicant can accomplish the proposed implementation plan objectives within the 24 month time limit. The applicant must also demonstrate that it will make substantial progress within the first six months after grant execution.

(4) Policy Priorities (2 Points): Documentation of the extent to which policy priorities of the Department are furthered by the proposed activities. Such Department policy priorities are: (1) Affirmatively furthering fair housing by promoting greater opportunities for housing choice for minorities and the disabled; (2) Promoting healthy homes; (3) Providing opportunities for self-sufficiency, particularly for persons enrolled in welfare to work programs; (4) Providing enhanced economic, social and/or living environments in Empowerment Zones or Enterprise communities; and (5) Providing educational and job training opportunities through such initiatives as Neighborhood Networks, Campus of Learners and linking programs to AmeriCorps activities. To obtain the full two points in this category, at least three of these five policy priorities must be addressed.

(5) Housing Authority-Resident Association Partnership (8 Points)

(a) The score in this factor will be based on the extent of coordination between the applicant's proposed TOP program and any/all existing or proposed HA resident services programs that assist residents in increasing their self-sufficiency, security or maintaining their independence by avoiding institutionalization. In order to receive a high score the application must contain an MOU (between the HA and the RA) which describes collaboration between HA staff and residents on all of the specific components related to the implementation plans of both the proposed TOP program and the resident services programs of the housing authority.

(b) Intermediary Resident Organizations will receive points under this Housing Authority-Resident Association Program Partnership factor based on the extent to which the Intermediary Resident Organization can demonstrate that the housing authorities for each of the project sites the Intermediary Resident Organization proposes to assist have agreed to support and coordinate their efforts with those of the Intermediary Resident Organization in assisting the project sites.

(6) Other Partnerships (4 Points): The score in this factor will be based on the successful integration of partners into implementation of the proposed TOP program. In order to receive a high score an applicant must provide an MOU or other equivalent documentation that delineates specific partnerships related to the components in the comprehensive plan. In assessing this factor HUD will examine a number of aspects of the proposed partnership including:

(a) The soundness of the division of responsibilities/management structure of the proposed partnership relative to the expertise and resources of the partners;

(b) The extent to which the partnership as a whole addresses a broader range of resident needs: the extent to which the addition of the partners provides the ability to meet needs more cost effectively or efficiently than the applicant or its partners could achieve individually without forming the partnership.

(7) Resident Involvement (4 Points)

(a) The score in this factor will be based on the extent of resident involvement in developing the proposed TOP program as well as the extent of proposed resident involvement in implementing the proposed TOP program. In order to receive a high score on this factor the applicant must provide verifiable documentation which describes the involvement of affected residents in the planning phase for this program, and a commitment by the Resident Association to provide continued involvement in grant implementation. In order to receive maximum points the application must contain a resolution from the appropriate RA(s) which includes signatures from the resident community.

(b) Intermediary Resident Organizations will receive points under this Resident Involvement factor based on the demonstrated level of coordination of efforts between the RA for each of the project sites the Intermediary Resident Organization proposes to assist and the Intermediary Resident Organization. Higher points will be awarded to the extent that RAs proposed to be assisted have taken the preliminary steps to take advantage of the assistance proposed for their site by the Intermediary Resident Organization. For example, the RA for the proposed site has organized itself and selected its leadership and obtained basic training from the HA or other community organizations.

(8)Program Assessment. (4 Points): The score in this factor will be based on the soundness of the applicant's plan to evaluate the success of its proposed EDSS 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. HUD will rate more favorably applicants which 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, and number of persons receiving certificates for successful completion of training in careers such as computer technology.

This factor addresses the ability of the applicant to secure community resources. In evaluating this factor HUD will consider: The extent to which the commitment letters or the equivalent can demonstrate that resources outside the TOP Program (including existing Federal, state, local, non-profit, and/or private resources) are to be utilized in the applicant's proposed program. The resources will be measured based on a ratio of applicant's value of in-kind contributions and funds committed for the proposed effort.

Applicants must provide evidence of leveraging/partnerships by including in the application letters of firm commitments, memorandum 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 to provide the resources. The written agreement may be contingent upon an applicant receiving a grant agreement. 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. The commitment must also be signed by an official of the organization legally able to make commitments on behalf of the organization.

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:

(1) Coordination with the Consolidated Plan (2 Points): The extent to which the application 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, needs, goals or objectives in those documents; or substantially further fair housing choice in the community.

(2) Coordination with the State Welfare Plan (4 points): Provide evidence that the proposed TOP has been coordinated with and supports the housing authority's efforts to increase resident self-sufficiency and is coordinated and consistent with the State Welfare Plan.

(3) Coordination with Other Activities (4 Points): The extent to which the application 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, 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.

Selection Factors for TOP Organizational Development Grant. Applicants are not required to address selection factors for the Organizational Development Grant category. HUD will use a lottery system to select applicants for this category.

Selection Factors for TOP Mediation Grant.

This factor addresses the extent to which the applicant and mediation partner have the organizational resources necessary to successfully implement the proposed activities in a timely manner. In rating this factor HUD will consider the applicant's:

(1) Staffing (7 points)

(a) Experience. (4 Points): The knowledge and experience of the overall proposed project director and staff, including the day-to-day program manager(s), for both the applicant and mediation partner 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 staff to undertake eligible program activities.

(b) Sufficiency. (3 Points): The applicant and mediation partner have sufficient personnel or will be able to quickly access qualified experts or professionals, to deliver the proposed activities in each geographical territory in a timely and effective fashion, including the readiness and ability of the applicant to immediately begin the proposed work program. To demonstrate that the applicant must submit the proposed number of staff years by the employees and experts to be allocated to the project, 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 (13 points)

(a) Program Administration. (4 Points): The soundness of the proposed management of the proposed TOP 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 the mediation partner relates to the applicant 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 comprehensive description of the fiscal management structure including but not limited to budgeting, fiscal controls and accounting. The application must explain the staff responsible for fiscal management, and the processes and timetable for implementation during the proposed grant period.

(c) Applicant/Administrator Track Record/Capability (6 Points): In assessing this factor, HUD will consider the soundness of the prior experience of the applicant and the mediation partner in successfully carrying out programs with similar purposes and/or constituency. A high score is received if the applicant and/or partner can demonstrate compliance and successful implementation (i.e. completion of grant implementation plan tasks) of prior such programs. Applicants and mediation partners with no prior experience in operating such programs will receive a score of 0 on this factor.

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 well specified and critical level of need in the development or the proposed activities in the geographical territory 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. In order to obtain maximum points, this document must contain statistical and other data which provides:

(a) A thorough description of the current public housing community as it relates to the need for mediation, for example, describe human relations problems related to illegal gang activity in the community and other crimes;

relations among various racial, ethnic and socio-economic groups; and relations between residents, resident leaders and community institutions such as the police, schools and welfare department.

(b) Specific information should be provided on the relationship between the HA and the resident groups; and

(c) An assessment of any current services related to the mediation needs of the target population in the geographical territory defined by the applicant, including the number and type of services, the location of services, and community facilities currently in use.

(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 points than applicants which do not relate their proposed program to the approved Consolidated Plan or Analysis of impediments to Fair Housing Choice 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 mediation needs of residents; budget appropriateness/efficient use of grant; the speed at which the applicant can realistically accomplish the goals of the proposed TOP program; the soundness of the applicant's plan to evaluate the success of its proposed TOP program at completion and during program implementation; and resident and other partnerships.

(1) Viability and comprehensiveness of the strategies to address the mediation needs of residents (19 Points): The score in this factor will be based on the extent and comprehensiveness of the mediation and related services that will be provided as well as the extent that the proposed mediation and related services will contribute to providing for unmet needs identified in the required Needs Assessment Report.

To receive a high score, applicants must provide a comprehensive description of how the proposed plan provides training and related services that specifically address the mediation needs and will improve the environment of public housing developments in the geographic territory designated by the applicant.

(2) Budget Appropriateness/Efficient Use of Grant Funds (6 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 reasonable administrative costs within the 15% administrative cost ceiling.

(c) Budget Efficiency. The extent to which the application requests funds commensurate with the level of effort necessary to accomplish the goals and objectives and the estimated costs to the government are reasonable in relationship to the work performed and the anticipated results.

(3) Reasonableness of the Timetable (2 Points): The score in this factor will be based on the speed at which the applicant can realistically accomplish the goals of the proposed TOP program. To receive a high score, the applicant must demonstrate that the proposed timetable for all components of the proposed program is reasonable (i.e. a given task is allotted the amount of time it would normally take to accomplish such a task) and that the applicant can accomplish the proposed implementation plan objectives within the 24 month time limit. The applicant must also demonstrate that it will make substantial progress within the first six months after grant execution.

(4) Policy Priorities (2 Points): Documentation of the extent to which policy priorities of the Department are furthered by the proposed activities. Such Department policy priorities are: (1) Affirmatively furthering fair housing by promoting greater opportunities for housing choice for minorities and the disabled; (2) Promoting healthy homes; (3) Providing opportunities for self-sufficiency, particularly for persons enrolled in welfare to work programs; (4) Providing enhanced economic, social and/or living environments in Empowerment Zones or Enterprise communities; and (5) Providing educational and job training opportunities through such initiatives as Neighborhood Networks, Campus of Learners and linking programs to AmeriCorps activities. To obtain the full two points in this category, at least three of these five policy priorities must be addressed.

(5) Other Partnerships (5 Points): The score in this factor will be based on the successful integration of partners into implementation of the proposed TOP program. In order to receive a high score an applicant must provide an MOU or other equivalent documentation that delineates specific partnerships related to the components in the comprehensive plan. In assessing this factor HUD will examine a number of aspects of the proposed partnership including:

(a) The appropriateness of the level of expertise of the partners related to activities proposed in the application;

(b) The soundness of the division of responsibilities/management structure of the proposed partnership relative to the expertise and resources of the partners;

(6)Program Assessment. (6 Points): The score in this factor will be based on the soundness of the applicant's plan to evaluate the success of its proposed EDSS 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. HUD will rate more favorably applicants which 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, and number of persons receiving certificates for successful completion of training in careers such as computer technology.

Rating Factor 4: Leveraging Resources (10 Points)

This factor addresses the ability of the applicant to secure community resources which can be combined with HUD's program resources to achieve program purposes. In evaluating this factor HUD will consider:

The extent to which the commitment letters or the equivalent can demonstrate that resources outside the TOP Program (including existing Federal, state, local, non-profit, and/or private resources) are to be utilized in the applicant's proposed program. The resources will be measured based on the ratio of the applicant's value of in-kind contributions and funds committed for the proposed effort.

Applicants must provide evidence of leveraging/partnerships by including in the application letters of firm commitments, memorandum of understanding, or agreements to participate from those entities identified as partners in the application. Firmly committed means there must be a written agreement to provide the resources. The written agreement may be contingent upon an applicant receiving an 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. The commitment must also be signed by an official of the organization legally able to make commitments on behalf of the organization.

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 mediation 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:

(1) Coordination with the Consolidated Plan (2 Points): The extent to which the application 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, needs, goals or objectives in those documents; or substantially further fair housing choice in the community.

(2) Coordination with the State Welfare Plan (1 Points): Provide evidence that the proposed TOP must have been coordinated with and supports the housing authority's efforts to increase resident self-sufficiency and is coordinated and consistent with the State Welfare Plan.

(3) Coordination with Other Activities (7 Points): The extent to which the application 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, 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 mediation needs.

(C) Selections. In order to be considered for funding under the EDSS program, an applicant must receive a minimum score of 75. In order to be funding under the TOP program, an applicant must receive a minimum score of 65.

If two or more applications have the same number of points, the application with the most points for Factor 3, Soundness of Approach shall be selected. If there is still a tie, the application with the most points for Factor 4, Leveraging Resources shall be selected.

Please refer to the General Section of this SuperNOFA. In addition, 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. (NOTE: This does not apply to TOP Organizational Development grant applicants.)

(B) A two-year work plan for implementing EDSS/TOP activities which includes goals, budget, timetable and strategies. 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. Please provide the chart and/or certification format provided in the application kit;

(D) Certifications and assurances referenced in this program section of the SuperNOFA. TOP applicants who are IROs must also submit a list of Site-Based Resident Associations they intend to assist and Site-Based Resident Associations must certify as to the amount of RM/TOP funding received to date by their development.

(E) Memorandum of Understanding/Agreement; commitment letters; and other required documentation of partnerships.

V.Correction to Deficient Applications.

The General Section of this NOFA provides the procedures for corrections to deficient applications.

In accordance with 24 CFR 50.19(b)(3),(9), (12) and (14) of the HUD regulations, activities assisted under the EDSS/TOP programs are categorically excluded from the requirements of the National Environmental Policy Act and are not subject to environmental review under related laws and authorities.

Community Facility means a non-dwelling structure that provides space for multiple supportive services for the benefit of public and Indian housing residents (as well as others eligible for the services provided) that may include but are not limited to:

(1) Child care;

(2) After-school activities for youth;

(3) Job training;

(4) Campus of Learner activities; and

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

Contract Administrator means an overall administrator and/or a financial management agent that oversees the financial aspects of a grant and assists in the entire implementation of the grant. Examples of qualified organizations that can serve as a Contract Administrator are:

(1) Local housing authorities; and

(2) Community based organizations such as Community Development Corporations (CDCs), community churches, and State/Regional Associations/Organizations.

Development has the same meaning as the term "Project" below.

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 authority;

(2) There are no incorporated Resident Councils or Resident Management Corporations within the jurisdiction of the single housing authority;

(3) It has experience in providing start-up and capacity-building training to residents and resident organizations; and

(4) Public housing residents representing unincorporated Resident Councils within the jurisdiction of the single housing authority must comprise the majority of the board of directors.

Intermediary Resident Organizations means Jurisdiction-Wide Resident Organizations, State-wide Resident Organizations, Regional Resident Organizations and National Resident Organizations.

National Resident Organization (NRO) means an incorporated nonprofit organization or association for public 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. Such a term shall not exclude persons who have the disease of acquired immunodeficiency syndrome (AIDS) or any conditions arising from the etiologic agent for acquired immunodeficiency syndrome; or

(3) Is determined, pursuant to regulations issued by the Secretary, to have a physical, mental, or emotional impairment which:

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

(ii) Substantially impedes his or her ability to live independently; and

(iii) Is of such a nature that such ability could be improved by more suitable housing conditions.

(4)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.

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 receive official recognition from the HA/HUD, and be eligible to receive funds for RC activities and stipends for officers for their related costs for volunteer work in public housing. (Although 24 CFR part 964 defines an RC as an incorporated or unincorporated nonprofit organization, HUD requires RC applicants for TOP Economic Self-Sufficiency 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:

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

(ii) One or more contiguous buildings;

(iii) A development; or

(iv) A combination of the buildings or developments described above.

Regional Resident Organization (RRO) means an incorporated nonprofit organization or association for public 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 HA and HUD:

(1) It shall be a nonprofit organization that is validly incorporated under the laws of the State in which it is located;

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

(i) Approves the establishment of the corporation; and

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

(3) It shall have an elected Board of Directors, and elections must be held at least once every 3 years;

(4) Its by-laws shall require the Board of Directors to include resident representatives of each RC involved in establishing the corporation; include qualifications to run for office, frequency of elections, procedures for recall, and term limits if desired;

(5) Its voting members shall be heads of households (any age) and other residents at least 18 years of age and whose 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.

Return to the 1998 Funds Available