[Federal Register Volume 62, Number 88 (Wednesday, May 7, 1997)]
[Notices]
[Pages 25082-25097]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-11881]


      

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Part IV





Department of Housing and Urban Development





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Funding Availability for Housing Opportunities for Persons With AIDS; 
Notice

  Federal Register / Vol. 62, No. 88 / Wednesday, May 7, 1997 / 
Notices  

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DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

[Docket No. FR-4210-N-01]


Notice of Funding Availability for Housing Opportunities for 
Persons With AIDS

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

ACTION: Notice of Funding Availability (NOFA).

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SUMMARY: This Notice announces the availability of $19,600,000 in funds 
to be allocated by competition for housing assistance and supportive 
services under the Housing Opportunities for Persons With AIDS (HOPWA) 
program. This NOFA contains information concerning eligible applicants, 
the funding available, the categories of assistance, including Special 
Projects of National Significance, projects under the HIV Multiple-
Diagnoses Initiative (MDI) and projects in areas that do not receive 
HOPWA formula allocations, the availability of funds for national HOPWA 
technical assistance, the availability of additional funds for current 
MDI grantees for additional evaluation activities, the use of 
performance measures, the rating criteria, the application package, its 
processing, and the selection of applications.

DEADLINE DATE: Applications for HOPWA assistance are due in HUD 
Headquarters by midnight Eastern Time on July 15, 1997.
    Before and on the deadline date, and during normal business hours 
(up to 6:00 pm) completed applications will be accepted at the 
Processing and Control Branch, Room 7251, Office of Community Planning 
and Development (CPD) in Washington at the address below.
    On the deadline date and after normal business hours (after 6:00 
pm), hand-carried applications will be received at the South Lobby of 
the Department of Housing and Urban Development at the address below. 
HUD will treat as ineligible for consideration delivered applications 
that are received after that deadline.
    Applications Mailed. Applications will be considered timely filed 
if postmarked before midnight on July 15, 1997, and received by HUD 
Headquarters within ten (10) days after that date.
    Applications Sent by Overnight Delivery. Overnight delivery items 
will be considered timely filed if received before or on July 15, 1997, 
or upon submission of documentary evidence that they were placed in 
transit with the overnight delivery service by no later than July 15, 
1997, and received by HUD Headquarters within ten (10) days after that 
date.
    No facsimile (FAX). Applications may not be sent by FAX.
    Copies of Applications to Field Offices. Two copies of the 
application must also be sent to the HUD Field Office serving the area 
in which the applicant's projects are located or, in the case of a 
project that proposes to undertake activities on a national basis, the 
area in which the applicant's administering office is located. Field 
office copies 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 HUD Headquarters in Washington. 
All three copies may be used in reviewing the application.

ADDRESSES: For a copy of the application package and supplemental 
information please call the Community Connections information center at 
1-800-998-9999 (voice) or 1-800-483-2209 (TTY), or by internet at 
www.hud.gov/fundopp.html.
    The address of the HUD Headquarters is: Processing and Control 
Branch, Room 7251, Office of Community Planning and Development (CPD), 
Department of Housing and Urban Development, 451 Seventh Street, S.W., 
Washington, D.C. 20410, Attention: HOPWA Funding. A list of the CPD 
Directors in the area CPD offices appears at the end of this NOFA.

ELECTRONIC COPY: You may obtain an electronic copy of the HOPWA 
application form that may be used in applying under this notice as well 
as a copy of this NOFA with attached Frequently Asked Questions (FAQ) 
and other information, via HUD's World Wide Web home page at 
www.hud.gov/fundopp.html. The electronic copy of the application is 
available on HUD's home page in a Portable Document Format (pdf) that 
can be used in preparing the standard forms, narrative exhibits and the 
budget exhibit for your application. Material from this electronic 
version can be used interchangeably with the printed application. The 
additional general information on the HUD Home Page provides 
descriptions of grants selected in prior HOPWA competitions and 
summaries of area consolidated plans, as well as information on other 
HUD programs. Instructions on how to access the application and the 
files are available at those sites.

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 the near future. 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.
    The list of related NOFAs the Department has published in the 
Federal Register in the last few weeks includes:
    The Continuum of Care Homeless Assistance NOFA (including the 
Supportive Housing Program, the Shelter Plus Care program, and the Sec. 
8 Moderate Rehabilitation Single Room Occupancy Programs for Homeless 
Individuals), published on April 8, 1997 (62 FR 17024); The Family 
Unification NOFA, published on April 18, 1997 (62 FR 19208); The 
Designated Housing NOFA, published on April 10, 1997 (62 FR 17672); and 
The NOFA for Mainstream Housing Opportunities, published on April 10, 
1997 (62 FR 17666).
    The related NOFAs that the Department expects to publish in the 
next few weeks include the following: The Supportive Housing for the 
Elderly NOFA; The Housing for Persons With Disabilities NOFA; and The 
Service Coordinator Funds NOFA.
    To foster comprehensive, coordinated approaches by communities, the 
Department intends for the remainder of FY 1997 to continue to alert 
applicants to upcoming and recent NOFAs as each NOFA is published. 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://

[[Page 25083]]

 www.hud.gov/fundopp.html. Additional steps on NOFA coordination may be 
considered for FY 1998.
    For help in obtaining a copy of your community's Consolidated Plan, 
please contact the community development office of your municipal or 
State government.

FOR FURTHER INFORMATION AND TECHNICAL ASSISTANCE CONTACT: A video 
presentation providing general background that can be useful in 
preparing your application can be obtained for a nominal fee from the 
Community Connections information center. The fee may be waived in the 
event of financial hardship.
    For answers to your questions, you have several options: you may 
contact the HUD CPD office that serves your area, at the phone and 
address shown in the appendix; you may contact the Community 
Connections information center at 1-800-998-9999 (voice); 1-800-483-
2209 (TTY) or by email at [email protected]; or you may contact the 
Office of HIV/AIDS Housing at 1-202-708-1934 (voice) or by 1-800-877-
8339 (TTY) at HUD Headquarters.
    An appendix also provides frequently asked questions and answers on 
the HOPWA competition. Information is also available on the HOPWA 
program, including descriptions of the 1996 competitive grants, area 
consolidated plans and other related topics on the HUD HOME Page on the 
World Wide Web at http://www.hud.gov.
    Prior to the application deadline, staff will be available to 
provide general guidance, but not guidance in actually preparing the 
application. Staff in the HUD CPD office that serves your area also 
will be available to help identify organizations in your community that 
are involved in developing the area's Consolidated Plan and Continuum 
of Care system. Following conditional selection, HUD staff will be 
available to assist in clarifying or confirming information that is a 
prerequisite to the offer of a grant agreement by HUD. However, between 
the application deadline and the announcement of conditional 
selections, HUD will accept no information that would improve the 
substantive quality of the application pertinent to the funding 
decision.

SUPPLEMENTARY INFORMATION:

Paperwork Reduction Act Statement

    The information collection requirements for the HOPWA program have 
been approved under the Paperwork Reduction Act of 1995 (42 U.S.C. 
3501-3520) by the Office of Management and Budget (OMB), and have been 
assigned OMB control number 2506-0133 (exp. 5/31/97). 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.

I. Purpose and Substantive Description

(a) Purpose and General Statement

    Under selection procedures established in Section II, the funds 
available under this NOFA will be used to fund projects for low-income 
persons with HIV/AIDS and their families under three categories of 
assistance:
    (1) Grants for Special Projects of National Significance (SPNS) 
which, due to their innovative nature or their potential for 
replication, are likely to serve as effective models in addressing the 
needs of eligible persons;
    (2) Grants for projects under the HIV Multiple-Diagnoses Initiative 
(MDI) which establish model and innovative projects that address the 
needs of eligible persons who are also homeless and have chronic 
alcohol and/or other drug abuse issues and/or serious mental illness; 
and
    (3) Grants for projects which are part of Long-term Comprehensive 
Strategies (Long-term) for providing housing and related services for 
eligible persons in areas that are not eligible for HOPWA formula 
allocations.
    In addition, the Department proposes to select at least one Special 
Project of National Significance award to operate a national HOPWA 
technical assistance program over three years, as described in 
paragraph (g). This notice also provides for a separate selection 
process for applications that request additional funds to complete, 
modify and/or expand the evaluation of MDI projects that were selected 
in the 1996 HOPWA competition. The program requirements for this 
separate selection process for current MDI grants are described in 
Section I(f)(4) and are provided in Section III, below.
    The Department recommends that applicants for HOPWA assistance 
under this NOFA emphasize client access to housing and to appropriate 
supportive services in designing their programs. In establishing goals 
to end the epidemic of HIV and AIDS, President Clinton identified, in 
The National AIDS Strategy (issued in December 1996), the national goal 
of ensuring that all people living with HIV have access to services, 
from health care to housing and supportive services, that are 
affordable, of high quality, and responsive to their needs. The 
Strategy further recognized that ``without stable housing a person 
living with HIV has diminished access to care and services and a 
diminished opportunity to live a productive life.'' In addition, the 
Department recommends that proposals also emphasize how they will meet 
requirements for the accessibility of the housing to be provided to 
eligible persons, and applicants may also address the visitability of 
units and structures, including integrating universal design features 
that provide basic accessibility in entry and mobility throughout 
structures and other modifications that respond to the needs of clients 
with disabilities.
    The Department anticipates selecting projects under each of the 
three categories of assistance that will serve as model components of 
the community's larger effort to use Federal and other resources to 
meet area needs, including the development of a consolidated plan for 
these resources and the creation of a continuum of care system to 
assist homeless persons. For a community to successfully address its 
often complex and interrelated problems, including homelessness and the 
risk of homelessness among persons living with HIV/AIDS and their 
families, the community must marshal its varied community and economic 
development resources, and use them in a coordinated and effective 
manner.
    The Consolidated Plan serves as the vehicle for a community to 
comprehensively identify each of its needs and to coordinate a plan of 
action for addressing them. Within the context of the consolidated 
plan, communities are also asked to address the needs of persons who 
are homeless by creating, improving and/or maintaining the area's 
Continuum of Care system.
    The Continuum of Care system seeks to achieve two goals: (1) 
maximum participation by non-profit providers of housing and services; 
homeless and formerly homeless persons; State and local governments and 
agencies; veteran service organizations; the private sector; housing 
developers; homeless persons with disabilities; foundations and other 
community organizations; and (2) creation, maintenance and building 
upon the community-wide inventory of housing and services for homeless 
families and individuals; identification of the full spectrum of needs 
of homeless families and individuals; and coordination of efforts to 
obtain resources, particularly resources sought through the 
Department's Continuum of Care NOFA to fill gaps between the current 
inventory and existing needs.
    Under the MDI category, this notice continues for a second year a 
HUD initiative to assist homeless persons who are living with HIV/AIDS 
who have

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chronic alcohol and/or other drug abuse issues and/or serious mental 
illness. The 1996 notice was published on February 28, 1996, at 61 FR 
7664. The 1996 initiative responded to recommendations expressed during 
the 1995 White House Conference on HIV and AIDS, as well as to 
recommendations to HUD by residents and providers of HIV/AIDS housing. 
The National AIDS Strategy noted the importance of this 1996 initiative 
by HUD and the Department of Health and Human Services (HHS) and stated 
that efforts ``to improve integration will be continued and expanded, 
with special attention to linking HIV and substance abuse prevention 
and services.'' The HIV Multiple-Diagnoses Initiative continues to be a 
collaborative effort to establish, evaluate and disseminate information 
on model programs to provide the integration of health care and other 
supportive services with housing assistance for eligible persons. The 
initiative targets assistance to homeless persons who often have 
complex needs and for whom service systems are often least developed.

(b) Authority

    The assistance which may be made available under this NOFA is 
authorized by the AIDS Housing Opportunity Act (42 U.S.C. 12901) and 
from the Department's fiscal year 1997 appropriation, the ``Departments 
of Veterans Affairs and Housing and Urban Development, and Independent 
Agencies Appropriations Act, 1997,'' Pub. L. 104-204, approved 
September 26, 1996.
    The regulations for HOPWA are found at 24 CFR part 574. The Fiscal 
Year 1997 program is governed by the HOPWA Final Rule, published in the 
Federal Register on April 11, 1994 (59 FR 17194), 24 CFR Part 574. The 
rule was amended by the Consolidated Submissions for Community Planning 
and Development Programs, Final Rule, 24 CFR Part 91, published on 
January 5, 1995 (60 FR 1878), amended by a Final Rule, General HUD 
Program Requirements: Cross-Cutting Requirements, published on February 
9, 1996 (61 FR 5198), and further amended by a Final Rule, Regulatory 
Reinvention: Streamlining the Housing Opportunities for Persons with 
AIDS Program, published on February 29, 1996 (61 FR 7962).

(c) Categories of Assistance

    This notice will provide funds under three categories of assistance 
for new grants that will be selected under section II:
    (1) Grants for Special Projects of National Significance (SPNS) 
which, due to their innovative nature or their potential for 
replication, are likely to serve as effective models in addressing the 
needs of eligible persons, including at least one grant for national 
HOPWA technical assistance;
    (2) Grants for projects under the HIV Multiple-Diagnoses Initiative 
(MDI) which establish model and innovative projects that address the 
needs of eligible persons who are also homeless and have chronic 
alcohol and/or other drug abuse issues and/or serious mental illness; 
and
    (3) Grants for projects which are part of Long-term Comprehensive 
Strategies (Long-term) for providing housing and related services for 
eligible persons in areas that are not eligible for HOPWA formula 
allocations in fiscal year 1997.
    This notice will also provide funds for current MDI grantees under 
section III.

(d) Eligibility

    For new grants that will be selected under section II:
    (1) States, units of general local government, and nonprofit 
organizations may apply for grants for Special Projects of National 
Significance and grants under the HIV Multiple-Diagnoses Initiative.
    (2) Certain states and units of general local government may apply 
for grants for projects under the Long-term category of grants, if the 
proposed activities will serve areas that were not eligible to receive 
HOPWA formula allocations in fiscal year 1997; an appendix describes 
these areas. Nonprofit organizations are not eligible to apply directly 
for the Long-term category of grants but may serve as a project sponsor 
for an eligible state or local government grantee.

(e) Award Amounts and Performance Benchmarks

(1) Amount of Available Funds
    A total of $19,600,000 is being made available by this NOFA. The 
Department expects that approximately $9 million will be used under an 
initiative to address the needs of multiply-diagnosed homeless persons 
who are living with HIV/AIDS and have chronic alcohol and/or other drug 
abuse issues and/or serious mental illness. Subject to the 
reprogramming procedures required by the 1997 VA-HUD-Independent 
Agencies Appropriations Act, P.L. 104-204, section 218, additional 
funds may be awarded if funds are recaptured, deobligated, appropriated 
or otherwise made available during the fiscal year.
(2) Maximum Grant Amounts
    The maximum amount that an applicant may receive is $1,000,000 for 
program activities. An applicant may receive up to 3 percent of the 
amount that is awarded for program activities for grantee 
administrative costs and, if the application involves project sponsors, 
up to 7 percent of the amount that is provided to project sponsors for 
program activities for the project sponsors' administrative costs. For 
example, an applicant might receive up to an additional $100,000 for 
administrative costs (potentially up to $30,000 for grantee 
administrative costs and up to $70,000 for project sponsors' 
administrative costs). Due to statutory limits on administrative costs, 
no project sponsor administrative costs are available in cases where 
the grantee directly carries out the program activities and that 
grantee is limited to using up to 3 percent of the grant amount for 
administering the grant. An applicant should note that the costs of 
staff that are carrying out the program activities may be included in 
those program activity costs and that costs may be prorated between 
categories as may be appropriate. A sponsor is only eligible to use up 
to 7 percent of the amount that they receive for the sponsor's 
administrative costs.
    For a MDI applicant only, this notice also makes available up to 
$170,000 for program development support to undertake the MDI 
evaluation and dissemination component described below in paragraph 
(f)(3).
(3) Award Modifications
    HUD reserves the right to fund less than the full amount requested 
in any application, to make mathematical corrections, to remove funds 
designated for an ineligible activity and to modify requests 
accordingly. If a request is modified by HUD, the conditionally 
selected applicant will be required to modify its project plans and 
application to conform to the terms of HUD approval before execution of 
a grant agreement. HUD also reserves the right to ensure that a project 
that is applying for and eligible for selection under this and other 
competitions, including the 1997 Continuum of Care Homeless Assistance 
NOFA, is not awarded funds that duplicate activities.
(4) Performance Benchmarks
    Funds received under this competition are expected to be expended 
within three years following the date of the signing of a grant 
agreement. As a condition of the grant, selected projects are expected 
to

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undertake activities based on the following performance benchmarks: (a) 
a project that involves the acquisition or leasing of a site is 
required to gain site control within one year of their selection, i.e, 
one year from the date of the signing of their selection letter by HUD; 
(b) if the project is proposing to use HOPWA funds to undertake 
rehabilitation or new construction activities, the project is required 
to begin the rehabilitation or construction within eighteen months of 
their selection and to complete the activity within three years of that 
date; and (c) except for a project that involves HOPWA-funded 
rehabilitation or construction activities, the project is required to 
begin program operations within one year of their selection. If a 
selected project does not meet the appropriate performance benchmark, 
the Department reserves the right to cancel or withdraw the grant 
selection or otherwise deobligate awarded funds. In exercising this 
right, the Secretary may waive a termination action in cases that HUD 
determines evidence that the delay and failure to meet the performance 
benchmark are due to factors that were beyond the control of the 
grantee.

(f) HIV Multiple-Diagnoses Initiative

(1) Overview of MDI
    This notice implements, for a second year, an initiative to address 
the needs of multiply-diagnosed homeless persons who are living with 
HIV/AIDS and have chronic alcohol and/or other drug abuse issues and/or 
serious mental illness. In 1996, this HUD-HHS initiative began to 
address these needs by funding projects for model programs for 
multiply-diagnosed clients under the Special Projects of National 
Significance components of the HOPWA program administered by HUD and 
the Ryan White CARE Act programs administered by HHS. During the 1996 
competition, HUD received 78 approvable MDI applications which 
requested over $79 million in HOPWA program funds. Based on their 
responsiveness to the rating criteria, eight of these applications were 
selected by the Department and awarded a total of $8,171,233 under the 
MDI category of assistance. Applications that were not selected in 
1996, as a result of available funds, constitute an example of the 
unmet need in communities throughout the nation in assisting persons 
who are homeless and are living with HIV/AIDS who also have chronic 
alcohol and/or other drug abuse issues and/or serious mental illness.
    The HOPWA assistance announced in this notice may be undertaken in 
conjunction with related assistance available under the Ryan White CARE 
Act as administered by the Department of Health and Human Services, 
programs under the Department of Veterans Affairs, and other Federal, 
state and local programs. Projects to be selected under the fiscal year 
1997 HOPWA funding will also benefit from guidance or experience on 
project successes and lessons learned as well as other information that 
will be developed on the fiscal year 1996 MDI grantees through the 
efforts of the HHS-funded Evaluation Technical Assistance Center. The 
Center is undertaking national and multi-site evaluations and providing 
support for project assessment for the MDI projects selected by HUD and 
by HHS in 1996.
    The Department estimates that approximately $9 million will be used 
to address the needs of MDI clients. This expected amount will help 
ensure that a sufficient number of applications, estimated to be six to 
nine projects, are selected under the initiative in 1997 in order to 
provide for the operation and evaluation of a variety of model programs 
as well as provide additional resources to the targeted underserved 
population. HUD reserves the right to reduce this estimate for the HIV 
Multiple-Diagnoses Initiative and reallocate funds to the other 
categories of assistance if an insufficient number of approvable 
applications are received for this initiative.
(2) Standard MDI Elements
    The Department advises applicants that, in proposing activities to 
be funded under HOPWA and other sources, the following standard program 
elements should be addressed in providing assistance to multiply-
diagnosed homeless persons who are living with HIV/AIDS and have 
chronic alcohol and/or other drug abuse issues and/or serious mental 
illness. Among those elements are:
     Outreach to homeless persons who are living with HIV/AIDS 
and have chronic alcohol and/or other drug abuse issues and/or serious 
mental illness;
     Client needs assessment and monitoring;
     Short-term or transitional supportive housing;
     Permanent supportive housing;
     Health care and other supportive services that address the 
needs of eligible homeless persons with chronic alcohol and/or other 
drug abuse issues and/or serious mental illness;
     Safe haven residences or other housing assistance for 
homeless persons with serious mental illness that have minimal initial 
demands on residents and do not require participation in services. It 
is hoped and anticipated that, in time, safe haven clients will 
participate in mental health programs and/or substance abuse programs 
and move to or accept short-term, transitional or other supportive 
housing;
     Participant involvement in decision-making and project 
operations;
     Participant safety, how activities address required 
accessibility to housing units and other structures, transportation 
needs and access to community amenities are addressed;
     Program evaluation in coordination with a nation-wide 
multi-site evaluation; and
     Optionally, other innovative features of the project.
    The elements may be funded under this initiative or funded in part 
under this initiative in connection with efforts supported from other 
federal, state, local or private sources, including health-care and 
other supportive services funded under the Ryan White CARE Act and 
services for veterans under the Department of Veterans Affairs. Given 
the limited amount of housing assistance funds available under this 
program, HUD encourages applicants to fund supportive services 
activities from non-HOPWA sources.
    Under this initiative, the targeting of assistance to homeless 
persons means that assistance is provided to persons who are sleeping 
in emergency shelters (including hotels or motels used as shelter for 
homeless families), other facilities for homeless persons, or places 
not meant for human habitation, such as cars, parks, sidewalks, or 
abandoned buildings. This includes persons who ordinarily live in such 
places but are in a hospital or other institution on a short-term basis 
(short-term is considered to be 30 consecutive days or less). In 
targeting assistance, HUD expects that only an incidental percentage of 
clients who are not homeless, as described above, but are at risk of 
homelessness will be assisted under this initiative.
    An applicant may propose to assist eligible persons in a Safe 
Haven, which is a form of assistance designed to provide persons with 
serious mental illness who have been living on the streets with a 
secure, non-threatening, non-institutional, supportive environment. A 
safe haven proposal should: (1) propose to serve hard-to-serve homeless 
persons; (2) provide 24 hour residence; (3) provide private or semi-
private accommodations; (4) provide for accessibility, including, 
optionally, for the common use of accessible kitchen facilities, dining

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rooms, and bathrooms; and (5) limit overnight occupancy to no more than 
25 persons in any one structure. The rating criteria have been modified 
for safe haven proposals to ensure that the special characteristics of 
safe havens are not considered less competitive than alternative 
supportive housing proposals.
(3) MDI Evaluations
    A prime feature of any model project that will be selected under 
the HIV Multiple-Diagnoses Initiative is the project's active 
participation in the national evaluation of project activities and the 
dissemination of information to other organizations in order to help 
improve the systems of care and continuum-of-care initiatives for the 
targeted population in other localities and nationally. The MDI 
applicant must establish measurable objectives for their project in 
their application and must agree to participate in the process and 
outcome evaluation and dissemination component. This notice provides up 
to $170,000 in additional funds to MDI applicants that sign the 
agreement that is provided in the 1997 application package.
    To ensure the highest degree of coordination in a nation-wide 
multi-site evaluation of MDI projects that were selected in 1996 by HUD 
and by HHS, this notice requires applicants for MDI grants to acquire 
the services of the Evaluation Technical Assistance Center (ETAC). This 
center was established by HHS in 1996 in collaboration with HUD to 
advance knowledge and skills in HIV services delivery to stimulate the 
design of innovative models of care by providing technical support and 
evaluation of MDI projects selected under the related HUD and HHS 
notices. In continuing MDI under this notice, HUD also recognizes the 
continued national significance of creating effective evaluation tools 
and disseminating information on a national basis on the success or 
lessons learned from MDI projects.
    As a condition of the MDI grant award, the grantee will use up to 
$170,000 in additional program development and evaluation funds to 
conduct their local evaluation activities as well as participate in 
national evaluation meetings (for up to $90,000 of these funds) and to 
acquire ETAC services to evaluate project performance and disseminate 
information on project outcomes (for up to $80,000 of these funds). The 
Department expects that six semiannual evaluation meetings will be held 
with MDI participants over the three year operating period for these 
grants.
    Although successful MDI applicants will be assigned an ETAC 
evaluator after selection, the applicant should consider designing and 
proposing activities in their application that anticipate the planned 
role of this evaluator. In assisting MDI grantees, the ETAC evaluator 
will help: (1) Define research questions that will be addressed and 
examined during the project period; (2) Design the full local 
evaluation in consultation with the project director and staff; (3) 
Develop instruments to assess qualitative and quantitative variables; 
(4) Train project staff in the collection of data or collect the data; 
(5) Monitor data collection activities to assure that submissions are 
complete and accurate, including data coding and entry; (6) Analyze the 
data collected; (7) Prepare reports summarizing findings; (8) Maintain 
communications with the project director and staff in furtherance of 
evaluation activities; (9) Assist in the ETAC 1997 national multi-site 
data evaluation effort; and (10) Serve as a liaison to the national 
multi-site data evaluation effort underway for MDI grantees that were 
selected in 1996.
    The program development support and evaluation activities are 
eligible HOPWA activities under 24 CFR 574.300(b) (2) and (11) as: 
``Resource identification to establish, coordinate and develop housing 
assistance resources for eligible persons (including conducting 
preliminary research and making expenditures necessary to determine the 
feasibility of specific housing-related initiatives''; and ``For 
competitive grants only, any other activity proposed by the applicant 
and approved by HUD.'' The later paragraph is based on section 855 of 
the AIDS Housing Opportunity Act (AHOA) that authorizes grantees 
selected by HOPWA competitive funds to carry out other activities that 
the Secretary develops in cooperation with eligible States and 
localities. The Department has received recommendations that the 
program place additional emphasis on technical assistance in the 
planning, development and operation of projects as well as greater use 
of information obtained through the evaluation of programs. In 
addition, as noted by HUD in 1996 in establishing MDI, communities have 
requested that additional efforts be made to address the needs of the 
MDI target population, multiply-diagnosed homeless persons who are 
living with HIV/AIDS who have chronic alcohol and/or other drug abuse 
issues and/or serious mental illness. The use of funds for program 
evaluation and dissemination of information responds to these 
recommendations.
(4) Additional Evaluation Funds for Current MDI Grantees
    The Department has decided to set aside part of the amounts 
available under this NOFA to promote the evaluation and dissemination 
of information among current MDI grantees. Therefore, as provided in 
section III, a separate competition within this year's funding will be 
undertaken to select applications from current MDI grantees that 
propose responsive evaluation and dissemination activities. Under the 
funds available in this NOFA, up to $400,000 will be set aside for a 
competition among the grantees awarded MDI grants in fiscal year 1996. 
It is estimated that the eight grantees that were selected under the 
Department's 1996 HIV Multiple-Diagnoses Initiative will apply for and 
be selected for up to $50,000 each under this selection to be used in 
completing, modifying and/or expanding the planned evaluation of 
project performance and dissemination of information on project 
outcomes and in acquiring the services of the Evaluation Technical 
Assistance Center, as described in paragraph 3. If any funds set aside 
for current MDI grantees are not awarded at the time of selection, the 
funds will be awarded under Part II for new grants.
    The Department recognizes that the eligible applicants under this 
paragraph were selected in the first national competition under MDI and 
that, except for activities that would be completed, modified and/or 
expanded for project evaluation with these 1997 funds, the grantees 
will be carrying out activities that were already determined on a 
competitive basis to be exemplary and/or innovative in responding to 
the needs of the target population. The Department is therefore not 
requiring that these potential applicants for 1997 funds resubmit their 
1996 application that the Department has already reviewed and selected 
for grant award in that prior competition. However, the Department will 
require this group of applicants to submit a SF-424, Applicant 
certifications, and a letter or other written documentation which 
provides a justification based on need for and their plan to use funds 
for evaluation activities. As provided in Section III, the Department 
will review these 1997 applications based on rating criteria that have 
been modified.

(g) National HOPWA Technical Assistance

    The Department proposes to select at least one Special Project of 
National

[[Page 25087]]

Significance award to operate a national HOPWA technical assistance 
program over three years. From the funds to be made available under 
this category, HUD reserves up to $1 million to be awarded to the 
highest rated application (or applications) that proposes national 
HOPWA technical assistance activities.
    The Department anticipates that the selected national HOPWA 
technical assistance proposal would provide technical assistance and 
consultations to improve community-based needs assessments, multiple-
year HIV/AIDS housing planning, facility operations and other 
management practices of organizations which provide or plan to provide 
housing assistance and/or related supportive services for persons 
living with HIV/AIDS and their families. The assistance would also 
provide support for HOPWA grantees and project sponsors, including 
recipients of HOPWA formula allocations and competitive awards and 
designated first-time recipients of formula allocations. The 
organizations would receive advice and training on capacity-building 
and housing development and operation and the use of the Department's 
Consolidated Planning Process, Integrated Disbursement and Information 
System, and Grants Management System. The program may also provide 
assistance in developing community-based needs assessments and 
assistance for State-wide, metropolitan, non-metropolitan and/or rural 
areas in development of area multi-year HIV and AIDS housing plans. A 
research and information services component of this effort may include 
the development of information on HIV/AIDS housing and the performance 
of HOPWA grants which will be published for national distribution. This 
component should emphasize the collection and dissemination of 
information on the ``best practices'' of HUD grantees that should serve 
as a basis for peer support, technical assistance, and program 
improvement. As part of this technical assistance grant, the grantee 
should plan for conducting grantee and sponsor workshops, developing 
training materials and sponsoring conferences. HUD employees involved 
in the management of the consolidated planning process and development 
of Continuum of Care systems may also use materials developed under 
this grant.
    In proposing to select this award, the Department advises that 
other proposals may also propose and be selected to use HOPWA funds for 
program development and evaluation activities. HOPWA funds may be used 
for these activities at 24 CFR 574.300(b) under these related 
categories: technical assistance in establishing and operating a 
community residence; resource identification to establish, coordinate 
and develop housing assistance resources; housing information services; 
and other proposed activities that are accepted by HUD. Applications 
that propose these activities will be considered under the appropriate 
category of assistance.
    In addition, the full scope of technical assistance activities that 
may be undertaken are eligible HOPWA activities under section 855 of 
AHOA that authorizes grantees selected by HOPWA competitive funds to 
carry out other activities that the Secretary develops in cooperation 
with eligible States and localities. The Department has received 
community recommendations that the program place additional emphasis on 
technical assistance in the planning, development and operation of 
projects as well as in undertaking the evaluation of performance from 
grantees and project sponsors which have been administering HOPWA 
formula allocations and/or competitive grants. The use of funds for 
national technical assistance responds to these recommendations.

(h) Performance Measures and Measurable Objectives

(1) General Measures
    Applicants under all three categories of assistance should 
establish general HOPWA-related performance measures in connection with 
more specific goals and objectives of their proposed activities. The 
measures should reflect area needs assessments, priorities and other 
elements of the strategic plan and one-year action plans under the 
area's consolidated planning process and area Continuum of Care 
systems. In soliciting proposed performance measures, the Department 
anticipates that applications to be selected under this competition 
will provide examples of best practices in developing and documenting 
performance standards and outcomes in programs that assist HOPWA 
eligible beneficiaries. The Department also anticipates that 
information on these examples will be shared with other entities to 
further promote the use of performance standards and program outcome 
measures under the HOPWA program.
    As general guidance, the applicant's objectives should relate to 
two overall goals of the HOPWA program. These general goals are: 
maximizing independent living; and maximizing self-determination. In 
developing more standard, program-wide performance measures, this 
notice recommends that applicants may benefit from using the following 
examples of general performance measures:
    A. In the area to be served, increase the number of short-term 
housing units (or beds) that include access to related supportive 
services by an estimated ``xx'' by the end of the program year and that 
allow a client to maintain or to access permanent housing at the 
completion of the short-term program; for example, a short-term program 
that provides drug and/or alcohol abuse treatment and counseling or 
mental health services with an outplacement to housing.
    B. In the area to be served, increase the number of housing units 
(or beds of supportive housing) by an estimated ``xx'' by the end of 
the program year; for example, a program designed to offer housing with 
access to service components which could assist clients in maintaining 
daily living activities through an appropriate range of support.
(2) Measurable Objectives
    In addition to performance measures, more responsive programs are 
also likely to provide specific measurable objectives or milestones, 
i.e. a time sensitive statement of planned accomplishments. For 
measurable objectives or milestones, HUD will not consider the level of 
expectation described for each objective. An application that sets 85% 
for an objective is not necessarily ``better'' than one that sets 25% 
as a realistic numerical objective for achievement. Once a program is 
operating, the objectives become tools for monitoring the results that 
are being accomplished.
(3) Goal: Maximizing Independent Living
    This goal refers to assisting persons with HIV/AIDS to avoid, to 
the maximum extent possible, institutional living and the expense of 
hospitalization by increasing the availability of housing alternatives. 
The housing to be provided may offer clients access to related 
supportive services that could assist a client in maintaining daily 
living activities through an appropriate range of support, including 
helping to prevent homelessness by assisting clients maintain their 
current residences. Efforts may also address the needs of HOPWA-
eligible clients who are homeless by coordinating assistance with area 
Continuum of Care programs that assist persons who are homeless. The 
goal recognizes that the economic burdens imposed by diseases related 
to

[[Page 25088]]

HIV and AIDS can lead to homelessness and institutional living if 
assistance is not available to help persons with HIV/AIDS remain in 
their homes, with homecare as necessary, or move to community 
residences offering health care services or more intensive care in a 
non-institutional setting. This goal also recognizes that periods of 
hospitalization can be unnecessarily prolonged if housing and health 
care alternatives are not available.
    Consistent with this goal, proposals should be designed to increase 
the availability of non-institutional housing alternatives. Because a 
single project funded under this notice cannot be expected by itself to 
address the range of needed housing alternatives, the proposed 
activities should be coordinated with other programs, to the maximum 
extent possible, to form networks that can respond to the needs of 
persons with HIV/AIDS and their families as those needs change over 
time. For example, HOPWA projects should be integrated with area 
Continuum of Care plans under the homeless assistance programs, to the 
degree that area needs include persons living with HIV/AIDS who are 
homeless. Programs should also show coordination with area health-care, 
rental assistance and other supportive services that are funded under 
the Ryan White CARE Act that is administered by the Department of 
Health and Human Services. This is necessary to help achieve a non-
duplicative continuum of care approach to offering assistance to 
eligible persons.
    Examples of measurable objectives for maximizing independent 
living. The following are examples of measurable objectives:

``X'' persons with HIV/AIDS will be receiving rental assistance in the 
apartments in which they are currently living, with access to home 
health care and homemaker/chore services within ``X'' months.
``X'' units in a community residence providing access to a range of 
health care and personal support, including intensive care, as needed, 
will become available within
``X'' months through the acquisition and renovation of a small 
apartment building.
``X'' persons with HIV/AIDS currently living in emergency shelters will 
move within
``X'' months to scattered-site apartments with rental assistance and 
access to services.
(4) Goal: Maximizing Self-determination
    This goal refers to the opportunities provided to participants to 
make informed decisions that affect their lives. Those opportunities 
could result from the participant's involvement in developing his or 
her individualized plan for housing and related supportive services, 
including participant selection of service providers. It could be shown 
in the opportunities to select available legal, therapeutic and other 
types of personal assistance, as well as educational, employment 
assistance, social, and volunteer activities made accessible through 
the program. This goal may also be achieved through client 
participation in advisory group meetings, such as residential councils, 
in efforts to evaluate and improve program procedures, comment on 
planned renovations to a community residence, and through other means 
of client expression within the program.
    Examples of measurable objectives for maximizing self-
determination. The following are examples of measurable objectives:

``X'' percent of participants, who have a need for home health care, 
will choose their home health care provider within one month of 
entering the program;
``X'' percent of a community resident's clients will attend a weekly 
resident advisory meeting that is held at least once a month;
``X'' percent of the residents of the city's group homes for persons 
with HIV/AIDS will participate each year in completing a survey that 
evaluates the residential program.

(i) Application Certifications

    The application under this NOFA also contains certifications that 
the applicant will comply, and require any project sponsor to comply, 
with fair housing and civil rights requirements, program regulations, 
and other Federal requirements. In addition, applications under this 
notice are required to file a Certification of Consistency with the 
Consolidated Plan from the jurisdiction in the proposed area to be 
served. Under 24 CFR Part 91, sections 225 for local governments and 
325 for States, the jurisdiction is required to submit a certification 
in its annual consolidated plan submission that it will affirmatively 
further fair housing, which means that it will conduct an analysis to 
identify impediments to fair housing choice within the jurisdiction, 
take appropriate actions to overcome the effects of any impediments 
identified through that analysis, and maintain records reflecting the 
analysis and actions in this regard. The Consolidated Plan 
certification is not required for an application that proposes nation-
wide activities. In addition, MDI applicants are required to certify 
that they will participate in the MDI evaluation component.

(j) Nondiscrimination, Fair Housing and Accessibility

    Projects funded under this NOFA shall operate in a fashion that 
does not deprive any individual of any right protected by the Fair 
Housing Act (42 U.S.C. 3601-19), Section 504 of the Rehabilitation Act 
of 1973 (29 U.S.C. 794) or the Americans with Disabilities Act of 1990 
(42 U.S.C. 12101 et. seq.). All HUD-financed and insured new 
construction must be in compliance with the Fair Housing Act and 
programs must amend their inspection and certification procedures to 
provide for these provisions.
    The requirements of 24 CFR 574.603 concerning nondiscrimination and 
equal oppportunity apply to use of the HOPWA funds. Applicants should 
note that, in accordance with paragraph (b) of that regulation, ``[a] 
grantee or project sponsor must adopt procedures to ensure that all 
persons who qualify for the assistance, regardless of their race, 
color, religion, sex, age, national origin, familial status, or 
handicap, know of the availability of the HOPWA program, including 
facilities and services accessible to persons with a handicap, and 
maintain evidence of implementation of the procedures.''
    The requirements of 24 CFR part 8, Nondiscrimination based on 
handicap in Federally assisted programs and activities of the 
Department of Housing and Urban Development, apply to the use of HOPWA 
funds. Section 8.1 addresses the purpose of this part ``that no 
otherwise qualified individual with handicaps in the United States 
shall, solely by reason of his or her handicap, be excluded from the 
participation in, be denied the benefits of, or be subjected to 
discrimination under any program or activity receiving Federal 
financial assistance from the Department * * *'' In addition, the 
requirements of 24 CFR part 100, Discriminatory Conduct Under the Fair 
Housing Act, apply to the use of HOPWA funds.
    The Department recommends that applications for assistance under 
this NOFA should emphasize how they will meet requirements for the 
accessibility of the housing to be provided to eligible persons. In 
addition to these requirements, the Department strongly encourages all 
applicants, especially those that use funds for new construction and/or 
substantial rehabilitation activities, to develop and/or provide 
housing that is visitable by persons with mobility impairments and

[[Page 25089]]

to insure accessibility for persons with disabilities to all aspects of 
the program. Under the visitability standard, accessible housing means 
that the unit is located on an accessible route (32'' clear passage) 
and, when designed, constructed, altered or adapted, can be approached, 
entered and used by an individual with physical disabilities. 
Visitability involves two specifications: (1) At least one outside 
entrance is at grade (no steps or other barrier to a wheelchair), and 
(2) all interior and exterior doors provide a 32'' clear passage.
    The Department's Office of Policy Development and Research has 
issued the following guide which will be useful in designing 
appropriate modifications, including integrating universal design 
features that provide basic accessibility in entry and mobility 
throughout structures and contain other modifications that respond to 
the needs of clients with disabilities: Homes for Everyone: Universal 
Design Principles in Practice. To obtain this document, applicants 
should contact the HUD User information office at 1-800-245-2691 or 1-
800-877-8339 (TTY).

II. Application Selection Process--New Grants

(a) Review and Clarifications

    Applications will be reviewed to ensure that they meet the 
following:
    (1) Applicant eligibility. The applicant and project sponsor(s), if 
any, are eligible to apply for the specific program;
    (2) Eligible population to be served. The persons proposed to be 
served are eligible persons;
    (3) Eligible activities. The proposed activities are eligible for 
assistance under the program;
    (4) Certification of Consistency with Area Consolidated Plans. The 
proposed activities that are located in a jurisdiction are consistent 
with the jurisdiction's current, approved Consolidated Plan, except 
that this certification is not required for projects that propose to 
undertake activities on a national basis; and
    (5) Other requirements. The applicant is currently in compliance 
with the federal requirements contained in 24 CFR part 574, subpart G, 
``Other Federal Requirements.''
    The Department will use the following standards to assess 
compliance with civil rights laws at the threshold review. In making 
this assessment, the Department shall review appropriate records 
maintained by the Office of Fair Housing and Equal Opportunity, e.g., 
records of monitoring, audit, or compliance review findings, complaint 
determinations, compliance agreements, etc. If the review reveals the 
existence of any of the following, the application will be rejected:
    (A) There is a pending civil rights suit against the sponsor 
instituted by the Department of Justice.
    (B) There is an outstanding finding of noncompliance with civil 
rights statutes, Executive Orders or regulations as a result of formal 
administrative proceedings, unless the applicant is operating under a 
HUD-approved compliance agreement designed to correct the area of 
noncompliance, or is currently negotiating such an agreement with the 
Department.
    (C) There is an unresolved Secretarial charge of discrimination 
issued under Section 810(g) of the Fair Housing Act, as implemented by 
24 CFR 103.400.
    (D) There has been an adjudication of a civil rights violation in a 
civil action brought against it by a private individual, unless the 
applicant is operating in compliance with a court order designed to 
correct the area of noncompliance or the applicant has discharged any 
responsibility arising from such litigation.
    (E) There has been a deferral of the processing of applications 
from the sponsor imposed by HUD under Title VI of the Civil Rights Act 
of 1964, the Attorney General's Guidelines (28 CFR 1.8) and procedures, 
or under Section 504 of the Rehabilitation Act of 1973 and the HUD 
Section 504 regulations (24 CFR 8.57).
    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 
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.

(b) Competition

    This national competition will involve the review, rating and 
selection of applications under each of the three categories of 
assistance, including selection for the national HOPWA technical 
assistance funds. To rate applications, the Department may establish a 
panel or panels including persons not currently employed by HUD to 
obtain certain expertise and outside points of view, including views 
from other federal agencies. The separate competition for additional 
funds for current MDI grantees is provided below in Section III and 
described in Section I(f)(4).

(c) Rating of Applications

(1) Procedure
    Applications will be rated based on the criteria listed below. The 
criteria listed in paragraph (2) (A), (B), (C), and (D) are common for 
all applications. Paragraphs (3), (4) and (5) are specific for the 
category of assistance under which the application is being submitted. 
Ratings will be made with a maximum of 100 points awarded. After 
rating, these applications will be placed in the rank order of their 
final score for selection within the appropriate category of 
assistance, except that the proposals for the national HOPWA technical 
assistance activities will be placed in the rank order of their final 
score for selection under a separate selection list for the purposes of 
selecting the highest rated application or applications to be awarded 
the amounts reserved for national HOPWA technical assistance activities 
and applications that were not selected for the reserved amounts will 
be returned to the SPNS category of assistance for consideration under 
that selection list.
(2) Common Rating Criteria
    Applications under the three categories of grant will be rated on 
the following four common criteria for up to 70 points:
    (A) Applicant and Project Sponsor capacity (20 points). HUD will 
award up to 20 points based on the ability of the applicant and, if 
applicable, any project sponsor(s) to develop and operate the proposed 
program, such as housing development, management of housing facilities 
or units, and service delivery, in relation to which entity is carrying 
out an activity. With regard to both the applicant and the project 
sponsor(s), HUD will consider: (a) past experience and knowledge in 
serving persons with HIV/AIDS and their families; (b) past experience 
and knowledge in programs similar to those proposed in the application; 
and (c) experience and knowledge in monitoring and evaluating program 
performance and disseminating information on project outcomes.
    As applicable, the rating under this criterion will also consider 
prior performance with any HUD-administered programs, timeliness in 
implementing HUD-administered programs, including any serious, 
outstanding audit or monitoring findings that directly affect the 
proposed project.
    (B) Need for the project in the area to be served (10 points). HUD 
will award up to 10 points based on the extent to which the need for 
the project in the area to be served is demonstrated with

[[Page 25090]]

5 of these points to be determined by the relative numbers of AIDS 
cases and per capita AIDS incidence, as reported to and confirmed by 
the Director of the Centers for Disease Control and Prevention.
    After the other rating criteria have been determined for up to 95 
points, HUD will award 5 of the points under this criterion for each 
category to the highest rated application in each state and to the 
highest rated application among the applications that propose nation-
wide activities.
    (C) Appropriateness of program activities: housing, supportive 
services and other assistance (30 points). HUD will award up to 30 
points based on the extent to which a plan for undertaking and managing 
the proposed activities is coordinated with a community strategy and is 
responsive to the needs of clients.
    (i) The award of points for coordination with a community strategy, 
for up to 10 of these points, will be based on how the proposal 
describes how activities were planned and are proposed to be carried 
out with HOPWA funds and other resources in order to provide a 
continuum of housing and services to meet the changing needs of 
eligible persons, such as the coordination of housing with access to 
health-care and other supportive services in area continuum of care 
efforts. Within the points available under this criterion, HUD will 
award three bonus points for projects that propose to locate activities 
within the boundaries of an area that has been designated an 
Empowerment Zone, Enterprise Community, Supplemental Empowerment Zone, 
or Enhanced Enterprise Community by the Secretary or by the Secretary 
of the Department of Agriculture, if priority placement will be given 
by the project: to eligible persons whose last known address was within 
the designated area; or to eligible persons who are homeless persons 
living on the streets or in shelters within the designated area.
    Within the points available under this paragraph, HUD will award 
three place-based points for an application based on the assessment of 
the Secretary's Representative who is serving the area in which the 
project will be located. The Secretary's Representative shall consider 
prior HUD experience with the applicant and any project sponsor and the 
application's description of the applicant's and any project sponsor's 
participation in the development, operation or assessment of a State or 
local government strategy to address the housing and related health 
care or other supportive service needs of eligible persons in the area 
to be served. The views may include but are not limited to whether the 
entities evidence sufficient experience and/or ability to carry out the 
proposed activities in coordination with other related resources and 
that the proposed activities are consistent with and/or complement 
other related initiatives in the area to be served.
    (ii) The award of points for responsiveness to the needs of 
clients, for up to 20 of these points, will be based on how the 
proposal:
    (a) Describes and responds to the need for housing and related 
supportive services of eligible persons in the community; or, in 
relation to technical assistance activities proposed in the 
application, describes and responds to the technical assistance needs 
of programs which provide housing and related supportive services for 
eligible persons;
    (b) Describes how activities will offer a personalized response to 
the needs of clients which maximizes opportunities for independent 
living, including accessibility of housing units and other structures, 
and in the case of a family, accommodates the needs of families;
    (c) Provides for monitoring and the evaluation of the assistance 
provided to participants;
    (d) In relation to technical assistance activities proposed in the 
application, provides technical assistance related to the development 
and operation of programs and the capacity of organizations to 
undertake and manage assistance for eligible persons;
    (e) In relation to a safe haven, describes how the activities that 
will be carried out with HOPWA funds and other resources provide for 
the stabilization of clients, provide basic services in the safe haven, 
and provide coordination with other assistance; under this activity, 
HUD will consider how the safe haven proposal proposes to offer housing 
assistance for homeless persons with serious mental illness through a 
program that places minimal initial demands on residents and does not 
require participation in services but that also anticipates that safe 
haven residents, in time, will participate in mental health programs 
and/or substance abuse programs and move to or accept transitional or 
other supportive housing;
    (f) In accordance with an order of the U.S. District Court for the 
Northern District of Texas, Dallas Division, with respect to any 
application submitted by the City of Dallas, Texas, HUD will also 
consider the extent to which the proposal for the use of HOPWA funds 
will be used to eradicate the vestiges of racial segregation in the 
Dallas Housing Authority's low-income housing programs. The City of 
Dallas should address the effect, if any, that vestiges of racial 
segregation in Dallas Housing Authority's low income housing programs 
have on potential participants in the programs covered by this NOFA, 
and identify proposed actions for remedying those vestiges. HUD may 
consider up to 2 points of the points available under this criterion 
based on this consideration.
    (D) Extent of leveraged public and private resources for the 
project (10 points). HUD will award up to 10 points based on the extent 
to which resources from other public or private sources have been 
committed to support the project at the time of application. In 
establishing leveraging, HUD will not consider other HOPWA-funded 
activities, entitlement benefits inuring to eligible persons, or 
conditioned commitments that depend on future fund-raising or actions. 
In assessing the use of acceptable leveraged resources, HUD will 
consider the likelihood that state and local resources will be 
available and continue during the operating period of the grant.
(3) Additional Criterion for Special Projects of National Significance 
(30 points)
    Applications for projects for this category of assistance will be 
rated on the innovative nature of the proposal and its potential for 
replication, including the use of performance measures and the 
evaluation of activities. HUD will award up to 30 points based on the 
extent to which the applicant demonstrates that:
    (A) The project involves a new program for, or alternative method 
of, meeting the needs of eligible persons, when compared to other 
applications and projects funded in the past. The Department will 
consider the extent to which the project design, management plan, 
proposed effects, local planning and coordination of housing programs, 
and proposed activities are exemplary and appropriate as a model for 
replication in similar localities or nationally, when compared to other 
applications and projects funded in the past.
    Within the points available under this criterion, HUD may award up 
to five bonus points for projects that propose to continue the 
operations of HOPWA funded activities that have been supported by HOPWA 
competitive funds in prior years and that have operated with reasonable 
success. An applicant has operated with reasonable success if it 
evidences that previous HOPWA-funded activities have been

[[Page 25091]]

carried out and funds have been used in a timely manner, that 
benchmarks, if any, in program development and operation have been met, 
and that the number of persons assisted is comparable to the number 
that was planned at the time of application. The Department recognizes 
that the clients which benefit under these projects may have only 
limited access to other HOPWA funds, except as provided through this 
national competition; and
    (B) The project establishes performance measures, provides for the 
evaluation of activities based on those performance measures, and 
provides for the dissemination of information on the success of the 
proposed activities in assisting eligible persons and/or in 
establishing or operating systems of care for eligible persons.
(4) Additional Criterion for Projects under the HIV Multiple-Diagnoses 
Initiative (30 points)
    Applications for Projects under this category of assistance will be 
rated on:
    (A) Innovative nature of the proposal and its potential for 
replication. HUD will award up to 25 points based on the extent to 
which the project involves a new program for, or alternative method of, 
meeting the needs of the targeted population of eligible persons, when 
compared to other applications and projects funded in the past. The 
Department will consider the extent to which the project design, 
management plan, proposed effects, local planning and coordination of 
housing programs, and the likelihood that activities will benefit the 
targeted population of eligible persons and proposed activities are 
exemplary and appropriate as a model for replication in similar 
localities or nationally, when compared to other applications and 
projects funded in the past.
    Within the points available under this criterion, HUD may award up 
to five bonus points for projects that propose to continue the 
operations of HOPWA funded activities that have been supported by HOPWA 
competitive funds in prior years and that have operated with reasonable 
success. An applicant has operated with reasonable success if it 
evidences that previous HOPWA-funded activities have been carried out 
and funds have been used in a timely manner, that benchmarks, if any, 
in program development and operation have been met, and that the number 
of persons assisted is comparable to the number that was planned at the 
time of application. The Department recognizes that the clients which 
benefit under these projects may have only limited access to other 
HOPWA funds, except as provided through this national competition; and
    (B) Performance measures and national MDI evaluation. HUD will 
award up to 5 points to an applicant that establishes performance 
measures and agrees to fully participate in the national MDI evaluation 
component.
(5) Additional Criterion for Projects Which are Part of Long-Term 
Comprehensive Strategies for Providing Housing and Related Services (30 
points).
    Applications for projects for this category of assistance will be 
rated on the extent of local planning and coordination of housing 
programs, including the use of performance measures and the evaluation 
of activities. HUD will award up to 30 points based on the extent to 
which the applicant demonstrates:
    (A) The proposed project is part of a community strategy involving 
local, metropolitan or state-wide planning and coordination of housing 
programs designed to meet the changing needs of low-income persons with 
HIV/AIDS and their families, including programs providing housing 
assistance and related services that are operated by federal, state, 
local, private and other entities serving eligible persons.
    Within the points available under this criterion, HUD may award up 
to five bonus points for projects that propose to continue the 
operations of HOPWA funded activities that have been supported by HOPWA 
formula or competitive funds in prior years and that have operated with 
reasonable success. An applicant has operated with reasonable success 
if it evidences that previous HOPWA-funded activities have been carried 
out and funds have been used in a timely manner, that benchmarks, if 
any, in program development and operation have been met, and that the 
number of persons assisted is comparable to the number that was planned 
at the time of application. The Department recognizes that the areas 
which benefit under this category of assistance currently have no other 
access to HOPWA funds except as provided through this national 
competition; and
    (B) Establishes performance measures, provides for the evaluation 
of activities based on those performance measures, and provides for the 
dissemination of information on the success of the proposed activities 
in assisting eligible persons and/or in establishing or operating 
systems of care for eligible persons.

(d) Selection of Awards

    Whether an application is conditionally selected will depend on its 
overall ranking compared to other applications within each of the three 
categories of assistance, and for an application that proposes national 
HOPWA technical assistance, with any other applications that propose 
similar activities. The Department will select applications to the 
extent that funds are available. In allocating amounts to the 
categories of assistance, HUD reserves the right to ensure that a 
minimum number of applications under each category of assistance are 
among the conditionally selected applications. HUD reserves the right 
to fund less than the full amount requested in any application and to 
make mathematical corrections.
    HUD reserves the right to achieve greater geographic diversity 
(i.e. resulting in funding activities within a variety of states) by 
selecting a lower rated application. In selecting a lower rated 
application in order to achieve greater geographic diversity under this 
paragraph, HUD will not select an application that is rated below 50 
points.
    In the event of a tie between applications in a category of 
assistance, HUD reserves the right to break the tie: by selecting the 
proposal that increases geographic diversity; and, if not greater 
geographic diversity is achievable, by subsequently designating as the 
higher rated proposal, that proposal which was scored higher on a 
rating criterion, taken in the following order until the tie is broken: 
the category specific criterion under Section II (c) paragraphs (3), 
(4), or (5); the appropriateness of program activities; the applicant 
and project sponsor capacity criterion; the need for the project 
criterion; and the extent of leveraged resources criterion.
    In the event of a procedural error that, when corrected, would 
result in selection of an otherwise eligible application during the 
funding round under this NOFA, HUD may select that application when 
sufficient funds become available.
    HUD will notify conditionally selected applicants in writing. Such 
applicants will subsequently be notified of any modification made by 
HUD, the additional project information necessary for grant award and 
the date of deadline for submission of such information. In the event 
that a conditionally-selected applicant is unable to meet any 
conditions for fund award within the specified timeframe or funds are 
deobligated under a grant awarded under this competition, HUD reserves

[[Page 25092]]

the right not to award funds to the applicant, but instead to: use 
those funds to make awards to the next highest rated applications in 
this competition; to restore amounts to a funding request that had been 
reduced in this or in a prior year competition; or to add amounts to 
funds available for the next competition.

III. Application Selection Process--Current MDI Grants

(a) General Requirements

    All requirements of this NOFA apply also to this selection, except 
as otherwise noted herein. The amounts available under this section are 
provided in addition to and are not subject to the limitation in 
paragraph I(c)(2) on the amount that the applicant may otherwise 
qualify for under the selection process for new grants.

(b) Eligible Applicants

    An eligible applicant under this selection is an entity that was 
selected for a MDI award under the 1996 HOPWA competition. The 1996 
NOFA was published in the Federal Register on February 28, 1996 (61 FR 
7664) and the notice of funding awards was published on October 23, 
1996 (61 FR 55009). In regard to determining eligibility, the review 
process contained in Section II has been reduced. Based on the 
information provided in the application under paragraph (e), HUD will 
determine if an applicant is eligible. Since the eligible applicants 
are limited to current recipients of HOPWA MDI grants, the Department 
will not otherwise require applicants to duplicate their submission of 
documentation to determine the applicant's eligibility, that an 
eligible population is to be served, that eligible activities will be 
undertaken and that the applicant is in conformance with other 
requirements. The Department is satisfied that the review that was 
undertaken for these entities in the 1996 MDI competition, for which 
these entities were determined to be eligible, is sufficient for the 
award of these additional funds.

(c) Eligible Activities

    As described in paragraph I(f)(5), a current MDI grantee may also 
apply for up to $50,000 in additional funds to be used in modifying and 
expanding the planned evaluation of project performance and 
dissemination of information on project outcomes and in acquiring the 
services of the Evaluation Technical Assistance Center. Applicants 
under this section are not required to establish additional performance 
measures.

(d) Rating Factors

    The rating factors contained in Section II have been modified and 
the leveraging criterion was eliminated. Applications for funds under 
this section from current MDI grantees will be rated, with a maximum of 
100 points awarded, on the following:
    (1) Applicant and Project Sponsor capacity (25 points). HUD will 
award up to 25 points based on the ability of the applicant and, if 
applicable, any project sponsor(s) to develop and operate their current 
MDI project and to undertake the proposed additional evaluation 
activities. HUD will consider their prior performance on the 1996 MDI 
project.
    (2) Need for the project in the area to be served (5 points). HUD 
will award up to 5 points based on the extent to which the need for the 
project in the area to be served is demonstrated by the relative 
numbers of AIDS cases and per capita AIDS incidence, as reported to and 
confirmed by the Director of the Centers for Disease Control and 
Prevention.
    (3) Appropriateness of program activities (25 points). HUD will 
award up to 25 points based on the extent to which a plan for 
undertaking and managing the proposed activities describes and responds 
to the need for additional support to complete, modify and/or expand 
evaluation activities in regard to a MDI program that provides housing 
and related supportive services for eligible persons;
    (4) Additional Criterion for Special Projects of National 
Significance--HIV Multiple-Diagnoses Initiative (45 points).
    (A) HUD will award up to 5 points for the innovative nature of the 
proposal and its potential for replication, based on the extent to 
which the project involves a new or alternative method for carrying out 
evaluation activities and the extent to which the proposed evaluation 
activities, the relationship of these activities to related local 
planning and coordination of housing programs for eligible persons, are 
exemplary or appropriate as a model for replication in similar 
localities or nationally; and
    (B) HUD will award up to 40 points for evaluation and 
dissemination, based on the extent to which the applicant describes an 
evaluation and dissemination plan that includes an assessment of the 
assistance provided to clients, based on HUD's assessment of the extent 
to which the plan will ensure that activities are undertaken in a 
timely manner and that funds are expended within the planned use 
period.

(e) Applications

    The application requirements have been modified. An eligible 
applicant under this section is not required to resubmit their 1996 
application or to submit their 1997 application based on the form that 
is made available for applicants under section II, except as noted 
below in using the SF-424 and the HOPWA Applicant Certifications (see 
item B of Statutory Certifications). An applicant under this section is 
required to submit each of the following items:

    (a) a signed SF-424;
    (b) a signed HOPWA Applicant Certifications; and
    (c) a letter or other written document of approximately one page 
that requests an amount (up to $50,000) and describes the applicant's 
need for and plan to use additional funds to complete, modify and/or 
expand the planned program development and evaluation efforts under its 
1996 award.

(f) Selection Process

    The selection process contained in Section II has been modified. An 
applicant that meets the review criteria in section (b), must have a 
rating score of at least 50 points in order to be funded. Applicants 
will not be ranked for this selection. There is sufficient funding for 
all eligible applications under this section.

IV. Other Matters

Environmental Impact

    This NOFA provides funding under, and does not alter the 
environmental requirements of, regulations in 24 CFR part 574. 
Accordingly, under 24 CFR 50.19(c)(5), this NOFA is categorically 
excluded from environmental review under the National Environmental 
Policy Act of 1969 (42 U.S.C. 4321). Activities under this NOFA are 
subject to the environmental review provisions set out at 24 CFR 
574.450.

Federalism Impact

    The General Counsel, as the Designated Official under section 6(a) 
of Executive Order 12612, Federalism, has determined that the policies 
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. The Notice 
announces the availability of funds and invites applications from 
eligible applicants for the HOPWA program.

[[Page 25093]]

Accountability in the Provision of HUD Assistance

    HUD's regulation implementing section 102 of the Department of 
Housing and Urban Development Reform Act of 1989, found at 24 CFR part 
12, contains a number of provisions designed to ensure greater 
accountability and integrity in the provision of certain types of 
assistance administered by HUD. Additional information on the 
implementation of section 102 was published on January 16, 1992 at 57 
FR 1942. The documentation, public access, and disclosure requirements 
of section 102 apply to assistance awarded under this NOFA as follows:
    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 
publish notice of awards made in response to this NOFA in the Federal 
Register.
    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 
subpart C, and the notice published in the Federal Register on January 
16, 1992 (57 FR 1942), for further information on these disclosure 
requirements.)

Prohibition on Advance Release of Funding Information

    HUD's regulation implementing section 103 of the Department of 
Housing and Urban Development Reform Act of 1989, found at 24 CFR part 
4, applies to the funding competition announced today. The requirements 
of that 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 
applicant an unfair competitive advantage. Persons who apply for 
assistance in this competition should confine their inquiries to the 
subject areas permitted under 24 CFR part 4.
    Applicants who have questions should contact the HUD Ethics Law 
Division (202) 708-3815 (this is not a toll-free number). A 
telecommuni- cations device for hearing-and speech-impaired persons 
(TTY) is available at 1-800-877-8339 (Federal Information Relay 
Service). The Ethics Law Division 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.

Prohibition Against Lobbying Activities

    The use of funds awarded under this NOFA is subject to the 
disclosure requirements and prohibitions of section 319 of the 
Department of Interior and Related Agencies Appropriations Act for 
Fiscal Year 1990 (31 U.S.C. 1352) (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 must certify that no federal funds have been or will be spent 
on lobbying activities in connection with the assistance. A standard 
disclosure form, SF-LLL, ``Disclosure Form to Report Lobbying,'' must 
be used to disclose lobbying with other than federally appropriated 
funds at the time of application.

Drug-Free Workplace Certification

    In accordance with 24 CFR 24.630, an applicant must submit its 
Certification for a Drug-Free Workplace (Form HUD-50070).

    Dated: May 1, 1997.
Jacquie Lawing,
General Deputy Assistant Secretary for Community Planning and 
Development.

Appendix A.--List of HUD Area CPD Offices (as of 2-20-97)

    In addition to filing the original application with HUD 
Headquarters, as described in the NOFA, applicants are required to 
submit two (2) copies of the application to the HUD CPD office 
serving the area in which the applicant's project is located; 
applicants proposing nation-wide activities should file the two (2) 
copies with the original application to HUD Headquarters. This 
appendix provides a list of the CPD Directors in those area CPD 
offices.
    Telephone numbers for Telecommunications Devices for the Deaf 
(TTY machines) are listed for CPD Directors in HUD Field Offices; 
all HUD numbers, including those noted *, may be reached via TTY by 
dialing the Federal Information Relay Service on 1-800-877-TDDY or 
(1-800-877-8339).

Alabama
    William H. Dirl, Beacon Ridge Tower, 600 Beacon Pkwy. West, 
Suite 300, Birmingham, AL 35209-3144; (205) 290-7645; TTY (205) 290-
7624.
Alaska
    Colleen Bickford, 949 E. 36th Avenue, Suite 401, Anchorage, AK 
99508-4399; (907) 271-4684; TTY (907) 271-4328.
Arizona
    Martin H. Mitchell, Two Arizona Center, Suite 1600, 400 N. 5th 
St., Phoenix, AZ 85004; (602) 379-4754; TTY (602) 379-4461.
Arkansas
    Billy M. Parsley, TCBY Tower, 425 West Capitol Ave., Suite 900, 
Little Rock, AR 72201-3488; (501) 324-6375; TTY (501) 324-5931.
California
    (Southern) Herbert L. Roberts, 611 West Sixth St., Suite 800, 
Los Angeles, CA 90017-3127; (213) 894-8026; TTY (213) 894-8133.
    (Northern) Steve Sachs, 450 Golden Gate Ave., P.O. Box 36003, 
San Francisco, CA 94102-3448; (415) 436-6597; TTY (415) 436-6594.
Colorado
    Guadalupe M. Herrera, First Interstate Tower North, 633 17th 
St., Denver, CO 80202-3607; (303) 672-5414; TTY (303) 672-5248.
Connecticut
    Mary Ellen Morgan, 330 Main St., Hartford, CT 06106-1866; (860) 
240-4508; TTY (860) 240-4665.
Delaware
    Joyce Gaskins, Wanamaker Bldg., 100 Penn Square East, 
Philadelphia, PA 19107; (215) 656-0624; TTY (215) 656-3452.
District of Columbia (and MD and VA suburbs)
    James H. McDaniel, 820 First St., NE, Washington, DC 20002; 
(202) 275-0994; TTY (202) 275-0772.
Florida
    (Northern) James N. Nichol, 301 West Bay St., Suite 2200, 
Jacksonville, FL 32202-

[[Page 25094]]

 5121; (904) 232-3587; TTY (904) 232-1241.
    (Miami-So. Dade) Angelo Castillo, Gables Tower 1, 1320 South 
Dixie Hwy., Coral Gables, FL 33146-2911; (305) 662-4570; TTY (305) 
662-4511.
Georgia
    John L. Perry, Russell Fed. Bldg., Room 270, 75 Spring St., SW, 
Atlanta, GA 30303-3388; (404) 331-5139; TTY (404) 730-2654.
Hawaii (and Pacific)
    Patty A. Nicholas, 7 Waterfront Plaza, Suite 500, 500 Ala Moana 
Blvd., Honolulu, HI 96813-4918; (808) 522-8180 x264; TTY (808) 522-
8193.
Idaho
    John G. Bonham, 400 S.W. Sixth Ave., Suite 700, Portland, OR 
97204-1632 (503) 326-7012; TTY * via 1-800-877-8339.
Illinois
    James Barnes, 77 W. Jackson Blvd., Chicago, IL 60604-3507; (312) 
353-1696; TTY (312) 353-5944.
Indiana
    Robert F. Poffenberger, 151 N. Delaware St., Indianapolis, IN 
46204-2526; (317) 226-5169; TTY * via 1-800-877-8339.
Iowa
    Gregory A. Bevirt, Executive Tower Centre, 10909 Mill Valley 
Road, Omaha, NE 68154-3955; (402) 492-3144; TTY (402) 492-3183.
Kansas
    William Rotert, Gateway Towers 2, 400 State Ave., Kansas City, 
KS 66101-2406; (913) 551-5485; TTY (913) 551-6972.
Kentucky
    Ben Cook, P.O. Box 1044, 601 W. Broadway, Louisville, KY 40201-
1044; (502) 582-6141; TTY 1-800-648-6056.
Louisiana
    Gregory J. Hamilton, 501 Magazine St., New Orleans, LA 70130; 
(504) 589-7212; TTY (504) 589-7237.
Maine
    David Lafond, Norris Cotton Fed. Bldg., 275 Chestnut St., 
Manchester, NH 03101-2487; (603) 666-7640; TTY (603) 666-7518.
Maryland
    Joseph J. O'Connor, Acting Director, 10 South Howard Street, 5th 
Floor, Baltimore, MD 21202-0000; (410) 962-2520 x3071; TTY (410) 
962-0106.
Massachusetts
    Robert L. Paquin, Thomas P. O'Neill, Jr., Fed. Bldg., 10 
Causeway St., Boston, MA 02222-1092; (617) 565-5342; TTY (617) 565-
5453.
Michigan
    Richard Paul, Patrick McNamara Bldg., 477 Michigan Ave., 
Detroit, MI 48226-2592; (313) 226-4343; TTY * via 1-800-877-8339.
Minnesota
    Shawn Huckleby, 220 2nd St. South, Minneapolis, MN 55401-2195; 
(612) 370-3019; TTY (612) 370-3185.
Mississippi
    Jeanie E. Smith, Dr. A. H. McCoy Fed. Bldg., 100 W. Capitol St., 
Room 910, Jackson, MS 39269-1096; (601) 965-4765; TTY (601) 965-
4171.
Missouri
    (Eastern) James A. Cunningham, 1222 Spruce St., St. Louis, MO 
63103-2836; (314) 539-6524; TTY (314) 539-6331.
    (Western) William Rotert, Gateway Towers 2, 400 State Ave., 
Kansas City, KS 66101-2406; (913) 551-5485; TTY (913) 551-6972.
Montana
    Guadalupe Herrera, First Interstate Tower North, 633 17th St., 
Denver, CO 80202-3607; (303) 672-5414; TTY (303) 672-5248.
Nebraska
    Gregory A. Bevirt, Executive Tower Centre, 10909 Mill Valley 
Road, Omaha, NE 68154-3955; (402) 492-3144; TTY (402) 492-3183.
Nevada
    (Las Vegas, Clark Cnty) Martin H. Mitchell, Two Arizona Center, 
Suite 1600, 400 N. 5th St., Phoenix, AZ 85004; (602) 379-4754; TTY 
(602) 379-4461.
    (Remainder of State) Steve Sachs, 450 Golden Gate Ave., P.O. Box 
36003, San Francisco, CA 94102-3448; (415) 436-6597; TTY (415) 436-
6594.
New Hampshire
    David J. Lafond, Norris Cotton Fed. Bldg., 275 Chestnut St., 
Manchester, NH 03101-2487; (603) 666-7640; TTY (603) 666-7518.
New Jersey
    Kathleen Naymola, Acting Director, 1 Newark Center, Newark, NJ 
07102; (201) 622-7900x3300; TTY (201) 645-3298.
New Mexico
    Frank Padilla, 625 Truman St. N.E., Albuquerque, NM 87110-6472; 
(505) 262-6463; TTY (505) 262-6463.
New York
    (Upstate) Michael F. Merrill, Lafayette Ct., 465 Main St., 
Buffalo, NY 14203-1780; (716) 551-5768; TTY * via 1-800-877-8339.
    (Downstate) Joseph D'Agosta, 26 Federal Plaza, New York, NY 
10278-0068; (212) 264-0771; TTY (212) 264-0927.
North Carolina
    Charles T. Ferebee, Koger Building, 2306 West Meadowview Road, 
Greensboro, NC 27407; (910) 547-4006; TTY (910) 547-4055.
North Dakota
    Guadalupe Herrera, First Interstate Tower North, 633 17th St., 
Denver, CO 80202-3607; (303) 672-5414; TTY (303) 672-5248.
Ohio
    John E. Riordan, 200 North High St., Columbus, OH 43215-2499; 
(614) 469-6743; TTY (614) 469-6694.
Oklahoma
    David H. Long, 500 West Main Place, Suite 400, Oklahoma City, OK 
73102; (405) 553-7569; TTY * via 1-800-877-8339.
Oregon *
    John G. Bonham, 400 S.W. Sixth Ave., Suite 700, Portland, OR 
97204-1632 (503) 326-7012; TTY * via 1-800-877-8339.
Pennsylvania
    (Western) Bruce Crawford, 339 Sixth Ave., Pittsburgh, PA 15222-
2515; (412) 644-5493; TTY (412) 644-5747.
    (Eastern) Joyce Gaskins, Wanamaker Bldg., 100 Penn Square East, 
Philadelphia, PA 19107; (215) 656-0624; TTY (215) 656-3452.
Puerto Rico (and Caribbean)
    Carmen R. Cabrera, 159 Carlos Chardon Ave., San Juan, PR 00918-
1804; (787) 766-5576; TTY (787) 766-5909.
Rhode Island
    Robert L. Paquin, Thomas P. O'Neill, Jr., Fed. Bldg., 10 
Causeway St., Boston, MA 02222-1092; (617) 565-5342; TTY (617) 565-
5453.
South Carolina
    Louis E. Bradley, Fed. Bldg., 1835 Assembly St., Columbia, SC 
29201; (803) 765-5564; TTY (803) 253-3071.
South Dakota
    Guadalupe Herrera, First Interstate Tower North, 633 17th St., 
Denver, CO 80202-3607; (303) 672-5414; TTY (303) 672-5248.
Tennessee
    Virginia E. Peck, John J. Duncan Federal Bldg., Third Floor, 710 
Locust St. S.W., Knoxville, TN 37902-2526; (423) 545-4391; TTY (423) 
545-4559.
Texas
    (Northern) Katie Worsham, 1600 Throckmorton, P.O. Box 2905, Fort 
Worth, TX 76113-2905; (817) 978-9016; TTY (817) 978-9274.
    (Southern) John T. Maldonado, Washington Sq., 800 Dolorosa, San 
Antonio, TX 78207-4563; (210) 472-6820; TTY (210) 472-6885.
Utah
    Guadalupe Herrera, First Interstate Tower North, 633 17th St., 
Denver, CO 80202-3607; (303) 672-5414; TTY (303) 672-5248.
Vermont
    David J. Lafond, Norris Cotton Fed. Bldg., 275 Chestnut St., 
Manchester, NH 03101-2487; (603) 666-7640; TTY (603) 666-7518.
Virginia
    Joseph K. Aversano, 3600 W. Broad St., Richmond, VA 23230-4920; 
(804) 278-4503; TTY (804) 278-4501.
Washington *
    John W. Peters, Federal Office Bldg., 909 First Ave., Suite 200, 
Seattle, WA 98104-1000; (206) 220-5150; TTY (206) 220-5185.
West Virginia
    Bruce Crawford, 339 Sixth Ave., Pittsburgh, PA 15222-2515; (412) 
644-5493; TTY (412) 644-5747.
Wisconsin
    Lana J. Vacha, Henry Reuss Fed. Plaza, 310 W. Wisconsin Ave., 
Ste. 1380, Milwaukee, WI 53203-2289; (414) 297-3113; TTY * via 1-
800-877-8339.
---------------------------------------------------------------------------

    * The following areas in Washington State are served by the 
Oregon CPD office: Clark, Klickitat and Shamania Counties.
---------------------------------------------------------------------------

Wyoming
    Guadalupe Herrera, First Interstate Tower North, 633 17th St., 
Denver, CO 80202-3607; (303) 672-5414; TTY (303) 672-5248.

Appendix B. Areas Eligible To Receive HOPWA 1997 Formula Allocations 
and not Eligible for Long-Term Projects

    The following are the areas that are eligible to receive HOPWA 
formula allocations in FY

[[Page 25095]]

1997. State or local governments located in or serving eligible 
persons in these areas are only eligible to apply for grants for 
Special Projects of National Significance under the HOPWA 1997 
competition. The Long-term category of assistance, grants for 
projects that are part of long-term comprehensive strategies for 
providing housing and related services, is reserved by statute for 
areas that are not eligible to receive HOPWA formula awards, i.e. 
any area outside of the list below.
    1. 1997 formula allocations are available for all areas in the 
States of:

Alabama
Arkansas
California
Connecticut
Delaware
District of Columbia
Florida
Georgia
Hawaii
Illinois
Indiana
Kentucky
Louisiana
Massachusetts
Michigan
Mississippi
New Jersey
New York
North Carolina
Ohio
Oklahoma
Pennsylvania
Puerto Rico
South Carolina
Tennessee
Texas
Washington State
Wisconsin.

    2. 1997 formula allocations are available for all areas in the 
following metropolitan areas in the States of Arizona, Colorado, 
Kansas, Maryland, Minnesota, Missouri, Nevada, New Hampshire, Oregon, 
Virginia and West Virginia:

1120  Boston MA-NH PMSA (part)
    Rockingham County, NH (part):
    Seabrook town, NH
    South Hampton town, NH
0720  Baltimore, MD PMSA
    Anne Arundel County, MD
    Baltimore County, MD
    Carroll County, MD
    Harford County, MD
    Howard County, MD
    Queen Anne's County, MD
    Baltimore City, MD
6760  Richmond-Petersberg, VA MSA
    Charles City County, VA
    Chesterfield County, VA
    Dinwiddie County, VA
    Goochland County, VA
    Hanover County, VA
    Henrico County, VA
    New Kent County, VA
    Powhatan County, VA
    Prince George County, VA
    Colonial Heights city, VA
    Hopewell city, VA
    Petersberg city, VA
    Richmond city, VA
8840  Washington, DC-MD-VA-WV PMSA
    Calvert County, MD
    Charles County, MD
    Frederick County, MD
    Montgomery County, MD

    Prince George County, VA
    Arlington County, VA
    Clarke County, VA
    Culpeper County, VA
    Fairfax County, VA
    Fauquier County, VA
    King George County, VA
    Loudoun County, VA
    Prince William County, VA
    Spotsylvania County, VA
    Stafford County, VA
    Warren County, VA
    Alexandria City, VA
    Fairfax City, VA
    Falls Church City, VA
    Fredericksburg City, VA
    Manassas City, VA
    Manassas Park City, VA
    Berkeley County, WV

    Jefferson County, WV
5720  Norfolk-Virginia Beach-Newport News, VA-NC MSA
    Gloucester County, VA
    Isle of Wight County, VA
    James City County, VA
    Mathews County, VA
    York County, VA
    Chesapeake city, VA
    Hampton city, VA
    Newport News city, VA
    Norfolk city, VA
    Poquoson city, VA
    Portsmouth city, VA
    Suffolk city, VA
    Virginia Beach city, VA
    Williamsburg city, VA
5120  Minneapolis-St. Paul, MN-WI MSA (part)
    Anoka County, MN
    Carver County, MN
    Chisago County, MN
    Dakota County, MN
    Hennepin County, MN
    Isanti County, MN
    Ramsey County, MN
    Scott County, MN
    Sherburne County, MN
    Washington County, MN
    Wright County, MN
3760  Kansas City, MO-KS MSA (part)
    Cass County, MO
    Clay County, MO
    Clinton County, MO
    Jackson County, MO
    Lafayette County, MO
    Platte County, MO
    Ray County, MO
    Johnson County, KS
    Leavenworth County, KS
    Miami County, KS
    Wyandotte County, KS
7040  St. Louis, MO-IL MSA (part)
    Crawford County, MO (part): Sullivan City, MO
    Franklin County, MO
    Jefferson County, MO
    Lincoln County, MO
    St. Charles County, MO
    St. Louis County, MO
    Warren County, MO
    St. Louis City, MO
2080  Denver, CO PMSA
    Adams County, CO
    Arapahoe County, CO
    Denver County, CO
    Douglas County, CO
    Jefferson County, CO
6200  Phoenix-Mesa, AZ MSA
    Maricopa County, AZ
    Pinal County, AZ
4120  Las Vegas, NV-AZ MSA
    Clark County, NV
    Nye County, NV
    Mohave County, AZ
6440  Portland-Vancouver, OR-WA PMSA (part)
    Clackamas County, OR
    Columbia County, OR
    Multnomah County, OR
    Washington County, OR
    Yamhill County, OR

Appendix C.--Frequently Asked Questions (FAQ) on the 1997 HOPWA 
Competition

    1. How do you define ``Special Projects of National 
Significance?''
    Grants for Special Projects of National Significance (SPNS) and 
grants under the HIV Multiple-Diagnoses Initiative (MDI) component, 
will be made for proposals that demonstrate qualities that are 
innovative, exemplary and appropriate as a model to be replicated in 
other similar localities. Such qualities may be demonstrated in any 
of the eligible activities, such as housing assistance, supportive 
services, technical assistance, and others and may involve, for 
example, how activities will adapt to the changing needs of clients 
or filling gaps in community efforts to provide access to a 
comprehensive range of care. HUD will consider the extent to which 
the project design, management plan, proposed effects, local 
planning and coordination of housing programs, and proposed 
activities are exemplary and appropriate as a model for replication 
in similar localities or nationally, when compared to other 
applications and projects funded in the past. Examples of SPNS and 
MDI grants from prior competitions can be found under the HOPWA 
listing on the HUD HOME page on the World Wide Web at http://
www.hud.gov/fundopp.html.
    2. What do you mean by performance measures?
    General performance measures and specific measurable objectives 
or milestones are required for all three types of proposals and are 
discussed in the NOFA. A general performance measure will establish 
the overall goal of a proposal such as the number of short-term 
housing and number of supportive housing units to be added in a 
community during an operating period with grant funds. A measurable 
objective or milestone is a specific, achievable and time-limited 
statement of how an activity will help obtain the overall goals of a 
program. An example of a measure is ``25 persons with HIV/AIDS 
currently in emergency shelters will move within 6 months to 
scattered-site apartments with rental assistance and access to 
services.'' The measure will be a tool for the project for 
monitoring the results and noting the milestones that are being 
accomplished as the funded activities are undertaken. A special 
focus of the MDI component involves participation in

[[Page 25096]]

evaluations of actual program performance under the established 
performance measures to better understand what works to assist these 
clients and to disseminate information on such findings as model 
efforts.
    3. Can a city or State that is a HOPWA formula recipient also 
apply for a Special Project of National Significance?
    Yes. Both types of grants, SPNS and MDI, are available to all 
States, localities and non-profit organizations. Only the Long-term 
component is reserved for certain areas, those that are not part of 
a formula HOPWA allocation.
    4. Can an agency submit a Continuum of Care homeless assistance 
application and a HOPWA proposal which will be linked but not 
identical?
    Yes. You can apply for funding under both competitions and other 
Federal funds that may be available. A HOPWA grant and a Continuum 
of Care grant may serve the same group of clients but with distinct 
activities that may complement but not duplicate the other HUD-
funded activities. If the activities are duplicated in the two 
applications, HUD will ensure that an activity will only be funded 
from one source; however, if they are dependent on each other, they 
must still compete under the separate competitions. If they do not 
duplicate the same activities for the same participants, then both 
may be funded.
    5. As an applicant, we plan to carry out activities directly. 
Can we qualify for both the grantee's (3%) as well as the sponsor's 
(7%) administrative costs?
    No. A grantee is limited to using no more than three (3) percent 
of the grant amount for administering the grant, such as providing 
general management, oversight, coordination, evaluation and 
reporting on activities. Please note that costs of staff that are 
carrying out the program activities may be included in those program 
activity costs, including prorating costs between categories as may 
be appropriate. A sponsor is eligible to use up to seven (7) percent 
of the amount that they receive for the sponsor's administrative 
costs.
    6. Can a HOPWA program be designated to assist homeless and 
large families only?
    Yes, to the degree that a program responds to the greater or 
specialized needs of eligible persons, for example, you can look at 
homelessness as a greater need and try to serve those in the 
greatest need as a priority in selecting participants. Program 
features might also be appropriate for certain clients, such as 
housing units with larger number of bedrooms to serve large 
families. However, as required by law and provided under the 
certifications, programs are required to comply with 
nondiscrimination and equal opportunity requirements.
    7. We have applied to IRS for a 501(c)(3) designation but we 
have not received it yet. Can we apply? If not, can we go to the 
state or another non-profit and partner with them and come in under 
their application?
    Nonprofit organizations that are either the applicant or a 
project sponsor must either; (a) have an IRS ruling that provides 
your tax exempt status under Sec. 501(c)(3) of the IRS Code by the 
application due date; or (b) provide documentation that shows that 
the organization satisfies the criteria provided by the statutory 
definition of non-profit organization found at 42 U.S.C. 12902 (13) 
or your organization cannot serve in those capacities.
    The statutory definition reads: ``The term ``nonprofit 
organization'' means any nonprofit organization (including a State 
or locally chartered, nonprofit organization) that--(A) is organized 
under State or local laws; (B) has no part of its net earnings 
inuring to the benefit of any member, founder, contributor, or 
individual; (C) complies with standards of financial accountability 
acceptable to the Secretary; and (D) has among its purposes 
significant activities related to providing services or housing to 
persons with acquired immunodeficiency syndrome or related 
diseases.''
    The Department interprets this definition to include the 
following: (a) in lieu of a IRS exemption for nonprofits in Puerto 
Rico, a ruling from the Treasury Department of the Commonwealth of 
Puerto Rico granting income tax exemption under Section 101 of the 
Income Tax Act of 1954, as amended (13 LPRA 3101);
    (b) that documentation of an IRS ruling of tax exempt status 
under Sec. 501(c)(4), (6), (7), (9) or (19) is acceptable in lieu of 
the Sec. 501(c)(3) documentation;
    (c) that in lieu of the IRS ruling, a nonprofit organization may 
provide documentation to evidence that it satisfies the statutory 
definition; HUD would consider as satisfactory the submission of the 
following four items: (1) a certification by the appropriate 
official of the jurisdiction under whose laws the nonprofit 
organization was organized, that the organization was so organized 
and is in good standing; (2) documentation showing that the 
organization is a certified United Way member agency or other 
documentation that shows that no inurement of benefits will occur; 
(3) documentation from a CPA or Public Accountant that the 
organization has a functioning accounting system that is operated in 
accordance with generally acceptable accounting principles or that a 
qualifying entity is designated for that activity, or the United Way 
member agency certification noted in item 2; and (4) a certified 
copy of the nonprofit organization's articles of incorporation, by-
laws, statement of purposes, board of director's resolution or a 
similar document which includes a provision demonstrating its 
purpose regarding significant activities for persons living with 
HIV/AIDS; and
    (d) that the term ``related diseases'' includes HIV infection.
    If your organization does not provide the requested 
documentation, the organization would not be eligible to receive 
funds and serve as the grantee or as a project sponsor. However, you 
could collaborate with eligible nonprofit organizations (e.g. which 
have the 501(c)(3) designation) or with a government agency that 
applies for the grant and assist them, for example, in planning for 
the proposed activities, identifying needs in your community and 
identifying clients who will be assisted. Eligible grantees and 
project sponsors may also contract out services that are funded by 
this grant.
    8. Renewals. Can an existing HOPWA program funded for up to a 
three-year period through a prior HOPWA competitive grant program 
apply for additional 1997 HOPWA funds to supplement or continue the 
same program?
    Yes. (1) Under the SPNS and MDI components, it is possible for 
existing grantees to propose and be selected in order to continue 
the same activities, or, alternatively, to provide additional 
activities that expand on or modify what the current grant is 
accomplishing. For example, in addition to their model features, an 
existing SPNS or MDI grant may contain innovative features; if that 
applicant proposes activities that only continue existing 
activities, the application would not be viewed as innovative nor 
receive rating points associated with innovation but that 
application may still be selected based on its other qualities. If 
HUD determines that a project has been reasonably successful under a 
prior HOPWA competitive grant, a proposal to continue its operations 
may be given up to 5 bonus points, even if the proposal contains no 
new innovative approaches.
    As an alternative, your proposal may be based on your existing 
program but propose additional features that benefit recipients; for 
example, you may want to apply some new things you learned from the 
program you operate or want to try a new approach, that might be 
considered innovative and awarded points on that basis.
    (2) If your existing project was selected under the Long Term 
component, you could seek additional funds to continue assistance in 
this competition based on your eligibility for this category and its 
criteria. If HUD determines that a project has been reasonably 
successful, a proposal to continue its operations may be given up to 
5 bonus points. If, in the alternative, your area now qualifies for 
a formula allocation, you are not eligible to apply for the Long-
term category of funds in this competition; in this case, you may 
apply under the SPNS or MDI categories or you could seek formula 
HOPWA funds that are available from your area's State or city 
grantee for your project.
    For all three categories of assistance, an applicant will be 
deemed to have operated with reasonable success if it evidences in 
its application that previous HOPWA-funded activities have been 
carried out and funds have been used in a timely manner, that 
benchmarks, if any, in program development and operation have been 
met, and that the number of persons assisted is comparable to the 
number that was planned at the time of application. For example, if 
program funds were to be expended during a three year operating 
period, and the grant agreement was signed two years ago, timely 
expenditure would mean that approximately two-thirds or more of 
program funds have been expended under that prior grant.
    (3) Current MDI grantees may apply under section III for up to 
$50,000 in additional funds to complete, modify and/or expand the 
evaluation of MDI projects that were selected in the 1996 HOPWA 
competition. The program requirements for this separate selection 
process for current MDI grants are described in Section I(f)(4) and 
are provided in Section III of the NOFA.

[[Page 25097]]

    9. Formula recipients. Can an area that previously received a 
HOPWA formula allocation, but no longer receives such funding, apply 
for additional 1997 HOPWA competitive funds to supplement or 
continue the same program?
    Yes, but only in special circumstances that are noted in the 
paragraph below. The Department does not intend to use the limited 
amount of funds available in this competition to renew projects to 
continue activities that have been supported under HOPWA formula 
allocations and may continue to do so by formula grantee discretion.
    Under the Long-term category, the NOFA recognizes that certain 
areas that are not eligible for a formula allocation in fiscal year 
1997, may have been eligible in a prior year and may have existing 
projects that were previously funded under a formula allocation. In 
such cases, the Department recognizes that the existing projects do 
not have any other access to HOPWA funds and that, if HUD determines 
that a project is reasonably successful, a proposal to continue its 
operations may be given up to 5 bonus points.
    10. If alcoholism, chemical dependency or mental illness is 
suspected or observed in a person living with AIDS, but undiagnosed 
clinically, can the MDI funds be used as a vehicle for diagnosis?
    Yes. You can determine your outreach and client assessment 
procedures which may specify the types of documentation within 
reasonable flexibility. For example, designing new methods for 
reaching and serving persons who are homeless who are often hard-to-
reach might be part of your proposed innovation. HOPWA funds can be 
used to determine eligibility for program participation.
    11. As a non-profit organization, must we obtain a certification 
that the application is consistent with our city or state's 
consolidated plan?
    Yes, the certification of consistency with the area consolidated 
plan is required. The Department initiated the consolidated planning 
process to improve our partnership with communities in addressing 
area needs. As a change from prior competitions, a certificate of 
consistency with the area comprehensive plan is required under this 
NOFA for non-profits applying for a SPNS or MDI grant. The 
certification continues to be required for city and State 
applications, including the activities that are carried out by a 
nonprofit serving as a project sponsor. An exception is made for 
proposals that plan to undertake activities on a national basis.
    12. If we request HOPWA funds for supportive services, will that 
impact our application's competitiveness?
    No. You can apply for any eligible activity, alone or in 
combination with others. The application notes that in the case of a 
services-only proposal, you should identify how the recipients are 
currently in housing or will be receiving housing assistance from 
some other source.
    13. Currently, our city is a HOPWA formula recipient. Does this 
eliminate or disqualify non-profits for applying for competitive 
funds under HOPWA?
    No. Nonprofit organizations located in a HOPWA formula area can 
apply for a HOPWA competitive grant under the SPNS or MDI 
components. The nonprofit could apply directly or as a sponsor in an 
application from a State or local government for the SPNS or MDI 
grant. The nonprofit might also seek funding under the formula 
allocation (which constitutes ninety percent of the annual program 
appropriation) from the city or State that is serving as the 
grantee. Since formula funds are available in that area, an 
application under the Long-term category is not eligible.
    14. Is it correct that we don't submit our own MDI evaluation 
dissemination plan since we plan to participate in the evaluation 
component? Will our application still be awarded points for this?
    Yes. For a MDI application, if you establish performance 
measures and agree to participate in the evaluation component by 
signing the MDI participation agreement certification, your 
application will receive the full 5 points. As a condition for the 
MDI grant, the NOFA describes the role of the ETAC evaluator that 
will be assigned to the selected MDI grants. Once selected, HUD will 
work with grantees to initiate their project, design methods to 
monitor performance and create evaluation procedures and methods to 
disseminate information on the program. MDI grants will also receive 
an additional $170,000 to ensure support for an effective program 
evaluation effort, of which up to $90,000 would be used for local 
activities and participation in conferences and $80,000 would be 
used to acquire the described ETAC services.
    15. Can a public housing agency (PHA) apply for these funds? Can 
a PHA serve as a project sponsor?
    Yes, in some cases. A public housing agency that is a functional 
part of a State or a unit of general local government may serve as 
the applicant/grantee on behalf of that unit of government. In cases 
where the PHA is an independent special purpose agency, the PHA 
could not serve as the applicant/grantee but may assist another 
qualified applicant/grantee as a project sponsor. If applying as the 
grantee, the PHA should use item 7 on the SF-424 to designate if it 
is an functional part of the State or a unit of general local 
government, and provide its PHA number on the Applicant 
Certifications, as requested.

FOR FURTHER INFORMATION AND TECHNICAL ASSISTANCE CONTACT: The 
Community Connections information center at 1-800-998-9999 (voice); 
1-800-483-2209 (TTY) or by email at [email protected].
    For answers to your questions, you have several options: you may 
contact the HUD CPD office that serves your area, at the phone and 
address shown in the appendix; you may contact the Community 
Connections information center noted above; or you may contact the 
Office of HIV/AIDS Housing at 1-202-708-1934 (voice) or by 1-800-
877-8339 (TTY) at the U.S. Department of Housing and Urban 
Development, 451 Seventh Street, SW., Room 7154, Washington, DC 
20410.

[FR Doc. 97-11881 Filed 5-2-97; 4:43 pm]
BILLING CODE 4210-29-P