[Federal Register Volume 62, Number 54 (Thursday, March 20, 1997)]
[Notices]
[Pages 13506-13512]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-7018]



[[Page 13505]]

_______________________________________________________________________

Part VII





Department of Housing and Urban Development





_______________________________________________________________________



Community Outreach Partnership Centers (COPC) Funding Availability, FY 
1997; Notice

  Federal Register / Vol. 62, No. 54 / Thursday, March 20, 1997 / 
Notices  

[[Page 13506]]



DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

[Docket No. FR-4187-N-01]


Fiscal Year 1997 Notice of Funding Availability for Community 
Outreach Partnership Centers (COPC)

AGENCY: Office of the Assistant Secretary for Policy Development and 
Research, HUD.

ACTION: Notice of Funding Availability (NOFA) for Fiscal Year 1997.

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

SUMMARY: This NOFA announces the availability of Fiscal Year 1997 
funding to make grants to establish and operate Community Outreach 
Partnership Centers (COPC).
    Available funding. Approximately $7.5 million to implement the 
fourth year of this demonstration program.
    Eligible applicants. Public and private nonprofit institutions of 
higher education.
    Purpose. To assist in establishing or carrying out research and 
outreach activities addressing the problems of urban areas. Funding 
under this demonstration program shall be used to establish and operate 
Community Outreach Partnership Centers (COPC).
    The NOFA contains 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 AND INSTRUCTIONS FOR OBTAINING APPLICATIONS: Application kits may 
be requested on or after March 25, 1997.
    Applications must be physically received by the Office of 
University Partnerships, in care of the Division of Budget, Contracts, 
and Program Control, in Room 8230 by 4:30 p.m. Eastern Standard Time on 
June 19, 1997. Facsimiles of applications will not be accepted. 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. Applicants hand-delivering applications are 
advised that considerable delays may occur in attempting to enter the 
building because of security procedures.

ADDRESSES: To obtain a copy of the application kit, contact: HUD USER, 
ATTN: COPC, P.O. Box 6091, Rockville, Maryland 20850. Requests for 
application kits must be in writing, but requests may be faxed to: 301-
251-5747 (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-4187.'' The application kit is also available on the 
Internet from the Office of University Partnerships Clearinghouse. The 
Clearinghouse can be accessed from the World Wide Web at: http://
oup.org; or from a Gopher Server at: gopher://oup.org:89

FOR FURTHER INFORMATION CONTACT: Jane Karadbil, Office of University 
Partnerships in the Office of Policy Development and Research, 
Department of Housing and Urban Development, 451 Seventh Street, S.W., 
Room 8110 Washington, DC 20410, telephone (202) 708-1537. Hearing or 
speech-impaired individuals may call HUD's TTY number (202) 708-0770, 
or 1-800-877-8399 (Federal Information Relay service TTY). Other than 
the ``800'' number, these are not toll-free numbers. Ms. Karadbil can 
also be contacted via the Internet at
Jane__R.__K[email protected]. An information broadcast via satellite will 
be held on April 30, 1997 for potential applicants to learn more about 
the program and preparation of an application. For more information 
about attending the broadcast, please contact Ms. Karadbil.

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 
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520) and assigned 
OMB control number 2528-0180. An agency may not conduct or sponsor, and 
a person is not required to respond to, a collection of information 
unless the collection displays a valid control number.

Promoting Comprehensive Approaches to Housing and Community 
Development

    HUD is interested in promoting comprehensive, coordinated 
approaches to housing and community development. Economic development, 
community development, public housing revitalization, homeownership, 
assisted housing for special needs populations, supportive services, 
and welfare-to-work initiatives can work better if linked at the local 
level. Toward this end, the Department in recent years has developed 
the Consolidated Planning process designed to help communities 
undertake such approaches.
    In this spirit, it may be helpful for applicants under this NOFA to 
be aware of other related HUD NOFAs that have recently been published 
or are expected to be published in this fiscal year. By reviewing these 
NOFAs with respect to their program purposes and the eligibility of 
applicants and activities, applicants may be able to relate the 
activities proposed for funding under this NOFA to the recent and 
upcoming NOFAs and to the community's Consolidated Plan. Attached to 
this NOFA, as Appendix A, is a list of HUD's NOFAs that the Department 
has published or expects to publish this fiscal year.
    To foster comprehensive, coordinated approaches by communities, the 
Department intends for the remainder of FY 1997 to continue to alert 
applicants of HUD's NOFA activity. In addition, a complete schedule of 
NOFAs to be published during the fiscal year and those already 
published appears under the HUD Homepage on the Internet, which can be 
accessed at http://www.hud.gov/nofas.html. Additional steps to better 
coordinated HUD's NOFAs are being considered for FY 1998.
    To help in obtaining a copy of your community's Consolidated Plan, 
please contact the community development office of your municipal 
government.

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) (HCD Act of 1992). Section 801(c) of the HCD Act of 
1992 authorizes $7.5 million for each year of the 5-year demonstration 
to create Community Outreach Partnership Centers as authorized in the 
COPC Act. The COPC Act also required HUD to establish a national 
clearinghouse to disseminate information resulting from research and 
outreach conducted at the centers.
    COPC is administered by the Office of University Partnerships (OUP) 
in the Office of Policy Development and Research. OUP is responsible 
for five of the Department's grant programs for institutions of higher 
education--Community Outreach Partnership Centers program, Joint 
Community

[[Page 13507]]

Development program, Community Development Work Study program, 
Hispanic-serving Institutions Work Study program, and the Doctoral 
Dissertation Grant program. In addition, OUP is responsible for a 
variety of new outreach initiatives to involve these institutions in 
local community development, public housing, and revitalization 
partnerships.

B. Allocation and Form of Award

    The competition in this NOFA is for up to $7.5 million to fund the 
fourth year of the COPC program authorized as indicated above.
    Under this NOFA, HUD will fund two kinds of grants--New Grants and 
Institutionalization Grants. New Grants will be awarded to institutions 
of higher education to begin or expand their applied research and 
outreach activities. Institutionalization Grants will be awarded to 
certain COPC grantees to help ensure that their COPC activities are 
institutionalized as an integral part of the teaching, research, and 
service missions of their colleges and universities. There will be two 
separate competitions within this year's funding. To institutionalize 
their COPC functions, up to $1.4 million will be set-aside for a 
competition among the grantees awarded two-year grants in FY 1995. Up 
to $6.1 million will be used to fund new COPC grantees. HUD has 
administratively determined that FY 1995 grantees are only eligible for 
Institutionalization Grants, not for New Grants. (FY 1994 and FY 1996 
COPC grantees are not eligible for either kind of grant, nor are 
universities that received Joint Community Development Program grants.) 
If any funds set-aside for Institutionalization Grants are not awarded, 
they will be used instead as part of the funding for New Grantees, 
funding these grantees in rank order based on the rating factors. 
(Program requirements for Institutionalization Grants are the same as 
for New Grants, except as noted in Section IV of this NOFA, below.) It 
is estimated that approximately 15 COPC awards to new grantees can be 
made with the $6.1 million available.
    Each New Grant will be for a three-year period of performance 
(i.e., applicants must complete their proposed activities within three 
years). The maximum size of any New Grant will be $400,000, while the 
minimum will be $250,000. Both amounts are over the three year grant 
period. Applicants must submit an application within this range or they 
will be disqualified. Several applicants were disqualified last year 
because they asked for $400,000 for each of the three years of the 
grant period. Each Institutionalization Grant will be for a one-year 
period, with a maximum grant size of $100,000. Applicants for 
Institutionalization Grants will be disqualified if they request more 
than the maximum allowable amount.

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 COPCs. These 
COPCs 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.''
    Grants under the COPC program must focus on the following specific 
problems: ``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.''
    COPC programs must combine research with outreach, work with 
communities and local governments and address the multi-dimensional 
problems that beset urban areas. Single purpose applications are not 
eligible. Applications must be multifaceted and address three or more 
urban problems, as described in selection factor #1. The scope of 
applications for Institutionalization Grants is covered elsewhere 
below.
    To be most effective during the term of the demonstration, the 
funded 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 these results to specific real-life urban problems.
    The five key concepts of the COPC program are:
    (1) The program should provide outreach, technical assistance, 
applied research, and empowerment to neighborhoods and neighborhood-
based organizations based on what the residents decide is needed, not 
based on what the institution thinks is appropriate for that 
neighborhood;
    (2) Community-based organizations should be partners with the 
institutions throughout the life of the project, from planning to 
implementation;
    (3) The applied research should be related to the outreach 
activities and be usable in these activities within the grant period or 
shortly after it ends, rather than research without practical 
application;
    (4) The assistance to neighborhoods should be provided primarily by 
the faculty, students, or to a limited extent, by neighborhood 
residents or community-based organizations funded by the university; 
and
    (5) The program should be part of the institution's broader effort 
to meet its urban mission, and be supported by senior officials, rather 
than just the work of a few faculty members. Proposed activities should 
not duplicate those of other entities in the community and should be 
appropriate for an institution of higher education to undertake in 
light of its teaching, research, and service missions.

D. Eligible Applicants

    Applicants for this competition must be public or private nonprofit 
institutions of higher education granting two-or four-year degrees and 
accredited by a national or regional accrediting agency recognized by 
the U.S. Department of Education. Consortia of eligible institutions 
may apply, as long as one institution is designated the lead applicant. 
Each institution may be part of only one consortium or submit only one 
application or it will be disqualified. HUD will hold an institution 
responsible for ensuring that neither it nor any part of the 
institution, including specific faculty, participates in more than one 
application. Applicants must submit proposals that address the problems 
of urban areas (see rating factor 1, for further enumeration of these 
problems).
    Different campuses of the same university system are eligible to 
apply, even if one campus has already received COPC funding. Such 
campuses are eligible as separate applicants only if they have 
administrative and budgeting

[[Page 13508]]

structures independent of other campuses in the system.

E. Program Requirements

    Grantees must meet the following program requirements:
    1. Responsibilities. In accordance with section 851(h) of the HCD 
Act of 1992, each COPC 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 and is separate 
and distinct from the functions in (h) above, which relate to the 
provision of information to the University Partnerships Clearinghouse, 
which is the national clearinghouse for the program.
    2. Cap on Research Costs. No more than 25 percent of the total 
project costs (Federal share plus match) can be spent on research 
activities.
    3. Match. Grantees must meet the following match requirements. 
Note, as shown in the selection factors (II.A.(2)), applicants will 
receive points for providing matching funds above those required.
    (a) Research Activities. 50 percent of the total project costs of 
establishing and operating research activities.
    (b) Outreach Activities. 25 percent of the total 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 24 CFR Part 84, and in particular Section 84.23 entitled 
``cost sharing or matching.''
    In order to avoid confusion about the calculation of the match, an 
example is provided.
    Assume that the total project cost for a COPC was $500,000, with 
$125,000 for research and $375,000 for outreach. Note that this project 
meets the requirement that no more than one-quarter of the total 
project costs be for research. The total amount of the required match 
would be $156,250. The research match would be $62,500 ($125,000 x 50 
percent) and the outreach match would be $93,750 ($375,000 x 25 
percent). The Federal grant requested would be $343,750 ($500,000 minus 
the match of $156,250). In calculating the match, administrative costs 
should be applied to the appropriate attributable outreach or research 
component.
    4. Administrative. The grant will be governed by the provision of 
24 CFR Part 84 (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. No more than 20% of the Federal grant 
funds may be used for planning and program administrative costs. 
Overhead costs directly related to carrying out activities under 
research and outreach need not be considered planning and program 
administrative costs, since those costs are eligible under that 
section. The 20% limitation imposed under this program applies only to 
Federal funds received through this grant, not to matching funds.

F. Eligible Activities

    Eligible activities include:
    1. Research activities which have practical application for solving 
specific problems in designated communities and neighborhoods, 
including evaluation of the effectiveness of the outreach activities. 
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 urban 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) Job training and other training projects, such as workshops, 
seminars and one-on-one and on-the-job training;
    (b) Design of community strategies to resolve urban problems of 
communities and neighborhoods;
    (c) Innovative use of funds to provide direct technical expertise 
and assistance to local community groups and residents to assist them 
in resolving local problems such as homelessness, housing 
discrimination, and impediments to fair housing choice;
    (d) Technical 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;
    (e) Technical assistance to local public housing authorities on 
welfare-to-work initiatives and physical transformations of public or 
assisted housing;
    (f) Assistance to communities to improve consolidated housing and 
community development plans and remove impediments to design and 
implementation of such plans; and
    (g) Assistance to communities to improve the fair housing planning 
process.
    3. Funds for faculty development including paying for course time 
or summer support to enable faculty members to work on the COPC.
    4. Funds for stipends for students (which cannot cover tuition and 
fees) when they are working on the COPC.
    5. Activities to carry out the ``Responsibilities'' listed under 
Section I.E.1 of this NOFA. These activities may include leases for 
office space in which to house the Community Outreach Partnership 
Center, under the following conditions:
    a. The lease must be for existing facilities;
    b. No repairs or renovations of the property may be undertaken with 
Federal funds; and
    c. Properties in the Coastal Barrier Resource System designated 
under the Coastal Barrier Resources Act (16 U.S.C. 3501) cannot be 
leased with Federal funds.

G. Ineligible Activities

    Grants funds cannot be used for:
    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 routine operations and day-to-day administration 
of regular

[[Page 13509]]

programs of institutions of higher education, local governments or 
neighborhood groups.

II. Rating Factors/Selection Process for New Grantees

A. Rating Factors

    HUD will use the following criteria to rate and rank applications 
for New Grants received in response to this NOFA. Several modifications 
have been made to the factors, as they were issued last year. These 
modifications are described below. Selection factors for 
Institutionalization Grants are described below in Section IV of 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) (5 points) The demonstrated research and 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:
    (a) Undertaking research activities in specific communities which 
have clear near-term potential for practical application to significant 
urban problems associated with affordable housing, fair housing, 
economic development, neighborhood revitalization, infrastructure, 
health care, job training, education, crime prevention, planning and 
community organizing, and
    (b) Undertaking outreach activities in specific communities to 
solve or ameliorate significant urban problems. Under this factor, HUD 
will also evaluate 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. In 
assessing this factor, HUD will look at past and current relevant 
projects of the applicant with community-based organizations or local 
governments.
    (2) (10 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, up to a maximum of five points. Maximum 
points will be awarded for applications that secure 50 percent more 
than the amount of match required. Because the Department is interested 
in promoting the institutionalization of COPC projects, up to an 
additional five points will be awarded for the extent to which matching 
funds are provided from sources other than the applicant (e.g., funds 
from the city, including CDBG, other State or local government 
agencies, public or private organizations, or foundations). Factor 7 
has been reduced by five points to compensate for the points added to 
this factor.
    (3) (10 points) The extent of need in the communities to be served 
by the applicant. The applicant must demonstrate that it is serving 
areas with substantial low-income populations, low standards of living, 
and large numbers of empty or abandoned dwellings. HUD will consider 
the extent to which the proposal clearly delineates a need or needs in 
the specific communities or neighborhoods, 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.
    The applicant should demonstrate a strong familiarity (based on 
sufficient investigation) with the existing and planned efforts of 
government agencies, community-based organizations, faith-based 
institutions, for-profit firms and any other entities to address such 
needs in the communities to be served, and should demonstrate that the 
applicant can cost-effectively complement any such efforts to attain 
measurable impacts.
    (4) (5 points) The demonstrated ability of the applicant to 
disseminate results of research and successful strategies developed 
through outreach activities to other COPCs 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 
the quality of the applicant's proposal to disseminate information on 
COPC research results and strategies to: (a) local communities in its 
area and (b) other communities and COPCs through the OUP Clearinghouse.
    (5) (35 points) The projects and activities that the applicant 
proposes to carry out under the grant. This factor has three sub-
factors: (a) effectiveness of the research strategy (5 points); (b) 
effectiveness of the outreach strategy (15 points); and (c) work on 
specific HUD priority activities (15 points).
    (a) In rating the effectiveness of the research strategy, HUD will 
consider:
    (i) The extent to which the applicant's proposal outlines a clear 
research agenda, based on a thorough familiarity with existing research 
on the subject, that can be successfully carried out within the grant 
period. (The applicant should demonstrate that the proposed research 
builds on existing research in the field and does not duplicate 
research previously completed, or currently underway, by others.); and
    (ii) The extent to which the applicant demonstrates how the 
research to be undertaken will fit into the outreach strategy and 
activities. For example, an applicant proposing to study the extent of 
housing abandonment in a neighborhood and then designing a plan for 
reusing this housing would be able to demonstrate the link between the 
proposed research and outreach strategies.
    (b) In rating the effectiveness of the outreach strategy factor, 
HUD will consider the extent to which:
    (i) The application identifies a clear outreach agenda related to 
locally-identified needs that can be successfully carried out within 
the period of this grant. In assessing this sub-factor, HUD will look 
at whether the agenda includes specific projects, based on the needs 
identified in Selection Factor 3, with time lines within the grant 
period.
    (ii) The outreach agenda includes design or strengthening and 
implementation of a community strategy to resolve community and 
neighborhood problems. Applicants will be expected to have involved the 
community in designing the strategy and to identify an agenda that they 
have already worked with the community to design. Applicants should 
refer to concepts 1 and 2 of the key concepts of the program, under 
Section I.C., to understand the kinds of community strategy HUD would 
fund.
    (iii) There is a plan for involving the university in the execution 
of the outreach strategy; and
    (iv) The outreach program provides for on-site or a frequent 
presence in the communities and neighborhoods to be assisted through 
outreach activities.
    (c) (15 points) HUD Priority Areas.
    (i) If all of the applicant's research and outreach agenda is to be 
in an Empowerment Zone or Enterprise Community, five (5) points will be 
awarded.
    (ii) If some of an applicant's research and outreach agenda is 
related to public housing transformation, HUD-assisted distressed 
housing, or Campus of Learners/Neighborhood Networks, five (5) points 
will be awarded. These

[[Page 13510]]

programs are described in more detail in the application kit.
    In awarding points for these two sub-factors, HUD will look for 
evidence of participation, including letters from the responsible 
entities describing the relationship and work to be undertaken. The 
level of work to be devoted to these priority areas will be based on 
the percentage of the COPC grant and matching funds proposed to be 
spent on them.
    (iii) If some of the applicant's work is on activities that 
affirmatively further fair housing, for example: (a) overcoming 
impediments to fair housing, such as discrimination in the sale or 
rental of housing or in advertising, provision of brokerage services, 
or lending; (b) promoting fair housing through the expansion of 
homeownership opportunities and improved quality of city services for 
minorities, families with children, and persons with disabilities; or 
(c) providing mobility counseling, five (5) points will be awarded.
    (6) (15 points) The extent of neighborhood and neighborhood based 
organization and local government participation in the planning and 
implementation of the COPC. The points for this factor have been 
increased from 10 points in last year's NOFA to reflect the addition of 
subfactor (d). In rating this factor, HUD will consider whether:
    (a) One or more community advisory committees, meeting the tests of 
sub-factors (b) and (c) immediately below, comprised of representatives 
of local institutions and a balance of the race, ethnic, disability 
status, gender and income of residents of the communities to be served 
has been or will be formed to participate in identifying local needs to 
be addressed by the COPC and to form a partnership with the COPC to 
develop and implement strategies to address those needs. Applicants 
will be expected to demonstrate that they have already formed such a 
committee(s) or secured the commitment of the appropriate persons to 
serve on the committee(s), rather than just describing generally the 
types of persons whose involvement they will seek.
    (b) There is a plan for involving the community advisory 
committee(s) in the execution of the research and outreach agenda; and
    (c) The outreach agenda includes training projects for local 
community leaders, for example, to increase their capacity to direct 
their organizations or undertake various kinds of community development 
projects.
    (d) The research and outreach plans show evidence of consultation 
and collaboration with the appropriate local government. This subfactor 
has been added in order to ensure that COPC activities are part of the 
broader plans a city has for the neighborhoods affected by the 
application.
    (7) (20 points) The extent to which the proposed COPC will result 
in the COPC function and activities becoming part of the urban mission 
of the institution. In reviewing this factor, HUD will consider the 
extent to which the COPC activities relate to the institution's urban 
mission, are part of a climate that rewards faculty and student work on 
these activities, and are reflected in course work. HUD will also look 
at the extent to which these activities are supported at the highest 
levels of institutional leadership.

B. Selection Process for New Grantees

    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 (7) shall be 
selected. If there is still a tie, the application with the most points 
for rating factor (6) shall be selected.
    If the amount 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 render 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 with scores of at least 70 points or 
available funds have been exhausted.

C. Geographic Distribution

    HUD reserves the right to make selections out of rank order to 
provide for a geographic distribution of funded COPCs. The approach HUD 
will use, if it decides to implement this option, will be based on 
combining two adjacent standard HUD regions (e.g., Southwest and 
Southeast Regions, Great Plains and Midwest Regions, etc.) If the rank 
order does not yield at least one fundable COPC within each combined 
region, 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 eligible applicant (see 
Section I.D. of this NOFA) that serves the colonias, as defined by 
Section 916(d) of the Cranston-Gonzalez National Affordable Housing 
Act, as long as the applicant receives a minimum score of 70.

III. Application Content and Review Process

    Applicants must complete and submit applications in accordance with 
instructions contained in the application kit and must include all 
certifications, assurances, and budget information requested in the 
kit. Following the expiration of the application submission deadline, 
HUD will review and rank applications in a manner consistent with the 
procedures described in this Notice.

IV. Program and Application Requirements for Institutionalization 
Grants

    (a) General Requirements. All requirements of Parts I and III of 
this NOFA apply also to this part unless otherwise herein noted. The 
maximum size of any Institutionalization Grant will be $100,000, and 
grant requests shall not exceed this amount. The term of the grant will 
be for one year. If the grantee proposes entirely new activities, it 
may conduct activities under both grants, until funds from both are 
fully expended. If the applicant proposes continuation of current 
activities, it must expend all the funds under the current grant before 
expending any new funds under an Institutionalization Grant. Current 
grantees may request a no-cost extension from HUD if necessary to 
finish expending all their FY 1995 grant funds.
    (b) Eligible Applicants. Only institutions awarded COPC grants in 
FY 1995 are eligible for Institutionalization Grants. These grantees 
are not eligible for New Grants. Institutionalization Grants to current 
grantees will be for a one-year period. Current COPC grantees that 
received grants as consortia must apply again as consortia, with all 
current member institutions participating in the proposed 
Institutionalization Grant, and with the same lead applicant as in 
their current COPC.

[[Page 13511]]

    (c) Eligible Activities. Instead of proposing a range of activities 
to be undertaken, applicants should propose activities that will bring 
their COPC projects to a successful conclusion or could result in 
securing funding to continue either current or new COPC activities from 
other sources, such as local governments or foundations.
    (d) Rating Factors/Selection Process.
    (i) Rating Factors. The selection factors contained in Section 
II.A. of this NOFA have been modified. Applicants will be required to 
meet three selection factors (which are simply consolidations of the 
factors used for new grantees), summarized as ``Past Performance,'' 
``Proposed Activities,'' and ``Potential for Institutionalization.'' 
Each factor and the maximum points assigned to it are described below:
    ((a)) (30 points) The demonstrated past performance of the 
applicant, as measured by: the research and outreach resources made 
available to the applicant under the current COPC grant; the ability of 
the applicant to provide local leadership and disseminate results of 
the grant; and the effectiveness of the activities undertaken in the 
grant.
    ((b)) (30 points) The effectiveness of the proposed research and 
outreach activities, as measured by: need for the activities; 
involvement of the community in these activities; demonstrated 
commitment of the application by providing a matching contribution; and 
likelihood that these activities can be successfully carried out within 
the grant period.
    ((c)) (40 points) The potential of the proposed outreach strategy 
to ensure institutionalization of the COPC functions at the college or 
university, as measured by the extent to which the proposed COPC 
functions will become an integral part of the teaching, research and 
urban service mission of the institution and the extent to which the 
COPC activities are supported by the highest levels of institutional 
leadership. In reviewing this factor, HUD will consider the extent to 
which the COPC activities are part of and will enhance a broader set of 
existing or planned activities and will foster a culture that rewards 
faculty and student work on these activities.
    (ii) Selection Process. An applicant must receive a score of at 
least 70 points in order to be funded. Applications will be rated but 
not ranked. There is sufficient funding for all eligible applications. 
Applications requesting over $100,000 will be ineligible.

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 may 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. Findings and Certifications

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 COPCs 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.

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.

Accountability in the Provision of HUD Assistance.

    Section 102 of the Department of Housing and Urban Development 
Reform Act of 1989 (HUD Reform Act) and the final rule codified at 24 
CFR part 4, subpart A, published on April 1, 1996 (61 FR 1448), contain 
a number of provisions that are designed to ensure greater 
accountability and integrity in the provision of certain types of 
assistance administered by HUD. On January 14, 1992, HUD published, at 
57 FR 1942, a notice that also provides information on the 
implementation of section 102. The documentation, public access, and 
disclosure requirements of section 102 are applicable to assistance 
awarded under this NOFA as follows:
    Documentation and public access requirements. HUD will ensure that 
documentation and other information regarding each application 
submitted pursuant to this NOFA are sufficient to indicate the basis 
upon which assistance was provided or denied. This material, including 
any letters of support, will be made available for public inspection 
for a 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.
    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.

Prohibition Against Advance Information on Funding Decisions

    HUD's regulation implementing section 103 of the Department of 
Housing and Urban Development Reform Act of 1989, 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 
limited 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

[[Page 13512]]

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 or employees who have ethics related questions should 
contact HUD's Ethics Law Division (202) 708-3815. (This is not a toll-
free number.)

Byrd Amendment

    The Byrd Amendment, which is implemented in regulations at 24 CFR 
part 87, prohibits applicants for Federal contracts and grants from 
using appropriated funds to attempt to influence Federal executive or 
legislative officers or employees in connection with obtaining such 
assistance, or with its extension, continuation, renewal, amendment or 
modification. The Byrd Amendment applies to the funds that are subject 
to this NOFA. Therefore, applicants must file a certification stating 
that they have not made and will not make any prohibited payments and, 
if payments or agreement to make payments of nonappropriated funds for 
these purposes have been made, a SF-LLL disclosing such payments should 
be submitted. The certification and the SF-LLL are included in the 
application package issued pursuant to this NOFA.

Protection of Human Subjects

    45 CFR part 46, Subtitle A on the protection of human subjects does 
not apply to the COPC program because the research activities to be 
conducted under the program are only incidentally regulated by the 
Department solely as part of its broader responsibility to regulate 
certain types of activities whether research or non-research in nature.

Environmental Impact

    A Finding of No Significant Impact with respect to the environment 
has been made in accordance with HUD regulations at 25 CFR part 50, 
implementing section 102(2)(C) of the National Environmental Policy Act 
of 1969 (42 U.S.C. 4332). The Finding of No Significant Environmental 
Impact is available for public inspection during business hours in the 
Office of the Rules Docket Clerk, Room 10276, U.S. Department of 
Housing and Urban Development, 451 Seventh Street, SW, Washington, DC 
20410-0500.

Catalog of Federal Domestic Assistance

    The Catalog of Federal Domestic Assistance number for this program 
is 14.511.

    Dated: February 10, 1997.
Michael A. Stegman,
Assistant Secretary for Policy Development and Research.

 appendix A--Hud Nofas Published and Expected to be Published in FY 1997
------------------------------------------------------------------------
                 Office                              Program            
------------------------------------------------------------------------
Public and Indian Housing..............  Indian Emergency Shelter       
                                          Grants.                       
Public and Indian Housing..............  Traditional Indian Housing     
                                          Development.                  
Public and Indian Housing..............  Indian HOME Program.           
Public and Indian Housing..............  Indian Community Devt. Block   
                                          Grant.                        
Public and Indian Housing..............  Family Unification.            
Public and Indian Housing..............  Comprehensive Improvement      
                                          Assistance Program (CIAP).    
Public and Indian Housing..............  Demo/Revitalization/HOPE VI.   
Public and Indian Housing..............  Public Housing Drug Elimination
                                          Grant.                        
Public and Indian Housing..............  Tenant Opportunity Program.    
Public and Indian Housing..............  Economic Development and       
                                          Supportive Services.          
Public and Indian Housing..............  Drug Elimination Technical     
                                          Assistance.                   
Public and Indian Housing..............  Family Self-Sufficiency (FSS)  
                                          Service Coordinators.         
Public and Indian Housing..............  Section 8/Designated Housing.  
Public and Indian Housing..............  Moving to Work Demonstration.  
Housing................................  Drug Elimination--Housing      
                                          Programs.                     
Housing................................  202 Elderly Housing.           
Housing................................  811 Disabled Housing.          
Housing................................  Single Family Counseling.      
Housing................................  Crime/Security.                
Fair Housing and Equal Opportunity.....  Fair Housing Initiatives       
                                          Program (FHIP).               
Community Planning and Development.....  Historically Black Colleges.   
Community Planning and Development.....  Continuum of Care Homeless     
                                          Assistance Including:         
                                           Section 1403 Supportive      
                                          Housing.                      
                                           Section 1405 Section 8 SRO.  
                                           Section 1406 Shelter Plus    
                                          Care.                         
Community Planning and Development.....  Youthbuild.                    
Community Planning and Development.....  Housing Opportunities for      
                                          Persons with AIDS (HOPWA)--   
                                          competitive.                  
Policy Development and Research........  *Community Development Work    
                                          Study Published March 4, 1997 
                                          (62 FR 9898).                 
Policy Development and Research........  Community Outreach Partnership 
                                          Centers.                      
Policy Development and Research........  Hispanic Serving Institutions. 
Lead-based Paint.......................  Lead-based Paint Hazard        
                                          Reduction.                    
------------------------------------------------------------------------

[FR Doc. 97-7018 Filed 3-19-97; 8:45 am]
BILLING CODE 4210-33-P