[Federal Register Volume 59, Number 2 (Tuesday, January 4, 1994)]
[Notices]
[Pages 488-492]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-44]


[[Page Unknown]]

[Federal Register: January 4, 1994]


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Part VII





Department of Housing and Urban Development





_______________________________________________________________________



Community Outreach Partnership Centers (COPC): Notice of Funding 
Availability
DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

Office of Community Planning and Development
[Docket No. N-93-3693; FR-3532-N-01]

 

NOFA for Community Outreach Partnership Centers (COPC)

AGENCY: Office of the Assistant Secretary for Community Planning and 
Development, HUD.

ACTION: Notice of Funding Availability (NOFA) for Fiscal Year 1994.

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SUMMARY: This NOFA announces the availability of $7.0 million to 
implement the first year of a demonstration program to make grants to 
public and private nonprofit institutions of higher education to assist 
in establishing or carrying out research and outreach activities 
addressing the problems of urban areas. These funds shall be used to 
establish and operate Community Outreach Partnership Centers (COPC).
    In the body of this NOFA is information concerning:
    (1) The principal objectives of the competition, the funding 
available, eligible applicants and activities and factors for award;
    (2) The application process, including how to apply and how 
selections will be made; and
    (3) A checklist of application submission requirements.

DATES: Applications may be requested on or after January 18, 1994. The 
application due date will be 4:30 p.m. Eastern Standard Time no later 
than April 8, 1994. The above-stated application deadline is firm as to 
date, hour and place. In the interest of fairness to all competing 
applicants, the Department will treat as ineligible for consideration 
any application that is received after the deadline. Applicants should 
take this practice into account and make early submission of their 
materials to avoid any risk of loss of eligibility brought about by 
unanticipated delays or other delivery-related problems.

ADDRESSES: To obtain a copy of the application kit, contact: Processing 
and Control Branch, Office of Community Planning and Development, 
Department of Housing and Urban Development, 451 Seventh Street, SW., 
room 7255, Washington, DC 20410. Requests for application kits must be 
in writing, but requests may be faxed to: (202) 708-3363 (this is not a 
toll-free number). Requests for application kits must include the 
applicant's name, mailing address (including zip code), telephone 
number (including area code), and must refer to ``document FR-3532''.

FOR FURTHER INFORMATION CONTACT: Jerome B. Friedman, Office of 
Community Planning and Development, Department of Housing and Urban 
Development, 451 Seventh Street, SW., room 7218, Washington, DC 20410. 
Telephone Number (202) 708-3176; TDD Number: (202) 708-2565. (These are 
not toll-free numbers.)

SUPPLEMENTARY INFORMATION:

Paperwork Reduction Act Statement

    The information collection requirements contained in this notice 
have been approved by the Office of Management and Budget (OMB) under 
section 3504(h) of the Paperwork Reduction Act of 1980 (44 U.S.C. 3501-
3520), and assigned OMB control number 2535-0084.

I. Purpose and Substantive Description

A. Authority

    This competition is authorized under the Community Outreach 
Partnership Act of 1992 (42 U.S.C. 5307 note; hereafter referred to as 
the ``COPC Act''). The COPC Act is contained in section 851 of the 
Housing and Community Development Act of 1992 (Pub. L. 102-550, 
approved October 28, 1992). Section 801(c) of the Housing and Community 
Development Act of 1992 provides for a $7.5 million set-aside for each 
year of the 5-year demonstration authorized in the COPC Act. (The funds 
appropriated by Congress for FY 1993 were rescinded by the 1993 
Supplemental Appropriations Act, Pub. L. 103-50, approved July 2, 
1993.)

B. Allocation and Form of Award

    The competition in this NOFA is for $7.0 million to fund the first 
year of the Community Outreach Partnership Centers (COPC) Program 
authorized as indicated above. An additional $500,000 will be used to 
fund the first year of the National Clearinghouse mandated by section 
851(j) of the COPC Act. A separate announcement will be issued at a 
later date for the National Clearinghouse.
    Each grant made under the COPC program will be for a maximum two 
year period of performance. The maximum size of any grant will be 
$750,000, while the minimum will be $250,000. Each applicant must 
submit an application within this range. In future years, successful 
applicants will have to compete for funds with all other applicants.

C. Description of Competition

    The Congress has mandated that the Department carry out ``a 5-year 
demonstration to determine the feasibility of facilitating partnerships 
between institutions of higher education and communities to solve urban 
problems through research, outreach and the exchange of information.''
    The COPC Act stipulates that grants are to go to public and private 
institutions of higher education to establish and operate Community 
Outreach Partnership Centers (COPC). These centers shall: ``(a) Conduct 
competent and qualified research and investigation on theoretical or 
practical problems in large and small cities; and (B) Facilitate 
partnerships and outreach activities between institutions of higher 
education, local communities, and local governments to address urban 
problems.''
    The specific problems that grants under the COPC program must focus 
on are ``problems associated with housing, economic development, 
neighborhood revitalization, infrastructure, health care, job training, 
education, crime prevention, planning, community organizing, and other 
areas deemed appropriate by the Secretary.''
    Furthermore, the COPC Act states: ``The Secretary shall give 
preference to institutions of higher education that undertake research 
and outreach activities by bringing together knowledge and expertise in 
the various social science and technical disciplines that relate to 
urban problems.''
    It is clear from the statutory language quoted above, and the 
program requirements and selection criteria detailed below, that 
Congress intended that COPC be multi-disciplined, combine research with 
outreach, work with communities and local governments and address the 
multi-dimensional problems that beset urban areas. To be most effective 
during the term of the demonstration, the assisted research must have a 
clear near-term potential for solving specific significant urban 
problems. The selected institutions must have the capacity to apply 
their research results and to work with communities and local 
institutions, including neighborhood groups, in applying research 
results to specific real-life urban problems, including design of 
comprehensive strategies and consolidated housing and community 
development plans to resolve these problems.

D. Eligible Applicants

    Applicants for this competition must be public or private nonprofit 
institutions of higher education granting four year degrees and 
accredited by a national or regional accrediting agency recognized by 
the Department of Education.
    A consortium of institutions may be part of any application, but 
one institution must be designated as the legal applicant. Finally, 
each institution may be part of only one consortium or submit only one 
application, although the application can include various schools 
within the institution.

E. Program Requirements

    Grantees must meet the following program requirements:
    1. Responsibilities. Each Center shall:
    (a) Employ the research and outreach resources of its sponsoring 
institution of higher education to solve specific urban problems 
identified by communities served by the Center;
    (b) Establish outreach activities in areas identified in the grant 
application as the communities to be served;
    (c) Establish a community advisory committee comprised of 
representatives of local institutions and residents of the communities 
to be served to assist in identifying local needs and advise on the 
development and implementation of strategies to address those issues;
    (d) Coordinate outreach activities in communities to be served by 
the Center;
    (e) Facilitate public service projects in the communities served by 
the Center;
    (f) Act as a clearinghouse for dissemination of information;
    (g) Develop instructional programs, convene conferences, and 
provide training for local community leaders, when appropriate; and
    (h) Exchange information with other Centers.
    The clearinghouse function in (f) above refers to a local or 
regional clearinghouse for dissemination of information, including 
empowerment zone and enterprise communities information and 
consolidated housing and community development plans information, to 
local governments and neighborhood groups. This clearinghouse must deal 
with the problems being addressed at the local level. It is separate 
and distinct from the functions in (h) above, which relate to the 
provision of information to the National Clearinghouse which will serve 
all funded centers.
    Grantees serving areas which include or are near Federally-
designated empowerment zones or enterprise communities will have to 
assist such zones and communities in developing the required strategic 
plans and helping implement them.
    In addition, grantees serving areas which include or are near 
colonias, as defined in section 916(d) of the Cranston-Gonzalez 
National Affordable Housing Act, must provide clearinghouse services to 
help improve living conditions and standards within colonias.
    2. Match. Grantees must meet the following match requirements:
    (a) Research Activities. 50 percent of the project costs of 
establishing and operating research activities.
    (b) Outreach Activities. 25 percent of the project costs of 
establishing and operating outreach activities.
    This non-Federal share may include cash or the value of non-cash 
contributions, equipment and other allowable in-kind contributions as 
detailed in Attachment E of OMB Circular No. A-110, Grants and 
Agreements with Institutions of High Education, Hospitals, and other 
Nonprofit organizations.
    3. Statement of Work. Each applicant must develop and submit a 
Statement of Work which incorporates all eligible activities proposed 
in its application and details how the proposed work will be 
accomplished. Following a task-by-task format, the Statement of Work 
must:
    (a) Delineate the tasks and sub-tasks involved in each of the areas 
for which the Center is responsible, including research activities, 
outreach/technical assistance activities, community advisory committee 
activities, local/regional clearinghouse activities, and other 
activities necessary to carry out the responsibilities delineated under 
Program Requirement #1 outlined above.
    (b) Indicate the sequence in which the tasks are to be performed, 
noting areas of work which must be performed simultaneously.
    (c) State the intermediate and end products to be developed by task 
and sub-task.
    (d) Provide a framework for, and be consistent with, the Project 
Management Work Plan requirements (to be provided in the Application 
Kit).

    Note: Where an application is prepared prior to the designation 
of empowerment zones or enterprise communities, then the affected 
applicants selected for awards will be required, when necessary, to 
revise their statement of work to incorporate the activities needed 
to assist such zones and communities.

    4. Administrative. The grant will be governed by the provision of 
OMB Circulars A-110 (Grants and Agreements with Institutions of Higher 
Education, Hospitals and other Nonprofit Organizations), A-122 (Cost 
Principles for Nonprofit Organizations), and A-133 (Audits of 
Institutions of Higher Education and other Nonprofit Institutions), as 
implemented at 24 CFR part 45.

F. Eligible Activities

    Eligible activities include:
    1. Research activities which have practical application for solving 
specific problems in designated communities and neighborhoods. Such 
activities may not total more than one-quarter of the total project 
costs contained in any grant made under this NOFA (including the 
required 50 percent match).
    2. Outreach, technical assistance and information exchange 
activities which are designed to address specific problems in 
designated communities and neighborhoods. Such activities must total no 
less than three-quarters of the total project costs contained in any 
grant made under this NOFA (including the required 25 percent match).
    Examples of outreach activities include, but are not limited to:
    (a) Assistance to communities to improve consolidated housing and 
community development plans and remove impediments to design and 
implementation of such plans.
    (b) Job training and other training projects, such as workshops, 
seminars and one-on-one and on-the-job training;
    (c) Design of community strategies to resolve urban problems of 
communities and neighborhoods;
    (d) Innovative use of funds to provide direct technical expertise 
and assistance to local community groups and residents to help them 
resolve local problems such as homelessness and housing discrimination; 
and
    (e) Assistance in business start-up activities for low- and 
moderate-income individuals and organizations, including business 
start-up training and technical expertise and assistance, mentor 
programs, assistance in developing small loan funds, business 
incubators, etc.
    3. Activities to carry out the ``Responsibilities'' listed under 
Section I.E.1.

G. Ineligible Activities

    Ineligible activities are:
    1. Research activities which have no clear and immediate practical 
application for solving urban problems or do not address specific 
problems in designated communities and neighborhoods.
    2. Any type of construction, rehabilitation, or other physical 
development costs.
    3. Costs used for day-to-day administration of regular programs of 
institutions of higher education, local governments or neighborhood 
groups.

II. Selection Criteria/Rating Factors

A. Rating Factors

    HUD will use the following criteria to rate and rank applications 
received in response to this NOFA. The factors and maximum points for 
each factor are provided below. The maximum number of points is 100.
    Rating of the ``applicant'' or the ``applicant's organization and 
staff'', unless otherwise specified, will include any sub-contractors, 
consultants and sub-recipients which are firmly committed to the 
project.
    (1) (10 points) The demonstrated research resources available to 
the applicant for carrying out the purposes of the COPC Act. In rating 
this factor, HUD will consider the extent to which the applicant's 
organization and staff have recent, relevant and successful experience 
in undertaking research activities in specific communities which have 
clear near-term potential for practical application to significant 
urban problems associated with housing, economic development, 
neighborhood revitalization, infrastructure, health care, job training, 
education, crime prevention, planning and community organizing.
    (2) (10 points) The demonstrated outreach resources available to 
the applicant for carrying out the purposes of the COPC Act. In rating 
this factor, HUD will consider the extent to which the applicant's 
organization and staff have recent, relevant and successful experience 
in applying research results through outreach activities, including the 
provision of technical expertise and assistance, to solve or ameliorate 
the impact of significant urban problems associated with the areas 
listed in factor #1 above.
    (3) (5 points) The demonstrated commitment of the applicant to 
supporting research and outreach programs by providing matching 
contributions for the Federal assistance received. In rating this 
factor, HUD will provide an increasing number of points for increasing 
amounts of contributions beyond the statutory 50 percent for research 
and 25 percent for outreach.
    (4) (10 points) The capability of the applicant to provide 
leadership in solving community problems and in making national 
contributions to solving long-term and immediate urban problems. HUD 
will evaluate the two parts of this factor separately, giving them 
equal weight. In rating the first sub-factor, HUD will consider the 
extent to which the institution of higher education can demonstrate 
that it has taken a leadership position in solving specific community 
problems in the past. In rating the second sub-factor, HUD will 
consider the extent to which the applicant can demonstrate that its 
published research and other activities place it in a leadership 
position toward making a national contribution to solving longer-term 
and immediate urban problems.
    (5) (15 points) The extent of need in the communities to be served 
by the applicant. HUD will consider the extent to which the proposal 
clearly delineates a need or needs in the affected communities that can 
be resolved through the activities of a COPC. The applicant must 
demonstrate how these needs were determined and how the COPC will help 
resolve these needs.
    (6) (7 points) The demonstrated ability of the applicant to 
disseminate results of research and successful strategies developed 
through outreach activities to other COPC and communities served 
through this demonstration program. In rating this factor, HUD will 
evaluate the past experience of the applicant's staff and the scope and 
potential of the applicant's proposal to serve as a local/regional 
clearinghouse or use other means to disseminate information on its own 
and other COPC research results and strategies to: (a) Local 
communities in its area and (b) other communities and COPC through the 
National Clearinghouse.
    (7) (15 points) The projects and activities that the applicant 
proposes to carry out under the grant. In rating this factor, HUD will 
consider the extent to which the applicant's proposal effectively 
addresses the following: (a) Identifies specific communities (including 
colonias, where appropriate), neighborhoods within communities, local 
institutions and neighborhood groups to be assisted by the Center; (b) 
demonstrates that one or more effective community advisory committees 
comprised of representatives of local institutions and a balance of 
racial/ethnic, gender and income mix of residents of the communities 
(and, where appropriate, colonias) to be served has been or will be 
formed to participate in identifying local needs to be addressed by the 
Center and to form a partnership with the Center to develop and 
implement strategies to address those needs; (c) outlines a clear 
research agenda related to local needs that can be successfully carried 
out within the period of this grant and plan for involving the 
community advisory committee(s) in the execution of that agenda; (d) 
demonstrates how it will design a comprehensive strategy to resolve 
community and neighborhood problems; and (e) demonstrates how it will 
assist communities to improve consolidated housing and community 
development plans and remove impediments to design and implementation 
of such plans. (Other projects and activities required of a COPC, being 
evaluated under other factors, include: Providing outreach activities 
to communities; acting as a clearinghouse for disseminating 
information; facilitating public service projects and coordinating 
outreach activities in communities to be served by the Center, and 
exchanging information with other centers.)
    (8) (18 points) The effectiveness of the applicant's strategy to 
provide outreach activities to communities. In rating this factor, HUD 
will consider the extent to which: (a) The application identifies a 
clear outreach agenda related to locally-identified needs that can be 
successfully carried out within the period of this grant and a plan for 
involving the community advisory committee(s) in the execution of that 
agenda; (b) the outreach agenda includes design of a community strategy 
to resolve community and neighborhood problems; (c) the outreach agenda 
includes training projects for local community leaders, when 
appropriate; (d) the outreach program provides for on-site or a 
frequent presence in the communities and neighborhoods to be assisted 
through outreach activities; and (e) the outreach agenda includes 
assistance to communities for the design of consolidated housing and 
community development plans and removal of impediments to design and 
implementation of such plans.
    (9) (10 points) The effectiveness of the applicant's strategy to 
provide assistance to Federally-designated empowerment zones and 
enterprise communities. In rating this factor, HUD will consider the 
extent to which the applicant's proposal addresses the following: (a) 
Identifies the empowerment zone or zones and enterprise communities it 
will serve; (b) delineates how it will help such zones and communities 
develop the required strategic plans; (c) outlines a clear program to 
help implement such plans; and (d) outlines an agenda to review 
effectiveness of such plans and their implementation and provides 
methods to overcome impediments.

B. Selection Process

    Applications for funding under this NOFA will be evaluated 
competitively and points will be awarded as specified in the Rating 
Factors section described above.
    After assigning points based upon the factors all applications will 
be listed in rank order. Applications will then be funded in rank order 
until all available funds have been expended. However, in order to be 
funded, an applicant must receive a minimum score of 70. HUD reserves 
the right to fund all or portions of the proposed activities identified 
in each application, based upon the eligibility of the proposed 
activities.
    If two or more applications have the same number of points, the 
application with the most points for rating factor (8) shall be 
selected. If there is still a tie, the application with the most points 
for rating factor (7) shall be selected.
    If the amount of funds remaining after funding as many of the 
highest ranking applications as possible is insufficient for the next 
highest ranking application, HUD shall determine (based upon the 
proposed activities) if it is feasible to fund part of the application 
and offer a smaller grant to the applicant. If HUD determines that 
given the proposed activities a smaller grant amount would make the 
activities infeasible, or if the applicant turns down the reduced grant 
amount, HUD shall make the same determination for the next highest 
ranking application until all applications within the competitive range 
have been exhausted or available funds have been expended.
    If HUD receives an insufficient number of applications to expend 
all funds, or if funds remain after HUD approves all approvable 
applications, HUD may negotiate increased amounts of grant awards up to 
an additional $250,000. Increased grants will be offered in rank order 
to applicants in the competitive range.

C. Geographic Distribution

    HUD reserves the right to make selections out of rank order to 
provide for a geographic distribution of funded centers. The geographic 
balance that HUD will use, if it decides to implement this option, will 
be based on a combination of two adjacent standard Federal regions 
(e.g., Southwest and Southeast Regions, Great Plains and Midwest 
Regions, etc.) If the rank order does not yield at least one fundable 
center within each two region combination, then HUD may select the 
highest ranking application from such a combination, as long as the 
minimum score of 70 is achieved.
    It is HUD's intent to fund at least one COPC that serves the 
colonias, as defined by section 916(d) of the Cranston-Gonzales 
National Affordable Housing Act, as long as the applicant receives a 
minimum score of 70.
    It is HUD's intent to give preference to COPCs that serve 
Federally-designated empowerment zones or enterprise communities, as 
long as the applicant receives a minimum score of 70.

III. Application Process

A. Obtaining Applications

    Requests for an application kit (Request for Grant Application, 
RFGA), must be in writing to the Processing and Control Branch, Office 
of Community Planning and Development, Department of Housing and Urban 
Development, 451 Seventh Street, SW., room 7255, Washington, DC 20410. 
Requests may also be faxed to (202) 708-3363. (This is not a toll free 
number.) We strongly recommend the use of the fax transmission option 
to promote accuracy and expedite HUD response time. Requests for 
application kits must include the applicant's name, mailing address, 
zip code, area code and telephone number and must refer to document FR-
3532.

B. Application Deadline

    To be considered for funding, the application package must be 
physically received by the Processing and Control Branch, Office of 
Community Planning and Development, Department of Housing and Urban 
Development, room 7255, 451 Seventh Street, SW., Washington, DC 20410 
by 4:30 p.m. Eastern Standard Time on April 8, 1994. The application 
deadline is firm as to date, hour and place. In the interest of 
fairness to all competing applicants, the Department will treat as 
ineligible for consideration any application that is received after the 
deadline. Applicants should take this practice into account and make 
early submission of their materials to avoid any risk of loss of 
eligibility brought about by unanticipated delays or other delivery-
related problems.

IV. Checklist of Application Submission Requirements

A. Application Content

    Applicants must complete and submit applications in accordance with 
instructions contained in the application kit. The following is a 
checklist of the application contents that will be specified in RFGA:
    (1) Transmittal letter,
    (2) OMB Standard Forms 424 (Application for Federal Assistance), 
Form 424A (Budget), Form 424B (Non-Construction Assurances) and Budget 
Summary;
    (3) Statement of Work and Project Management System Baseline Plan 
(HUD 441.1 and accompanying narrative);
    (4) A description of how the ``Responsibilities'' in Section I.E.1. 
will be met.
    (5) Evidence of how the matching requirement in section I.E.2. will 
be met.
    (6) Narrative statement addressing each of the rating factors in 
section II.

B. Certifications and Exhibits

    Applications must also include the following:
    (1) Drug-Free Workplace Certification.
    (2) Form SF-LLL, Disclosure of Lobbying Activities, if applicable.
    (3) Form HUD-2280, Applicant/Recipient Disclosure/Update Report.

V. Corrections to Deficient Applications

    After the submission deadline date, HUD will screen each 
application to determine whether it is complete. If an application 
lacks certain technical items or contains a technical error, such as an 
incorrect signatory, HUD will notify the applicant in writing that it 
has 14 calendar days from the date of HUD's written notification to 
cure the technical deficiency. If the applicant fails to submit the 
missing material within the 14-day cure period, HUD will disqualify the 
application.
    This 14-day cure period applies only to non-substantive 
deficiencies or errors. Any deficiency capable of cure will involve 
only items not necessary for HUD to assess the merits of an application 
against the factors specified in this NOFA.

VI. Other Matters

A. Environmental Review

    In accordance with 40 CFR 1508.4 of the regulations of the Council 
on Environmental Quality and 24 CFR 50.20(b) of the HUD regulations, 
the policies and procedures in this document relate only to the 
provision of research, training and technical assistance which do not 
result in physical change and therefore are categorically excluded from 
the requirements of the National Environmental Policy Act.

B. Federalism Impact

    The General Counsel, as the Designated Official under section 6(a) 
of Executive Order 12612, Federalism, has determined that the policies 
and procedures contained in this notice will not have substantial 
direct effects on States or their political subdivisions, or the 
relationship between the federal government and the states, or on the 
distribution of power and responsibilities among the various levels of 
government. As a result, the notice is not subject to review under the 
Order. Specifically, the notice solicits participation in an effort to 
provide assistance to institutions of higher education for establishing 
and carrying out research and outreach activities addressing the 
problems of urban areas. The Centers established under this notice will 
work with local communities to help resolve urban problems. The notice 
does not impinge upon the relationships between the Federal government 
and State or local governments.

C. Impact on the Family

    The General Counsel, as the Designated Official under Executive 
Order 12606, The Family, has determined that this notice will likely 
have a beneficial impact on family formation, maintenance, and general 
well-being. The assistance to be provided by the funding under this 
NOFA is expected to help local residents to become self-sufficient by 
improving living conditions and standards. Accordingly, since the 
impact on the family is beneficial, no further review is considered 
necessary.

D. Documentation and Public Access Requirements: HUD Reform Act

    HUD will ensure that documentation and other information regarding 
each application submitted pursuant to this NOFA are sufficient to 
indicate the basis upon which assistance was provided or denied. This 
material, including any letters of support, will be made available for 
public inspection for a five-year period beginning not less than 30 
days after the award of the assistance. Material will be made available 
in accordance with the Freedom of Information Act (5 U.S.C. 552) and 
HUD's implementing regulations at 24 CFR part 15. In addition, HUD will 
include the recipients of assistance pursuant to this NOFA in its 
quarterly Federal Register notice of all recipients of HUD assistance 
awarded on a competitive basis. (See 24 CFR 12.14(a) and 12.16(b), and 
the notice published in the Federal Register on January 16, 1992 (57 FR 
1942), for further information on these requirements.)

E. Prohibition Against Advance Information on Funding Decisions

    HUD's regulation implementing section 103 of the HUD Reform Act was 
published on May 13, 1991 (56 FR 22088) and became effective on June 
12, 1991. That regulation, codified as 24 CFR part 4, applies to the 
funding competition announced today. The requirements of the rule 
continue to apply until the announcement of the selection of successful 
applicants.
    HUD employees involved in the review of applications and in the 
making of funding decisions are restrained by part 4 from providing 
advance information to any person (other than an authorized employee of 
HUD) concerning funding decisions, or from otherwise giving any 
applicant an unfair competitive advantage. Persons who apply for 
assistance in this competition should confine their inquiries to the 
subject areas permitted under 24 CFR part 4.
    Applicants who have questions should contact the HUD Office of 
Ethics (202) 708-3815. (This is not a toll-free number.) The Office of 
Ethics can provide information of a general nature to HUD employees, as 
well. However, a HUD employee who has specific program questions, such 
as whether particular subject matter can be discussed with persons 
outside the Department, should contact his or her Regional or Field 
Office Counsel, or Headquarters counsel for the program to which the 
question pertains.

F. Prohibition Against Lobbying of HUD Personnel

    Section 13 of the Department of Housing and Urban Development Act 
(42 U.S.C. 3537b) contains two provisions dealing with efforts to 
influence HUD's decisions with respect to financial assistance. The 
first imposes disclosure requirements on those who are typically 
involved in these efforts--those who pay others to influence the award 
of assistance or the taking of a management action by the Department 
and those who are paid to provide the influence. The second restricts 
the payment of fees to those who are paid to influence the award of HUD 
assistance, if the fees are tied to the number of housing units 
received or are based on the amount of assistance received, or if they 
are contingent upon the receipt of assistance.
    Section 13 was implemented by final rule published in the Federal 
Register on May 17, 1991 (56 FR 22912). The final rule is codified at 
24 CFR part 86. If readers are involved in any efforts to influence the 
Department in these ways, they are urged to read part 86, particularly 
the examples contained in Appendix A of the regulation.
    Any questions about the rule should be directed to the Office of 
Ethics, Room 2158, Department of Housing and Urban Development, 451 
Seventh Street, SW., Washington, DC 20410-3000. Telephone: (202) 708-
3815 TDD: (202) 708-1112 These are not toll-free numbers. Forms 
necessary for compliance with the rule may be obtained from the local 
HUD office.

G. Prohibition Against Lobbying Activities

    The use of funds awarded under this NOFA is subject to the 
disclosure requirements and prohibitions of Section 319 of the 
Department of Interior and Related Agencies Appropriations Act for 
Fiscal Year 1990 (31 U.S.C. 1352) and the implementing regulations at 
24 CFR part 87. These authorities prohibit recipients of federal 
contracts, grants, or loans from using appropriated funds for lobbying 
the Executive or Legislative Branches of the Federal Government in 
connection with a specific contract, grant, or loan. The prohibition 
also covers the awarding of contracts, grants, cooperative agreements, 
or loans unless the recipient has made an acceptable certification 
regarding lobbying. Under 24 CFR part 87, applicants, recipients, and 
subrecipients of assistance exceeding $100,000 must certify that no 
federal funds have been or will be spent on lobbying activities in 
connection with the assistance.


    Authority: 42 U.S.C. 5307 note

    Dated: December 23, 1993.
Andrew Cuomo,
Assistant Secretary for Community Planning and Development.
[FR Doc. 94-44 Filed 1-3-94; 8:45 am]
BILLING CODE 4210-29-P