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FY 1998 SuperNOFA 2
Outreach and Training Grants (OTAG) to Provide Technical Assistance
to Tenant Groups in Projects Eligible
under the Mark-to-Market (M2M) Program
PROGRAM DESCRIPTION: Approximately $6.0 million in Outreach and Training Grant (OTAG) funds is available for resident-controlled non-profit organizations, community-based organizations and public entities to apply for funds to conduct outreach and training development for HUD tenants in properties eligible to participate in the M2M program, so that the tenants can (1) participate meaningfully in the M2M program, and (2) affect decisions about the future of their housing. The purpose of the M2M program is to reduce the cost of above market Section 8 assistance, preserve affordable housing stock, and streamline the administration of Federal housing subsidies. These funds are available to grantees providing the program on a community-, county-, city-, or state-wide level.
APPLICATION DUE DATE: Completed applications must be received no later than 12:00 midnight, Eastern time on June 30, 1998 at HUD Headquarters. 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).
ADDRESS FOR SUBMITTING APPLICATIONS: Completed applications (one original and two copies) must be submitted to: the Office of Portfolio Reengineering, Room 6130, HUD Headquarters, 451 Seventh Street, SW, Washington, DC 20410. When submitting your application, please refer to OTAG, and include your name, mailing address (including zip code) and telephone number (including area code).
FOR APPLICATION KITS, FURTHER INFORMATION AND TECHNICAL ASSISTANCE:
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 OTAG and provide your name, address (including zip code), and telephone number (including area code).
For Further Information. Arthur Goldstein at (202) 708-2300, extension 2657. Persons with speech or hearing impairments may call HUD's TTY number (202) 708-0770, or 1-800-877-8399 (the Federal Information Relay Service TTY). Other than the "800" number, these numbers are not toll-free. Mr. Goldstein can also be reached via the Internet at arthur_d._goldstein@HUD.gov.
For Technical Assistance. An information broadcast via satellite will be held for potential applicants to learn more about the program and preparation of an application. For more information about the date and time of the broadcast, please consult the HUD web site at the web address listed above.
ADDITIONAL INFORMATION:
I.Authority; Purpose; Amount Allocated; and Eligibility.
Applicants should take care in reviewing this section to ensure they are eligible to apply for funds and that they meet the program requirements described.
(A) Authority. The FY 1998 HUD Appropriations Act authorizes funding for the Outreach and Training Grant program. This authorization is under the legislation "Multifamily Assisted Housing Reform and Affordability Act of 1997" (MAHRA), (Title V-HUD Multifamily Housing Reform, subtitle A, section 514, Mortgage Restructuring and Rental Assistance Sufficiency Plan).
(B) Purpose. The purpose of the OTAG program is to provide technical assistance to tenants of eligible M2M properties so that the tenants can (1) participate meaningfully in the M2M program, and (2) affect decisions about the future of their housing.
(C) Amount Allocated. The competition in this program is for up to $6.0 million to fund resident-controlled nonprofit organizations, community-based organizations and public entities in the pursuit of OTAG activities. The $6.0 million will be awarded in 1998 but will be utilized for OTAG technical assistance activities that are needed through October 1, 2001.
(D) Grant Amount and Terms. M2M will accept OTAG applications that propose a term of from one to three years. The term begins on the date of the execution of the grant agreement. The grant amount will be limited to $400,000 for successful applications that propose the three year maximum for activities. The maximum annual allocation for such grants will be approximately $150,000, which must be expended by the grantee prior to the distribution of additional funds. For example: If a grantee is unable to successfully utilize their annual allocation in the requisite year, then no funds for the next year will be allocated until the current year's allocation has been expended according to the agreement. The grant may be terminated if the grantee fails to complete the tasks within a reasonable time period.
(E) Eligible Applicants. An organization applying for OTAG funding must:
(1) Be a resident-controlled nonprofit organization with a majority of the board consisting of residents of HUD assisted housing, with at least two years of experience in resident organizing and education;
(2) A community-based organization (CBO), with at least two years of experience in resident organizing and education; or
(3) Public entities such as: community action, legal service, and fair housing counseling agencies; State and local government agencies; and intermediaries.
These grants will be awarded on a community-, city-, county-, multi-county-, or state-wide basis. The approved grantees will initiate an outreach program that will identify, deliver training to, and develop the organizational process that will be used in organizing the unorganized residents of eligible low-income housing. Any group that is applying for an OTAG must have at least two years of experience in organizing and training tenants, or have an affiliation with an organization that has such experience. However, the organization providing the experience must not have influence over the grantee's decision making. All funds expended under this OTAG Program section of the SuperNOFA must be used for tenant activities as described later in this program section of the SuperNOFA.
A CBO is a private nonprofit organization that:
(1) Is organized under State or local laws;
(2) Has no part of its earnings inuring to the benefit of any member, founder, contributor, or individual;
(3) Is neither controlled by, nor under the direction of, individuals or entities seeking to derive profit or gain from the organization;
(4) Has applied for, or has a tax exemption ruling from the Internal Revenue Service under section 501(c) of the Internal Revenue Code of 1986;
(5) Does not include a public body (including the participating jurisdiction) or an instrumentality of a public body. An organization that is State or locally charted may qualify as a community-based nonprofit organization; however, the State or local government may not have the right to appoint more than one-third of the membership of the organization's governing body and no more than one-third of the board members can be public officials;
(6) Has standard of financial accountability that conforms to 24 CFR part 84;
(7) Has among its purposes the provision of decent housing that is affordable to low-income and moderate-income persons, as evidenced in its charter, articles of incorporation, resolutions or by-laws;
(8) Maintains accountability to low income community residents by:
(i) Maintaining at least one-third of its governing board's membership for low income neighborhood residents, other low-income community residents, or elected representatives of low-income neighborhood organizations. For urban areas, "community" may be a neighborhood or neighborhoods, town, village, county, or multi-county area or state; and
(ii) Providing a formal process for low-income, program beneficiaries to advise the organization on its decisions regarding the acquisition, rehabilitation and management of affordable housing.
Applicants that do not have tax-exempt status under section 501(c) of the Internal Revenue Code of 1986 on or before the date of application may be considered as long as the organization is approved before the effective date of the grant agreement. Also, newly formed and otherwise eligible organizations may submit joint applications with eligible organizations that are tax exempt.
(F) Eligible Activities. An applicant must identify its specific jurisdiction and the activities it will undertake to accomplish its objectives. Activities for OTAGs can include:
(1) Identifying residents and resident groups living in eligible M2M properties as well as enforcement properties with rents greater than market rents. Eligible projects include any property with an expiring Section 8 contract that is eligible for the M2M program and these properties deemed ineligible for participation in the M2M program under section 516 of the FY 1998 Appropriations Act;
(2) Providing outreach and training to tenants to explain the M2M program, the possible financial changes, the possible project repairs, access and community resources and effective methods for communicating the organization's position;
(3) Organizing residents of eligible low-income housing so the tenants can effectively participate in the M2M process;
(4) Performing outreach, training, and counseling, which may include teaching sound housing management, maintenance, and financial management, to residents and resident groups living in eligible M2M properties;
(5) Delivering project-based, community-, city-, county-, or state-wide training programs on M2M and/or resident homeownership options;
(6) Establishing M2M clearinghouses as a resource to resident organizations, community groups and potential purchasers;
(7) Creating informational materials about the M2M process for local/state-wide distribution;
(8) Providing support for HUD approved activities proposed by the grantee that would further the M2M program and others considered eligible at HUD's discretion;
(9) Educating parties outside HUD (including but not limited to appraisers, financial institutions officials, State and local government officials, community groups, and owner entities) about the M2M process.
II. Program Requirements.
In addition to the program requirements listed in the General Section of this SuperNOFA, grantees must meet the following program requirements:
(A) Reporting Requirements.
(1) OTAG Grantees must comply with all requirements of 24 CFR Part 84.
(2) OTAG Grantees must submit a quarterly performance report to the Director of the Office of Mortgage and Housing Assistance Restructuring (OMAR).
(3) These reports are to list the properties and number of tenants assisted by the OTAG Activities being performed that quarter. These reports must include information conferences, brochures, meetings held, training, etc., and a narrative describing what tangible benefits resulted from the assistance.
(4) Payment requests may be frozen until receipt of an acceptable performance report.
(B) Records Retention and Access Requirements. All accounting and other records associated with OTAG administration must be retained and made available to HUD or its designee in accordance with 24 CFR �84.53.
(C) Auditing Requirements. OTAG grantees must comply with the audit requirements set forth in 24 CFR Part 45.
(D) Conflict of Interest (CI) Requirements. Funds received under this OTAG Program section of this SuperNOFA shall not be used to supplant or duplicate other resources for the proposed activities. In carrying out its duties under this program section of the SuperNOFA, any grantee must avoid even the appearance of a conflict of interest. All executives, board members, key management personnel, or any other person or entity with direct or indirect control, is required to execute a CI Certification at the time of execution of a grant agreement and on each anniversary date of execution.
III. Application Selection Process.
Two types of reviews will be conducted: 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 requirements of the General Section of the SuperNOFA and if the applicant does not qualify as an Eligible Applicant as defined in Section I(E) of this OTAG Program section of the SuperNOFA.
(B) Factors For Award Used To Evaluate and Rate Applications. The factors for rating and ranking applicants, and maximum points for each factor, are provided below. The maximum number of points for this program is 100. This section of the SuperNOFA does not include EZ/EC bonus points.
Rating Factor 1: Capacity of the Applicant and Relevant Organizational Experience (25 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. The rating of the "applicant" or the "applicant's organization and staff" for technical merit or threshold compliance, unless otherwise specified, will include any faculty, subcontractors, consultants, sub-recipients, and members of consortia which are firmly committed to the project. In rating this factor, HUD will consider the extent to which the proposal demonstrates:
(1) (5 points) The knowledge and direct experience of the proposed project director and staff, including the day-to-day program manager, consultants and contractors, in planning and managing the kind of programs for which funding is being requested. The applicant will be judged in terms of recent, relevant and successful experience in undertaking eligible program activities.
The applicant has sufficient personnel, or access to qualified experts or professionals, enabling delivery of the proposed activities in each proposed service area in a timely and effective fashion. Capacity also includes the readiness and ability of the applicant to immediately begin the proposed work program.
(2) (5 points) The applicant's experience in managing programs similar in scope or nature directly relevant to the work activities proposed and carrying out grant management responsibilities. If the applicant has managed large, complex, interdisciplinary programs, the applicant should include the information supporting this claim in their response.
(3) (5 points) If the applicant received funding in previous years, the applicant's past experience will be evaluated in terms of their ability to attain demonstrated measurable progress in the implementation of their most recent grant awards, as measured by expenditures and measurable progress in achieving the purpose for which funds were provided. However, the applicant must demonstrate how it will successfully undertake additional activities effectively under this OTAG Program section of the SuperNOFA.
Capability to conduct community-, city, county-, multi-county, or state-wide outreach and training program. This program could be to identify and organize residents and conduct educational workshops for tenants of eligible M2M residents, about the residents involvement in the M2M program. Training is to be conducted in a reasonable time period, within budget, and in an effective manner. This criterion can be demonstrated through past performance, as evidenced by previous experience and success in outreach, training recruitment, counseling, and development of tenant nonprofit organizations. References should be included that indicate groups of individuals, entities, projects that received training, along with contact information of same.
(4) (5 points) Ability to cover large geographic areas. The larger the geographic area proposed, the larger number of points will be awarded.
(5) (5 points) Applicant's fiscal capability in meeting the reporting and audit requirements of 24 CFR part 84. The ability of the applicant's key staff to handle, manage, and adequately account for financial resources, and to use acceptable financial control procedures, demonstrated through past performance of the applicant entity or key staff with Federal, State or local funds, or an explanation of how such capability can be obtained. Implicit to this criterion is the capacity of the applicant to carry out the program, subject to conflict of interest and non-duplication of "other resource" requirements. If the applicant organization, or any staff person associated with the organization intends to seek other technical assistance funding, as a consultant or any other means, under the M2M program (i.e. Intermediary Technical Assistance Grant program), it must demonstrate that it can maintain the financial systems required to avoid even the appearance of a conflict of interest or non-duplication of funding. Evidence of meeting this criteria can be shown by the demonstrated performance of a recent audit review of the organization or a satisfactory, HUD Field Office Management Review.
Rating Factor 2: Need/Extent of the Problem (25 Points)
This factor addresses the extent to which there is a need for funding the proposed program activities and an indication of the urgency of meeting the need in the target area. HUD has determined that need will be evaluated based on the number of M2M-eligible projects in the geographic area which an applicant proposes to provide services. Points will be awarded based on the following:
Number of M2M Projects |
Points Awarded |
100 and over |
25 |
60-69 |
20 |
40-59 |
15 |
30-39 |
10 |
20-29 |
5 |
fewer than 19 |
2 |
A list of M2M eligible properties by property name, city and state can be found in the application kit. This list will be updated periodically.
Rating Factor 3: Soundness of Approach (30 Points)
This factor addresses the quality and cost-effectiveness of the applicant's proposed work plan. In developing a work plan, the applicant should consider all Eligible Activities listed in Section I(F) of the OTAG Program section of the SuperNOFA. The work plan should address, at a minimum:
(1) The type of activities the applicant intends to perform;
(2) The intended methodology for initial contact with tenants and plan for follow-up contact;
(3) The subjects to be covered in any proposed training;
(4) The proposed methodology for encouraging tenant leadership;
(5) The proposed methodology for completion of all other activities proposed under the work plan;
(6) The plan for creation and distribution of any printed material;
(7) The intended audience for each proposed activity; and
(8) For applicants covering a large geographic area, the proposed method of contact to residents outside the applicant's immediate area.
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. The factor will be evaluated based on the extent to which the proposed activities will:
(1) Help solve or address an urgent need or problem as identified under Rating Factor 2 - Need/Extent of the Problem. The impact of the activity will be evaluated, including the tangible benefits to be attained by the community and by the target population including affirmatively furthering fair housing for classes protected under the Fair Housing Act. As applicable to the program for which funding is requested, the activities should aid a broad diversity of eligible client or beneficiary groups, including those that have been traditionally undeserved. Efforts to increase community awareness in a culturally sensitive manner through education and outreach will also be evaluated, if applicable.
HUD will consider, within the context of the program for which funding is requested, the extent to which the applicant's activities are providing for geographic coverage for articulated needs, and will assist or result in a community taking appropriate action to overcome the effects of any impediments identified in the A.
In the case of technical assistance, HUD will evaluate the extent to which the proposed activities help solve or address an urgent need identified for the specific technical assistance program for which an applicant is applying and the extent to which full geographic coverage is provided, including urban and rural areas as well as under-served populations within the field office jurisdiction(s) in which funding is requested.
(2) Achieve the purposes of the program for which funding is requested and result in measurable accomplishments that are consistent with the purposes of the program and will result in a goal being met/product produced within a timeframe appropriate and reasonable for the program.
(3) Be undertaken using technically competent methodologies for conducting the work to be performed and uses a cost effective plan for designing, organizing and carrying out the proposed activities. The proposed cost estimates should be reasonable for the work to be performed and consistent with rates established for the level of expertise required to perform the work in the proposed geographic area.
(4) Yield innovative strategies or "best practices" that can be replicated and disseminated to other organizations, including nonprofit organizations, State and local governments. HUD will assess the transferability of results in terms of model programs or lessons learned from the work performed under the award. Applicants will be required to prepare an analysis of best practices as part of their reports to HUD that may be used by HUD to inform others who may be interested in learning from the experiences gained from the work performed under awards funded through this OTAG Program section of the SuperNOFA.
(5) Further and support the policy priorities of HUD including:
(a)Promoting healthy homes;
(b) Providing opportunities for self-sufficiency, particularly for persons enrolled in welfare to work programs;
(c) Enhancing on-going efforts to eliminate drugs and crime from neighborhoods through program policy efforts such as "One Strike and You're Out" or the "Officer Next Door" initiative;
(d) Providing educational and job training opportunities through such initiatives as Neighborhood Networks, Campus of Learners and linking to AmeriCorps activities.
Rating Factor 4: Leveraging Resources (10 Points)
This factor addresses the ability of the applicant to secure community assets, resources and/or financing to achieve program purposes. In evaluating this factor HUD will consider:
(1) The extent to which the applicant has leveraged resources, such as funding and/or in-kind services from governmental entities, private organizations, resident management organizations, educational institutions, or other entities in order to achieve the purposes of the award the applicant is requesting.
(2) The extent to which the applicant has partnered with other entities to make more effective use of available public or private resources. Partnership arrangements may include, but are not limited to, funding or in-kind services from local governments or government agencies, non-profit or for-profit entities, private organizations, educational institutional or other entity that is willing to partner with the applicant on proposed activities in order to leverage resources, or partnering with other program funding recipients to make more effective use of resources within the geographic area covered by the award either within the community or within the field office jurisdiction in which activities are occurring. Applicants may partner directly or through a consortium of applicants to more effectively address needs of underserved populations, rural areas, minority groups or other client groups that need attention either in the target area or the area covered by the field office jurisdiction in which the activities are to take place.
Evidence of commitment should include organization names, their proposed level of effort, resources, and responsibilities of these participants. Applicants must provide indications of participation by including in the application letters of firm commitments, memoranda of understanding or agreements, or letters indicating participation and levels of effort and responsibility to receive rating points for this factor. Letters of commitment, memoranda of understanding, or agreements to participate must be signed by an official of the organization legally able to make commitments for 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 the extent to which the applicant demonstrates it has:
(1) Coordinated its proposed activities with those of other groups or organizations in order to best complement, support and coordinate all known activities and, the specific steps it will take to share information on solutions and outcomes with others. Any written agreements, memoranda of understanding in place, or that will be in place after award should be described.
(2) Taken or will take specific steps to become active in the community's Consolidated Planning process (including the Analysis of Impediments to Fair Housing Choice) established to identify and address a need/problem that is related to the activities the applicant proposes.
(3) Taken or will take specific steps to develop linkages to coordinate comprehensive solutions through meetings, information networks, planning processes or other mechanisms with:
(a)Other HUD funded projects/activities outside the scope of those covered by the Consolidated Plan; and
(b)Other HUD, Federal, State or locally funded activities, including those proposed or on-going in the community(s) served.
(C) Selections. HUD will review each Outreach and Training Grant application and assign up to 100 points, in accordance with the criteria described in this Section. After rating, the M2M staff will rank the applications according to score and will fund them in rank order. Funds will be awarded based upon the highest scores, which represent the best overall assessment of the potential of the proposed work activities for achieving the principal objectives of this competition.
If two or more applications have the same number of points, a resident-controlled (51 percent or more of Board participation by HUD tenants) nonprofit organization will receive priority rating over a nonprofit organization that is not resident-controlled. Public entity applicants will only be considered for geographic areas where there is no acceptable application from a nonprofit organization.
HUD reserves the right to make selections out of rank order to provide for geographic distribution of funded OTAGs. The approach HUD will use, if it decides to implement this option, will be to award to the highest ranked applicant in a geographic area, and to fund the next highest ranked applicants in other geographic areas before duplicating funding for any one geographic area.
After all applications have been rated and ranked and selections have been made, HUD may require that all winners participate in negotiations to determine the specific terms of the Statement of Work and the grant budget. In cases where HUD cannot successfully conclude negotiations, or a selected applicant fails to provide HUD with requested information, awards will not be made. In such instances, HUD may elect to offer an award to the next highest ranking applicant.
After award but before grant execution, winners will be required to provide a certification from an Independent Public Accountant or the cognizant government auditor, stating that the financial management system employed by the applicant meets prescribed standards for fund control and accountability required by OMB Circular A-133, Uniform Administrative Requirements for Grant Agreements With Institutions of Higher Education, Hospitals, and other Non-Profit Organizations, Revised OMB Circular A-110, or 24 CFR part 85 for States and local governments, or the Federal Acquisition Regulations (for all other applicants). This information should contain the name and telephone number of the Independent Auditor, cognizant Federal auditor, or other audit agency, as applicable.
IV. Application Submission Requirements.
An applicant must provide a completed application, including the following, as applicable:
(1) OMB Standard Forms 424;
(2) Summary of proposed activities and jurisdiction;
(3) Information about the applicant, including its history, its staff and qualifications, and its experience;
(4) Summary of plan to carry out proposed activities;
(5) Evidence of tax-exempt status, if applicable;
(6) Required Certifications relating to this grant; and
(7) Other information/materials described in application kit.
V. Corrections of Deficient Applications.
The General Section of the SuperNOFA provides procedures for corrections to deficient applications.
VI. Environmental Requirements.
In accordance with 24 CFR 50.19(b)(2), (9) and (12), the assistance provided under this program relates only to information services, the provision of technical assistance, and supportive services and therefore is categorically excluded from the requirements of the National Environmental Policy Act and is not subject to environmental review under the related laws and authorities. This determination is based on the ineligibility of real property acquisition, construction, rehabilitation, conversion, leasing, or repair for HUD assistance under this program.
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