[Federal Register Volume 60, Number 16 (Wednesday, January 25, 1995)]
[Notices]
[Pages 4996-5007]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-1793]




[[Page 4995]]

_______________________________________________________________________

Part III





Department of Housing and Urban Development





_______________________________________________________________________



Office of the Assistant Secretary for Community Planning and 
Development



_______________________________________________________________________



Notice of Funding Availability for Fiscal Year 1995 for Innovative 
Project Funding Under the Innovative Homeless Initiatives Demonstration 
Program; Notice

  Federal Register / Vol. 60, No. 16 / Wednesday, January 25, 1995 / 
Notices   
[[Page 4996]] 

DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

Office of the Assistant Secretary for Community Planning and 
Development
[Docket No. N-95-3862; FR-3846-N-01]


Notice of Funding Availability for Fiscal Year 1995 for 
Innovative Project Funding Under the Innovative Homeless Initiatives 
Demonstration Program

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

ACTION: Notice of funding availability (NOFA).

-----------------------------------------------------------------------

SUMMARY: This Notice announces the availability of $25 million in funds 
for applications for Innovative Project Funding under the Innovative 
Homeless Initiatives Demonstration Program. These funds will be awarded 
competitively for innovative programs designed to provide aggressive 
outreach to homeless persons living on the streets or in other places 
not designed for, or ordinarily used as, regular sleeping 
accommodations for human beings; provide intensive needs assessments; 
connect these people with existing community resources when available; 
and, if necessary, provide additional housing and services for them. 
Each innovative outreach program must fill a gap within the context of 
developing a continuum of care system in the jurisdiction designed to 
assist homeless persons. This notice of funding availability (NOFA) 
contains information concerning program purpose, eligible applicants, 
eligible activities, application requirements, and application 
processing.

DEADLINE DATE: All applications received at HUD Headquarters, Office of 
Community Planning and Development, at the address shown in the 
Addresses section of this NOFA by 6 p.m. local time on February 6, 
1995, will be considered for funding. HUD will treat as ineligible for 
consideration applications that are received after the deadline. 
However, any application received at that address within 24 hours after 
the deadline will be considered for funding if the applicant can show 
there were circumstances beyond its control that delayed delivery of 
the application, such as the failure of a delivery service to deliver 
the application on or before the specified date. Applications may not 
be sent by facsimile (FAX).
    The Department has established a short application period for this 
NOFA in an effort to make funding quickly available to applicants who 
are in need of funding to assist homeless persons, especially during 
this time when harsh weather conditions necessitate greater and more 
immediate assistance to homeless persons.

ADDRESSES: A completed application must be submitted to the following 
address: Processing and Control Unit, Room 7255, Office of Community 
Planning and Development, Department of Housing and Urban Development, 
451 Seventh Street, SW., Washington, DC 20410, Attention: Homeless 
Innovative Funding.
    One copy of the application must also be sent to the HUD Field 
Office serving the area in which the applicant's project is located. A 
list of Field Offices appears in Appendix C to this NOFA. The Field 
Office copy must be received by the application deadline as well, but a 
determination that an application was received on time will be made 
solely on receipt of the application at the Office of Community 
Planning and Development in Headquarters, Washington, DC.

FOR FURTHER INFORMATION CONTACT: The HUD Field Office for the area in 
which the proposed project is located. Telephone numbers are included 
in the list of Field Offices set forth in Appendix C to this NOFA.

SUPPLEMENTARY INFORMATION:

Paperwork Reduction Act Statement

    The information collection requirements contained in this NOFA have 
been submitted, for expedited processing, to the Office of Management 
and Budget (OMB) for review under the Paperwork Reduction Act of 1980 
(44 U.S.C. 3501-3520). No person may be subjected to a penalty for 
failure to comply with these requirements until they have been approved 
and assigned an OMB control number. The OMB control number, when 
assigned, will be announced by separate notice in the Federal Register. 
Any applicant that completes an application before the OMB control 
number is assigned may have to modify that application in accordance 
with changes in the application package that are requested by OMB and 
agreed to by HUD.
    Public reporting burden for the collection of information 
requirements contained in this notice is estimated to include the time 
for reviewing the instructions, searching existing data sources, 
gathering and maintaining the data needed, and completing and reviewing 
the collection of information. Information on the estimated public 
reporting burden is provided under the preamble heading, Other Matters. 
Send comments regarding this burden estimate or any other aspect of 
this collection of information, including suggestions for reducing this 
burden by January 30, 1995, to the Department of Housing and Urban 
Development, Rules Docket Clerk, 451 Seventh Street, SW., Room 10276, 
Washington, DC 20410-0500; and to the Office of Information and 
Regulatory Affairs, Office of Management and Budget, Attention: Desk 
Officer for HUD, Washington, DC 20503.

I. Purpose and Substantive Description

(A) Authority

    Innovative Project Funding is part of the Innovative Homeless 
Initiatives Demonstration Program, which is authorized under section 2 
of the HUD Demonstration Act of 1993 (Pub. L. 103-120, approved October 
27, 1993).

(B) Purpose

    The purpose of this NOFA is to fund innovative programs, within the 
context of developing a continuum of care system, designed to provide 
aggressive outreach to homeless persons, including persons with severe 
mental illness and/or substance abuse problems, who are particularly 
affected by adverse weather conditions because they are currently 
living on the streets or in other places not designed for, or 
ordinarily used as, regular sleeping accommodations for human beings. 
The purpose of this NOFA is also to provide these persons with 
intensive needs assessments; connect them with existing community 
resources when available; and, if necessary, provide additional housing 
and services. Therefore, the focus of this competition is aggressive 
outreach and assistance to help homeless persons move as quickly as 
possible from sidewalks, parks, cars, public transit facilities, and 
similar places. Heavy emphasis is placed on coordinating existing 
resources through the combined efforts of service and housing providers 
in the community. Each innovative program must fill a gap within the 
context of developing a continuum of care system in the jurisdiction.
    A continuum of care system consists of four basic components:
    (1) A system of outreach and assessment for determining the needs 
and conditions of an individual or family who is homeless, or whether 
assistance is necessary to prevent an individual from becoming 
homeless;
    (2) Emergency shelters with appropriate supportive services to help 
ensure that homeless individuals and families receive adequate 
emergency [[Page 4997]] shelter and referral to necessary service 
providers or housing finders;
    (3) Transitional housing with appropriate supportive services to 
help those homeless individuals and families who are not prepared to 
make the transition to permanent housing and independent living; and
    (4) Permanent housing, or permanent supportive housing, to help 
meet the long-term needs of homeless individuals and families.
    Grant requests in response to this $25 million NOFA should only be 
made for activities involving aggressive outreach and assistance to 
homeless persons living on the streets or in other places not designed 
for, or ordinarily used as, regular sleeping accommodations for human 
beings. These are the homeless persons most affected by adverse weather 
conditions. Grant requests to assist homeless families or individuals 
in other circumstances should be submitted in response to a separate 
$900 million NOFA the Department intends to issue in February.

(C) Funding Availability

    This NOFA makes $25 million available for the Innovative Project 
Funding. Grant requests may be for up to two years of funding. HUD 
reserves the right to fund less than the full amount requested in any 
application. Given the program's emphasis on coordination of resources 
within communities, it is likely that HUD will fund requests which 
reflect greater coordinative efforts of private nonprofit 
organizations, governmental agencies, and other organizations who can 
help provide resources to meet the needs of this most vulnerable 
population of homeless persons in one application.
    With this focus on connecting these homeless persons with a system 
of community assistance, no renewals of grant awards made under this 
NOFA are anticipated. Because there is only $25 million available for 
this competition, the Department expects to fund requests ranging from 
$100,000 to $1,000,000, and reserves the right to award no more than 20 
percent of the funds ($5 million) in any State.

II. Application Process

    (A) Applications will be reviewed and selected on the basis of the 
following process.
    (1) Review. Applications will be reviewed to ensure that they meet 
the following:
    (a) Applicant eligibility. The applicant must be a jurisdiction 
(i.e., State, metropolitan city, urban county, unit of general local 
government [including units in rural areas], or Indian tribe), or other 
nonprofit organization operating within such jurisdiction.
    Projects involving the participation of more than one jurisdiction 
or more than one nonprofit organization, or a combination of 
jurisdictions or nonprofit organizations are strongly encouraged. 
However, of these participating jurisdictions and organizations, only 
one entity may be identified as the actual applicant.
    The terms ``State'', ``metropolitan city'', ``urban county'', 
``unit of general local government'', and ``Indian tribe'' have the 
meanings given such terms in section 102(a) of the Housing and 
Community Development Act of 1974 (42 U.S.C. 5302).
    The term ``nonprofit organization'' means an organization--
    (i) No part of the net earnings of which inures to the benefit of 
any member, founder, contributor, or individual;
    (ii) That, in the case of a private nonprofit organization, has a 
voluntary board;
    (iii) That has an accounting system, or has designated a fiscal 
agent in accordance with requirements established by the Secretary; and
    (iv) That practices nondiscrimination in the provision of 
assistance.
    (b) Eligible population to be served. The population proposed to be 
served must be homeless individuals or homeless families living in 
places not designed for, or ordinarily used as, regular sleeping 
accommodations, such as sidewalks, parks, cars and public 
transportation facilities (hereafter referred to as persons living on 
the streets).
    The term ``homeless family'' means a group of one or more related 
individuals who are homeless individuals.
    (c) Eligible activities. The activities for which assistance is 
requested may include activities needed to operate a program of 
aggressive outreach to persons living on streets, intensive needs 
assessments, and related activities. Up to 5 percent of the amount of 
grant funds requested for these activities may be used for grant 
administration expenses, such as the costs of audits and reports.
    Applicants may not receive assistance to replace funds provided by 
any State or local government to assist homeless persons.
    (d) Fair housing and equal opportunity. Organizations that receive 
assistance under this NOFA must be in compliance with applicable civil 
rights laws and Executive Orders.
    (e) Outstanding audit or monitoring findings. No organization that 
receives assistance may have serious, unaddressed, outstanding audit or 
monitoring findings that directly affect the proposed program.
    (2) Selection criteria. Applications will be selected based on the 
following criteria:
    (a) HUD will award up to 40 points based on the extent to which the 
program described in the application will achieve the purpose of this 
NOFA, as demonstrated through:
    (i) A coordinated plan, developed within the context of a continuum 
of care system, for aggressive outreach to homeless persons living on 
the streets, intensive needs assessments, and addressing housing and 
service needs;
    (ii) The marshaling of existing community resources to meet the 
housing and service needs of these person; and
    (iii) If necessary, the provision of additional housing and 
services.
    (b) HUD will award up to 30 points based on the extent to which the 
applicant demonstrates the capacity to implement a program that 
achieves the purpose of this NOFA, including the speed with which the 
activities will become operational. The rating under this criterion 
will also consider the Department's knowledge of the prior experience 
of the applicant (and any organizations that will participate in 
carrying out the program) in serving homeless persons and in carrying 
out programs similar to those proposed in the application and the prior 
performance of the applicant (and any organizations that will 
participate in carrying out the program) with any HUD-administered 
programs.
    (c) HUD will award up to 30 points based on the jurisdiction's need 
for homeless assistance, as calculated by HUD from generally available 
data, and the extent to which the program described in the application 
is innovative and may be replicated or may serve as a model for 
implementation in other jurisdictions.
    After scores have been assigned, the applications will be placed in 
rank order. Whether an application is selected will depend on its 
ranking compared to other applications, except that HUD reserves the 
right to select lower rated applications if necessary to achieve 
diversity by geography and community type.

III. Application Submission Requirements

(A) Instructions for Submitting Required Items

    (1) Each submission requirement (listed as exhibits in Section (B) 
below) [[Page 4998]] must be clearly identified (including the exhibit 
subparts), and the application assembled in the order listed below. 
After the entire application is assembled, applicants should:
    (a) Mark each exhibit with an appropriately numbered tab; and
    (b) Number every page of the application sequentially.
    (2) All reviews will be based on the application submission.

(B) Application Submissions

    All applications must include the following exhibits:
    (1) Exhibit 1 consists of two documents that are printed in this 
Federal Register as appendices to this NOFA. The documents may be 
removed from the Federal Register or photocopied (do not re-type), and 
signed by the official authorized to act on behalf of the applicant. 
The two documents are:
    (a) SF-424--Application for Federal Assistance (published as 
Appendix A to this NOFA); and
    (b) Applicant Certifications (published as Appendix B to this 
NOFA).
    (2) Exhibit 2. Provide on not more than one page the number of 
persons in the jurisdiction who are living on the streets. Describe the 
methodology used to obtain that number and the date(s) of relevant data 
collection.
    (3) Exhibit 3. On not more than five pages:
    (a) Describe:
    (i) A coordinated plan, including a description of each activity 
for which funding is being requested, for aggressive outreach to 
homeless persons living on the streets, intensive needs assessments, 
connection to existing community resources and, if necessary, providing 
additional housing and services; and
    (ii) How this plan fits within the jurisdiction's current system 
for reaching out and accommodating the housing and service needs of 
these persons;
    (b) In the format shown below, provide a chart with the total grant 
amount requested for the activities described above and for grant 
administration, with a breakdown of grant amount by activity. (The 
request may not exceed two years of Innovative Project funding.) The 
amount requested for grant administration may not exceed 5 percent of 
the subtotal for all other activities;

------------------------------------------------------------------------
                                                                Amount  
                         Activities                           requested 
------------------------------------------------------------------------
1..........................................................  ...........
2..........................................................  ...........
3. etc.....................................................  ...........
4. Activity Subtotal.......................................  ...........
5. Grant Administration (no more than 5 percent of Activity             
 Subtotal).................................................  ...........
                                                            ------------
6. Total Request...........................................  ...........
------------------------------------------------------------------------

    (c) Provide a time schedule for carrying out the activities, from 
beginning to end, noting expected number of days from execution of the 
grant agreement for achievement of significant milestones;
    (d) Estimate the number of homeless persons to be assisted (with 
Innovative Project funding) over the life of the project (i.e., up to 
two years); and
    (e) List the resources, if any, that will be contributed to the 
project from States, local governments, and the private sector 
(including nonprofit organizations, foundations, and communities), and 
information on the status of any such resources that are essential to 
the financial feasibility of the project.
    (4) Exhibit 4. Describe on not more than two pages the relevant 
past experience (e.g., conducting aggressive outreach) of the 
organization(s) that will implement the proposed activities in carrying 
out these types of activities.
    (5) Exhibit 5. Describe on not more than three pages:
    (a) The demonstrated willingness and capacity of the applicant and 
other organizations involved in the project to work cooperatively with 
all relevant entities to design and implement an innovative program for 
helping homeless persons move from the streets; and
    (b) The extent to which the existing systems, both public and 
private, for homelessness assistance would benefit from additional 
resources to implement a coordinated plan for aggressive outreach to 
homeless persons living on the streets, and to carry out intensive 
needs assessments.
    (6) Exhibit 6. If changes in a jurisdiction's policy or procedure 
are necessary to provide sufficient flexibility and resources to 
implement and sustain the proposed activities, submit a statement of 
commitment from the jurisdiction to make such changes.
    (7) Exhibit 7. Applicants that are private nonprofit organizations 
must submit:
    (a) Documentation showing that the applicant is a certified United 
Way member agency: or
    (b) A copy of the organization's Internal Revenue Service (IRS) 
ruling providing tax-exempt status under Section 501(c)(3) of the IRS 
Code of 1986, as amended; and a certification on letterhead stationery 
from the Executive Director of the organization stating that the 
organization has a functioning accounting system that meets the 
criteria listed below or that the organization has designated a 
qualified entity (include the name and address in the documentation) to 
maintain a functioning accounting system that meets the criteria below. 
The certification must attest that the organization's accounting system 
provides for the following:
    (i) Accurate, current and complete disclosure of the financial 
results of each federally-sponsored project;
    (ii) Records that identify adequately the source and application of 
funds for federally-sponsored activities;
    (iii) Effective control over and accountability for all funds, 
property and other assets;
    (iv) Comparison of outlays with budget amounts;
    (v) Written procedures to minimize the time elapsing between the 
transfer of funds to the recipient from the U.S. Treasury and the use 
of the funds for program purposes;
    (vi) Written procedures for determining the reasonableness, 
allocability and allowability of costs; and
    (vii) Accounting records including cost accounting records that are 
supported by source documentation.

(C) Clarification of Application Information

    In accordance with the provisions of 24 CFR part 4, subpart B, HUD 
may contact an applicant to seek clarification of an item in the 
applicant's application, or to request additional or missing 
information, but the clarification or the request for additional or 
missing information shall not relate to items that would improve the 
substantive quality of the application pertinent to the funding 
decision.

(D) Environmental Review

    Selection of an application for funding does not imply HUD approval 
of any particular property for use in the project. HUD will complete an 
environmental review with respect to particular properties, to the 
extent required under 24 CFR part 50, at the time the recipient 
proposes particular properties for use under the program. The recipient 
may not commit HUD or local funds for acquisition, leasing or physical 
development activities under the program until it receives HUD approval 
of the property. [[Page 4999]] 

IV. Reporting Requirements

    Each grantee will be required to submit to HUD a progress report, 
in a form prescribed by HUD, within 90 days after the completion of 
each operating year or within 90 days after the project is completed if 
the total project period is less than twelve months. Each report shall 
describe the use of the grant funds and include a description and an 
analysis of the project, the innovative approaches taken, and the level 
of cooperation among participating parties.

V. Other Matters

    The information collection requirements contained in this notice 
have been submitted to the Office of Management and Budget under the 
Paperwork Reduction Act of 1989 (44 U.S.C. 3501-3520). The Department 
estimates the information collection burden hours as follows:

------------------------------------------------------------------------
                      Number of    Frequency of    Hours per     Burden 
                     respondents     responses      response     hours  
------------------------------------------------------------------------
Application                                                             
 preparation......           250               1           35      8,750
------------------------------------------------------------------------

Environmental Impact

    A Finding of No Significant Impact with respect to the environment 
was made in accordance with HUD regulations that implement section 
102(2)(C) of the National Environmental Policy Act of 1969 (42 U.S.C. 
4332) at the time of development of the NOFA for FY 1994 for Innovative 
Project Funding under the Innovative Homeless Initiatives Demonstration 
Program. That Finding remains applicable to this FY 1995 NOFA, and is 
available for public inspection during business hours in the Office of 
the Rules Docket Clerk, Office of General Counsel, Room 10276, 
Department of Housing and Urban Development, 451 Seventh Street, SW, 
Washington, DC 20410.

Federalism Executive Order

    The General Counsel, as the Designated Official under section 6(a) 
of Executive Order 12612, Federalism, has determined that this NOFA 
will not have substantial, direct effects on States, on their political 
subdivisions, or on their relationship with the Federal Government, or 
on the distribution of power and responsibilities between them and 
other levels of government. Specifically, the purpose of the funding 
under this NOFA is to provide grants to jurisdictions, or nonprofit 
organizations operating within jurisdictions, for innovative approaches 
toward providing a continuum of care system designed to assist homeless 
persons and prevent homelessness.

Family Executive Order

    The General Counsel, as the Designated Official under Executive 
Order 12606, The Family, has determined that this document may have the 
potential for significant beneficial impact on family formation, 
maintenance, and general well-being to the extent that the activities 
of grantees will provide housing to homeless persons. Since the impact 
on the family is considered beneficial, no further review under the 
Order is necessary.

Prohibition Against Lobbying Activities: The Byrd Amendment

    The use of funds awarded under this NOFA is subject to the 
disclosure requirements and prohibitions of section 319 of the 
Department of Interior and Related Agencies Appropriations Act for 
Fiscal Year 1990 (31 U.S.C. 1352) (the ``Byrd Amendment''), and the 
implementing regulations at 24 CFR part 87. These authorities prohibit 
recipients of Federal contracts, grants, or loans from using 
appropriated funds for lobbying the Executive or Legislative Branches 
of the Federal Government in connection with a specific contract, 
grant, or loan. The prohibition also covers the awarding of contracts, 
grants, cooperative agreements, or loans unless the recipient has made 
an acceptable certification regarding lobbying. Under 24 CFR part 87, 
applicants, recipients, and subrecipients of assistance exceeding 
$100,000, and applicants for Federal commitments exceeding $150,000 
must certify that no Federal funds have been or will be spent on 
lobbying activities in connection with the assistance.
    Indian Housing Authorities (IHAs) established by an Indian tribe as 
a result of the exercise of the tribe's sovereign power are excluded 
from coverage of the Byrd Amendment, but IHAs established under State 
law are not excluded from the statute's coverage.

Prohibition Against Lobbying of HUD Personnel

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

Prohibition Against Advance Disclosure of Funding Decisions

    HUD's regulations implementing section 103 of the Department of 
Housing and Urban Development Reform Act (HUD Reform Act) are codified 
at 24 CFR part 4 and apply to the funding competition announced today. 
The requirements of part 4 continue to apply until the announcement of 
the selection of successful applicants.
    HUD employees involved in the review of applications and in the 
making of funding decisions are restrained by part 4 from providing 
advance information to any person (other than an authorized employee of 
HUD) concerning funding decisions, or from otherwise giving any 
applicant an unfair competitive advantage. Persons who apply for 
assistance in this competition should confine their inquiries to the 
subject areas permitted by 24 CFR part 4.
    Applicants who have questions should contact the HUD Office of 
Ethics [[Page 5000]] (202) 708-3815 (voice/TDD). (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 Field Office Counsel, or Headquarters Counsel for the 
program to which the question pertains.

Accountability in the Provision of HUD Assistance

    HUD's regulation implementing section 102 of the HUD Reform Act is 
codified at 24 CFR part 12. Section 102 contains a number of provisions 
that are designed to ensure greater accountability and integrity in the 
provision of certain types of assistance administered by HUD. On 
January 16, 1992 (57 FR 1942), following publication of the final rule, 
HUD published additional information that gave the public (including 
applicants for, and recipients of, HUD assistance) further information 
on the implementation, public access, and disclosure requirements of 
section 102. The requirements of section 102 are applicable to 
assistance awarded under this NOFA.
a. Document and Public Access Requirements
    HUD will ensure documentation and other information regarding each 
application submitted pursuant to this NOFA are sufficient to indicate 
the basis upon which assistance was provided or denied. This material, 
including any letters of support, will be made available for public 
inspection for a five-year period beginning not less than 30 days after 
the award of the assistance. Material will be made available in 
accordance with the Freedom of Information Act (5 U.S.C. 552) and HUD's 
implementing regulations at 24 CFR part 15. In addition, HUD will 
include the recipients of assistance pursuant to this NOFA in its 
Federal Register notice of all recipients of HUD assistance awarded on 
a competitive basis. (See 24 CFR 12.14(a) and 12.6(b), and the notice 
published in the Federal Register on January 16, 1992 (57 FR 1942) for 
further information on these requirements.
b. Disclosures
    HUD will make available to the public for five years all applicant 
disclosure reports (HUD Form 2880) submitted in connection with this 
NOFA. Update reports (also Form 2880) will be made available along with 
the applicant disclosure reports, but in no case for a period less than 
three years.
    All reports--both applicant disclosures and updates--will be made 
available in accordance with the Freedom of Information Act (5 U.S.C. 
552) and HUD's implementing regulations at 24 CFR part 15. (See 24 CFR 
part 15, subpart C, and the notice published in the Federal Register on 
January 16, 1993 (57 FR 1942) for further information on these 
disclosure requirements.

    Dated: January 18, 1995.
Andrew Cuomo,
Assistant Secretary for Community Planning and Development.

                                                 BILLING CODE 4210-29-P
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BILLING CODE 4210-29-C [[Page 5004]] 

Appendix B--Applicant Certifications

    The Applicant hereby assures and certifies that:
    1. It will comply with:
    a. Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000(d)) and 
regulations pursuant thereto (Title 24 CFR part I), which state that no 
person in the United States shall, on the ground of race, color or 
national origin, be excluded from participation in, be denied the 
benefits of, or be otherwise subjected to discrimination under any 
program or activity for which the applicant receives financial 
assistance, and will immediately take any measures necessary to 
effectuate this agreement. With reference to the real property and 
structure(s) thereon which are provided or improved with the aid of 
Federal financial assistance extended to the applicant, this assurance 
shall obligate the applicant, or in the case of any transfer, the 
transferee, for the period during which the real property and 
structure(s) are used for a purpose for which the Federal financial 
assistance is extended or for another purpose involving the provision 
of similar services or benefits.
    b. The Fair Housing Act (42 U.S.C. 3601-19) and the implementing 
regulations at 24 CFR part 100, which prohibit discrimination in 
housing on the basis of race, color, religion, sex, handicap, familial 
status or national origin, and administer its programs and activities 
relating to housing in a manner to affirmatively further fair housing. 
For Indian tribes, it will comply with the Indian Civil Rights Act (25 
U.S.C. 1301 et seq.), instead of Title VI and the Fair Housing Act and 
their implementing regulations.
    c. Executive Order 11063 on Equal Opportunity in Housing, as 
amended by Executive Order 12892 (59 FR 2939) and the implementing 
regulations at 24 CFR part 107 which prohibit discrimination because of 
race, color, creed, sex or national origin in housing and related 
facilities provided with Federal financial assistance.
    d. Executive Order 11246 on Equal Opportunity in Employment (3 CFR 
1964-1965, Comp., p. 339) and the implementing regulations at 41 CFR 
part 61, which state that no person shall be discriminated against on 
the basis of race, color, religion, sex or national origin in all 
phases of employment during the performance of Federal contracts and 
shall take affirmative action to ensure equal employment opportunity. 
The applicant will incorporate, or cause to be incorporated, into any 
contract for construction work as defined in Section 130.5 of HUD 
regulations the equal opportunity clause required by Section 130.15(b) 
of the HUD regulations.
    e. Section 3 of the Housing and Urban Development Act of 1968, as 
amended (12 U.S.C. 1701(u)), and the implementing regulations at 24 CFR 
part 135), which require that to the greatest extent feasible, 
employment, training and contract opportunities arising in connection 
with the expenditure of HUD assistance covered by section 3 be given to 
low-income and very low-income persons and the business concerns 
identified in the part 135 regulations.
    f. Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794), 
as amended, and the implementing regulations at 24 CFR part 8, which 
prohibit discrimination based on handicap in Federally-assisted and 
conducted programs and activities.
    g. The Age Discrimination Act of 1975 (42 U.S.C. 6101-07), as 
amended, and the implementing regulations at 24 CFR part 146, which 
prohibit discrimination because of age in projects and activities 
receiving Federal financial assistance.
    h. Executive Orders 11625, 12432, and 12138, which state that 
program participants shall take affirmative action to encourage 
participation by businesses owned and operated by members of minority 
groups and women.
    If persons of any particular race, color, religion, sex, age, 
national origin, familial status, or handicap who may qualify for 
assistance are unlikely to be reached, it will establish additional 
procedures to ensure that interested persons can obtain information 
concerning the assistance.
    i. The reasonable modification and accommodation requirements of 
the Fair Housing Act and, as appropriate, the accessibility 
requirements of the Fair Housing Act and section 504 of the 
Rehabilitation Act of 1973, as amended.
    2. It will provide drug-free workplaces in accordance with the 
Drug-Free Workplace Act of 1988 (41 U.S.C. 701) by:
    a. Publishing a statement notifying employees that the unlawful 
manufacture, distribution, dispensing, possession, or use of a 
controlled substance is prohibited in the grantee's workplace and 
specifying the actions that will be taken against employees for 
violation of such prohibition;
    b. Establishing an ongoing drug-free awareness program to inform 
employees about--
    (1) the dangers of drug abuse in the workplace;
    (2) the grantee's policy of maintaining a drug-free workplace;
    (3) any available drug counseling, rehabilitation, and employee 
assistance programs; and
    (4) the penalties that may be imposed upon employees for drug abuse 
violations occurring in the workplace;
    c. Making it a requirement that each employee to be engaged in the 
performance of the grant be given a copy of the statement required by 
paragraph a;
    d. Notifying the employee in the statement required by paragraph a 
that, as a condition of employment under the grant, the employee will--
    (1) abide by the terms of the statement; and
    (2) notify the employer in writing of his or her conviction for a 
violation of a criminal drug statute occurring in the workplace no 
later than five calendar days after such conviction;
    e. Notifying the agency in writing, within ten calendar days after 
receiving notice under subparagraph d(2) from an employee or otherwise 
receiving actual notice of such conviction. Employers of convicted 
employees must provide notice, including position title, to every grant 
officer or other designee on whose grant activity the convicted 
employee was working, unless the Federal agency has designated a 
central point for the receipt of such notices. Notice shall include the 
identification number(s) of each affected grant;
    f. Taking one of the following actions, within 30 calendar days of 
receiving notice under subparagraph d(2), with respect to any employee 
who is so convicted--
    (1) taking appropriate personnel action against such an employee, 
up to and including termination, consistent with the requirements of 
the Rehabilitation Act of 1973, as amended; or
    (2) requiring such employee to participate satisfactorily in a drug 
abuse assistance or rehabilitation program approved for such purposes 
by a Federal, State, or local health, law enforcement, or other 
appropriate agency;
    g. Making a good faith effort to continue to maintain a drug-free 
workplace through implementation of paragraphs a, b, c, d, e and f;
    h. Providing the street address, city, county, state, and zip code 
for the site or sites where the performance of work in connection with 
the grant will take place. For some applicants who have functions 
carried out by employees in several departments or offices, more than 
one location may need to be specified. It is further recognized that 
States and other applicants who become grantees may add or change sites 
as a [[Page 5005]] result of changes to program activities during the 
course of grant-funded activities. Grantees, in such cases, are 
required to advise the HUD Field Office by submitting a revised ``Place 
of Performance'' form. The period covered by the certification extends 
until all funds under the specific grant have been expended.
    3. It will comply with the Uniform Relocation Assistance and Real 
Property Acquisition Policies Act of 1970, as amended, and the 
implementing regulations at 49 CFR part 24.
    4. It will comply with the requirements of the Lead-Based Paint 
Poisoning Prevention Act, 42 U.S.C. 4821-4846, and implementing 
regulations at 24 CFR part 35.
    5. It will (i) not enter into a contract for, or otherwise commit 
HUD or local funds for, acquisition, rehabilitation, conversion, lease, 
repair, or construction of property to provide housing under the 
program, prior to HUD's completion of an environmental review in 
accordance with 24 CFR part 50 and HUD's approval of the application; 
(ii) supply HUD with information necessary for HUD to perform any 
applicable environmental review when requested; and (iii) carry out 
mitigating measures required by HUD or ensure that alternate sites are 
utilized.
    6. The applicant certifies that:
    a. No Federally appropriated funds have been paid or will be paid, 
by or on behalf of the undersigned, to any person for influencing or 
attempting to influence an officer or employee of any agency, a Member 
of Congress, an officer or employee of Congress, or an employee of a 
Member of Congress in connection with the awarding of any Federal 
contract, the making of any Federal grant, the making of any Federal 
loan, the entering into of any cooperative agreement, and the 
extension, continuation, renewal, amendment, or modification of any 
Federal contract, grant, loan, or cooperative agreement.
    b. If any funds other than Federally appropriated funds have been 
paid or will be paid to any person for influencing or attempting to 
influence an officer or employee of any agency, a Member of Congress, 
an officer or employee of Congress, or an employee of a Member of 
Congress in connection with this Federal contract, grant, loan, or 
cooperative agreement, the undersigned shall complete and submit 
Standard Form-LLL, ``Disclosure Form to Report Lobbying,'' in 
accordance with its instructions.
    c. The language of this certification shall be included in the 
award documents for all subawards at all tiers (including subcontracts, 
subgrants, and contracts under grants, loans, and cooperative 
agreements) and that all subrecipients shall certify and disclose 
accordingly.
    This certification is a material representation of fact upon which 
reliance was placed when this transaction was made or entered into. 
Submission of this certification is a prerequisite for making or 
entering into this transaction imposed by section 1352, title 31, U.S. 
Code. Any person who fails to file the required certification shall be 
subject to a civil penalty of not less than $10,000 and of more than 
$100,000 for each such failure.
    7. For private nonprofit applicants, the applicant certifies that 
members of its Board of Directors serve in a voluntary capacity and 
receive no compensation, other than reimbursement for expenses, for 
their services.
    8. The applicant certifies that it and its principals (see 24 CFR 
24.105(p)):
    a. Are not presently debarred, suspended, proposed for debarment, 
declared ineligible, or voluntarily excluded from covered transactions 
(see 24 CFR 24.110) by any Federal department or agency;
    b. Have not within a three-year period preceding this proposal been 
convicted of or had a civil judgment rendered against them for 
commission of embezzlement, theft, forgery, bribery, falsification or 
destruction of records, making false statements, or receiving stolen 
property;
    c. Are not presently indicted for or otherwise criminally or 
civilly charged by a governmental entity (Federal, State or local) with 
commission of any of the offenses enumerated in (b) of this 
certification; and
    d. Have not within a three-year period preceding this application/
proposal had one or more public transactions (Federal, State or local) 
terminated for cause or default.
    Where the applicant is unable to certify to any of the statements 
in this certification, the applicant shall attach an explanation behind 
this page.
    Signature of Authorized Certifying Official:
----------------------------------------------------------------------

Title:

----------------------------------------------------------------------

Applicant:        Date:

Appendix C--HUD Field Offices

    Telephone numbers for Telecommunications Devices for the Deaf (TDD 
machines) are listed for field offices; all HUD numbers, including 
those noted *, may be reached via TDD by dialing the Federal 
Information Relay Service on 1-800-877-TDDY or (1-800-877-8339) or 
(202) 708-9300.

Alabama

John D. Harmon, Beacon Ridge Tower, 600 Beacon Pkwy. West, Suite 300, 
Birmingham, AL 35209-3144; (205) 290-7645; TDD (205) 290-7624.

Alaska

Dean Zinck, 949 E. 36th Avenue, Suite 401, Anchorage, AK 99508-4399; 
(907) 271-3669; TDD (907) 271-4328.

Arizona

Lou Kislin, 400 N. 5th St., Suite 1600, Arizona Center, Phoenix AZ 
85004; (602) 379-4754; TDD (602) 379-4461.

Arkansas

Billy M. Parsley, TCBY Tower, 425 West Capitol Ave., Suite 900, Little 
Rock, AR 72201-3488; (501) 324-6375; TDD (501) 324-5931.

California

(Southern) Herbert L. Roberts, 1615 W. Olympic Blvd., Los Angeles, CA 
90015-3801; (213) 251-7235; TDD (213) 251-7038.
(Northern) Steve Sachs, 450 Golden Gate Ave., P.O. Box 36003, San 
Francisco, CA 94102-3448; (415) 556-5576; TDD (415) 556-8357.

Colorado

Sharon Jewell, First Interstate Tower North, 633 17th St., Denver, CO 
80202-3607; (303) 672-5414; TDD (303) 672-5248.

Connecticut

Daniel Kolesar, 330 Main St., Hartford, CT 06106-1860; (203) 240-4508; 
TDD (203) 240-4522.

Delaware

John Kane, Liberty Sq. Bldg., 105 S. 7th St., Philadelphia, PA 19106-
3392; (215) 597-2665; TDD (215) 597-5564.

District of Columbia

James H. McDaniel, 820 First St., NE, Washington, DC (and MD and VA 
suburbs) 20002; (202) 275-0994; TDD (202) 275-0772.

Florida

James N. Nichol, 301 West Bay St., Suite 2200, Jacksonville, FL 32202-
5121; (904) 232-3587; TDD (904) 791-1241.

Miami-So. Dade

Richard P. Garrabrant, South Dade County Government Annex, Room 1400, 
10710 SW 211 Street, Miami, FL 33189; (303) 238-2851. [[Page 5006]] 

Georgia

John Perry, Russell Fed. Bldg., Room 688, 75 Spring St., SW, Atlanta, 
GA 30303-3388; (404) 331-5139; TDD (404) 730-2654.

Hawaii (and Pacific)

Patti A. Nicholas, 7 Waterfront Plaza, Suite 500, 500 Ala Moana Blvd., 
Honolulu, HI 96813-4918; (808) 522-8180; TDD (808) 541-1356.

Idaho

John G. Bonham, 520 SW 6th Ave., Portland, OR 97204-1596 (503) 326-
7018; TDD * via 1-800-877-8339.

Illinois

Jim Barnes, 77 W. Jackson Blvd., Chicago, IL 60604-3507; (312) 353-
1696; TDD (312) 353-7143.

Indiana

Robert F. Poffenberger, 151 N. Delaware St., Indianapolis, IN 46204-
2526; (317) 226-5169; TDD * via 1-800-877-8339.

Iowa

Gregory A. Bevirt, Executive Tower Centre, 10909 Mill Valley Road, 
Omaha, NE 68154-3955; (402) 492-3144; TDD (402) 492-3183.

Kansas

William Rotert, Gateway Towers 2, 400 State Ave., Kansas City, KS 
66101-2406; (913) 551-5484; TDD (913) 551-6972.

Kentucky

Ben Cook, P.O. Box 1044, 601 W. Broadway, Louisville, KY 40201-1044; 
(502) 582-5394; TDD (502) 582-5139.

Louisiana

Greg Hamilton, P.O. Box 70288, 1661 Canal St., New Orleans, LA 70112-
2887; (504) 589-7212; TDD (504) 589-7237.

Maine

David Lafond, Norris Cotton Fed. Bldg., 275 Chestnut St., Manchester, 
NH 03101-2487; (603) 666-7640; TDD (603) 666-7518.

Maryland

Harold Young, 10 South Howard Street, 5th Floor, Baltimore, MD 21202-
0000; (410) 962-2520 x3116; TDD (410) 962-0106.

Massachusetts

Frank Del Vecchio, Thomas P. O'Neill, Jr., Fed. Bldg., 10 Causeway St., 
Boston, MA 02222-1092; (617) 565-5342; TDD (617) 565-5453.

Michigan

Richard Paul, Patrick McNamara Bldg., 477 Michigan Ave., Detroit, MI 
48226-2592; (313) 226-4343; TDD * via 1-800-877-8339.

Minnesota

Shawn Huckleby, 220 2nd St. South, Minneapolis, MN 55401-2195; (612) 
370-3019; TDD (612) 370-3186.

Mississippi

Jeanie E. Smith, Dr. A. H. McCoy Fed. Bldg., 100 W. Capitol St., Room 
910, Jackson, MS 39269-1096; (601) 965-4765; TDD (601) 965-4171.

Missouri

(Eastern) David H. Long, 1222 Spruce St., St. Louis, MO 63103-2836; 
(314) 539-6524; TDD (314) 539-6331.
(Western) William Rotert, Gateway Towers 2, 400 State Ave., Kansas 
City, KS 66101-2406; (913) 551-5484; TDD (913) 551-6972.

Montana

Sharon Jewell, First Interstate Tower North, 633 17th St., Denver, CO 
80202-3607; (303) 672-5414; TDD (303) 672-5248.

Nebraska

Gregory A. Bevirt, Executive Tower Centre, 10909 Mill Valley Road, 
Omaha, NE 68154-3955; (402) 492-3144; TDD (402) 492-3183.

Nevada

(Las Vegas, Clark Cnty) Lou Kislin, 400 N. 5th St., Suite 1600, 2 
Arizona Center, Phoenix, AZ 85004; (602) 379-4754; TDD (602) 379-4461.
(Remainder of State) Steve Sachs, 450 Golden Gate Ave., P.O. Box 36003, 
San Francisco, CA 94102-3448; (415) 556-5576; TDD (415) 556-8357.

New Hampshire

David Lafond, Norris Cotton Fed. Bldg., 275 Chestnut St., Manchester, 
NH 03101-2487; (603) 666-7640; TDD (603) 666-7518.

New Jersey

Frank Sagarese, 1 Newark Center, Newark, NJ 07102; (201) 622-7900; TDD 
(201) 645-3298.

New Mexico

Katie Worsham, 1600 Throckmorton, P.O. Box 2905, Fort Worth, TX 76113-
2905; (817) 885-5483; TDD (817) 885-5447.

New York

(Upstate) Michael F. Merrill, Lafayette Ct., 465 Main St., Buffalo, NY 
14203-1780; (716) 846-5768; TDD * via 1-800-877-8339.
(Downstate) Jack Johnson, 26 Federal Plaza, New York, NY 10278-0068; 
(212) 264-2885; TDD (212) 264-0927.

North Carolina

Charles T. Ferebee, Koger Building, 2306 West Meadowview Road, 
Greensboro, NC 27407; (910) 547-4005; TDD (910) 547-4055.

North Dakota

Sharon Jewell, First Interstate Tower North, 633 17th St., Denver, CO 
80202-3607; (303) 672-5414; TDD (303) 672-5248.

Ohio

Jack E. Riordan, 200 North High St., Columbus, OH 43215-2499; (614) 
469-6743; TDD (614) 469-6694.

Oklahoma

Ted Allen, Murrah Fed. Bldg., 200 NW 5th St., Oklahoma City, OK 73102-
3202; (405) 231-4973; TDD (405) 231-4181.

Oregon

John G. Bonham, 520 SW 6th Ave., Portland, OR 97204-1596 (503) 326-
7018; TDD * via 1-800-877-8339.

Pennsylvania

(Western) Bruce Crawford, Old Post Office and Courthouse Bldg., 700 
Grant St., Pittsburgh, PA 15219-1906; (412) 644-5493; TDD (412) 644-
5747.
(Eastern) Joyce Gaskins, Liberty Sq. Bldg., 105 S. 7th St., 
Philadelphia, PA 19106-3392; (215) 597-2665; TDD (215) 597-5564.

Puerto Rico (and Caribbean)

Carmen R. Cabrera, 159 Carlos Chardon Ave., San Juan, PR 00918-1804; 
(809) 766-5576; TDD (809) 766-5909.

Rhode Island

Frank Del Vecchio, Thomas P. O'Neill, Jr., Fed. Bldg., 10 Causeway St., 
Boston, MA 02222-1092; (617) 565-5342; TDD (617) 565-5453.

South Carolina

Louis E. Bradley, Fed. Bldg., 1835-45 Assembly St., Columbia, SC 29201-
2480; (803) 765-5564; TDD * via 1-800-877-8339.

South Dakota

Sharon Jewell, First Interstate Tower North, 633 17th St., Denver, CO 
80202-3607; (303) 672-5414; TDD (303) 672-5248.

Tennessee

Virginia Peck, 710 Locust St., Knoxville, TN 37902-2526; (615) 545-
4396; TDD (615) 545-4559. [[Page 5007]] 

Texas

(Northern) Katie Worsham, 1600 Throckmorton, P.O. Box 2905, Fort Worth, 
TX 76113-2905; (817) 885-5483; TDD (817) 885-5447.
(Southern) John T. Maldonado, Washington Sq., 800 Dolorosa, San 
Antonio, TX 78207-4563; (210) 229-6820; TDD (210) 229-6885.

Utah

Sharon Jewell, First Interstate Tower North, 633 17th St., Denver, CO 
80202-3607; (303) 672-5414; TDD (303) 672-5248.

Vermont

David Lafond, Norris Cotton Fed. Bldg., 275 Chestnut St., Manchester, 
NH 03101-2487; (603) 666-7640; TDD (603) 666-7518.

Virginia

Joseph Aversano, 3600 W. Broad St., P.O. Box 90331, Richmond, VA 23230-
0331; (804) 278-4503; TDD (804) 278-4501.

Washington

John Peters, Federal Office Bldg., 909 First Ave., Suite 200, Seattle, 
WA 98104-1000; (206) 220-5150; TDD (206) 220-5185.

West Virginia

Bruce Crawford, Old Post Office & Courthouse Bldg., 700 Grant St., 
Pittsburgh, PA 15219-1906; (412) 644-5493; TDD (412) 644-5747.

Wisconsin

Lana J. Vacha, Henry Reuss Fed. Plaza, 310 W. Wisconsin Ave., Ste. 
1380, Milwaukee, WI 53203-2289; (414) 297-3113; TDD * via 1-800-877-
8339.

Wyoming

Sharon Jewell, First Interstate Tower North, 633 17th St., Denver, CO 
80202-3607; (303) 672-5414; TDD (303) 672-5248.

[FR Doc. 95-1793 Filed 1-24-95; 8:45 am]
BILLING CODE 4210-29-P